Provisions on Administration of Foreign Investment in International Maritime Transportation

文章摘要 本规定规范外国投资者在中国境内投资经营国际海上运输及其辅助性业务,明确交通运输部与商务部为审批管理部门。外商投资可采取合资、合作或独资形式,分别从事国际船舶运输、国际船舶代理、国际船舶管理、国际海运货物仓储等业务。设立国际船舶运输企业要求中方控股(外资比例不超过49%),董事长和总经理由中方指派,并须具备适航船舶、提单及专业高管等条件。审批流程为先经交通运输部初审,再报商务部批准,最终取得相应经营许可证或登记证书。文章为外资进入中国海运市场提供了清晰的法律框架与操作指引。

Article 1  These Provisions are formulated in accordance with the Regulations of the People’s Republic of China on International Maritime Transportation (hereinafter referred to as the Maritime Transportation Regulations) and the relevant laws and administrative regulations of the People’s Republic of China on foreign investment, for the purposes of regulating the establishment of foreign-funded enterprises by foreign investors to engage in international maritime transportation business and auxiliary business relating thereto and safeguarding the lawful rights and interests of Chinese and foreign investors.


Article 2  These Provisions are applicable to the investment in and operation of international maritime transportation business and auxiliary businesses relating thereto (hereinafter referred to as international maritime transportation) by foreign investors within the territory of China.


Article 3  The Ministry of Communications and the Ministry of Commerce of the People’s Republic of China as well as their authorized agencies are responsible for the approval and administration of the establishment of foreign-funded enterprises within the territory of the People’s Republic of China by foreign investors to engage in international maritime transportation.  


Article 4  With the approval of the Ministry of Communications and the Ministry of Commerce, a foreign investor may invest in and operate international maritime transportation in the following forms:


(1) to establish a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture to engage in international shipping services, international shipping agency services, international ship management services, loading and unloading of international shipments and international maritime container freight station and container yard services;


(2) to establish a Chinese-foreign equity joint venture, a Chinese-foreign contractual joint venture or a wholly foreign-owned enterprise to engage in international maritime cargo warehousing services;


(3) to establish a Chinese-foreign equity joint venture, a Chinese-foreign contractual joint venture or a wholly foreign-owned enterprise to offer routine services for the vessels owned or operated by the investor. 


Article 5  A foreign-funded international shipping enterprise to be established shall meet the following conditions:


(1) having vessels suitable for employment in international maritime transportation, among which there must be vessels of Chinese nationality;


(2) vessels under employment shall be in compliance with the technical standards for maritime traffic safety as set forth by the State;


(3) having bills of lading, passenger tickets or multimodal transportation documents;


(4) having senior executives with the professional qualifications as set forth by the Ministry of Communications;


(5) in case of establishing a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture, the proportion of investment made by foreign investors shall not exceed 49%;


(6) the chairperson of the board of directors and the general manager shall be appointed by the Chinese side after consultation between the both sides;


(7) other conditions specified by laws or administrative regulations. 


Article 6  Where anyone is to establish a foreign-funded enterprise to engage in international shipping services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Regulations of the People’s Republic of China on International Maritime Transportation (hereinafter referred to as the Implementing Rules of the Maritime Transportation Regulations); if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for establishing a foreign-funded enterprise with the Ministry of Commerce by submitting the documents specified in Article 15 of these Provisions and obtain the Approval Certificate for Foreign-funded Enterprise.


The applicant shall, by presenting the approval document issued by the Ministry of Communications, the Approval Certificate for Foreign-funded Enterprise issued by the Ministry of Commerce and other relevant documents, go through the industrial and commercial registration formalities with the administrative department for industry and commerce according to law and obtain the business license.


 After the establishment of a foreign-funded international shipping enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the Ministry of Communications for obtaining the Permit for Operation of International Shipping Services. Only those that have obtained such Permit may engage international shipping services. 


Article 7  A foreign-funded international shipping agency enterprise to be established shall meet the following conditions:


(1) having at least two senior executives with no less than three years’ experience in international maritime transportation business operations. The term “senior executives” refers to Chinese citizens who have secondary or higher technical or academic titles and serve as department managers or above in enterprises engaging in international maritime transportation business or the auxiliary business relating thereto;


(2) having a fixed place of business and necessary business facilities, including the ability to have electronic data interchange (EDI) with ports, the Customs and other departments;


(3) in case of establishing a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture, the proportion of investment made by foreign investors shall not exceed 49%;


(4) other conditions specified by laws or administrative regulations. 


Article 8  Where anyone is to establish a foreign-funded enterprise to engage in international shipping agency services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for establishing a foreign-funded enterprise with the Ministry of Commerce by submitting the documents specified in Article 15 of these Provisions and obtain the Approval Certificate for Foreign-funded Enterprise.


The applicant shall, by presenting the approval document issued by the Ministry of Communications, the Approval Certificate for Foreign-funded Enterprise issued by the Ministry of Commerce and other relevant documents, go through the industrial and commercial registration formalities with the administrative department for industry and commerce according to law and obtain the business license.


After the establishment of a foreign-funded international shipping agency enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the Ministry of Communications for obtaining the Registration for Operation of International Shipping Agency Services. Only those that have obtained such Registration may engage international shipping agency services. 


Article 9  A foreign-funded international ship management enterprise to be established shall meet the following conditions:


(1) having at least two senior executives with no less than three years’ experience in international maritime transportation business operations;


(2) having staff members in possession of master’s or chief engineer’s documents of competence that are commensurate with the types of vessels under their management and the navigation zones;


(3) having the equipment or facilities commensurate with the international ship management services. 


Article 10  Where anyone is to establish a foreign-funded enterprise to engage in international ship management services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for obtaining the Approval Certificate for Foreign-funded Enterprise with the competent commerce administration department of the people’s government of the province where such enterprise is to be located by submitting the documents specified in Article 15 of these Provisions.


After the establishment of a foreign-funded international ship management enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the competent communications administration department of the people’s government of the province where such enterprise is located for obtaining the Registration for Operation of Auxiliary Businesses Relating to International Maritime Transportation. Only those that have obtained such Registration may engage in international ship management services.


Article 11  Where anyone is to establish a foreign-funded enterprise to engage in international maritime container freight station and container yard services or international maritime cargo warehousing services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for obtaining the Approval Certificate for Foreign-funded Enterprise with the competent commerce administration department of the people’s government of the province where such enterprise is to be located by submitting the documents specified in Article 15 of these Provisions.


After the establishment of a foreign-funded enterprise engaging in international maritime container freight station and container yard services or international maritime cargo warehousing services, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the competent communications administration department of the people’s government of the province where such enterprise is located for obtaining the Registration for Operation of Auxiliary Businesses Relating to International Maritime Transportation. Only those that have obtained such Registration may engage in the relevant services.


The establishment of a foreign-funded enterprise engaging in loading and unloading of international shipments shall be governed by the relevant provisions of the State.


Article 12  Where an established foreign-funded enterprise applies to add international maritime transportation business or the auxiliary business relating thereto to its business scope, it shall go through the corresponding formalities in accordance with the procedures for establishing a foreign-funded enterprise engaging in specific international maritime transportation businesses set forth in these Provisions.


Where an established foreign-funded enterprise engaging in international maritime transportation is to establish branches, it shall go through the corresponding formalities with the Ministry of Communications and the Ministry of Commerce or their authorized agencies in accordance with the laws and administrative regulations on foreign investment of the State, the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations.


Where an established foreign-funded enterprise engaging in international maritime transportation is to modify the essential contents such as investment contribution, structure of the shares or scope of business of its contact of joint venture or articles of association, it shall go through the corresponding formalities with the Ministry of Commerce or its authorized agencies in accordance with the laws and administrative regulations on foreign investment of the State. Any modification to the matters specified in Article 21 of the Implementing Rules of the Maritime Transportation Regulations shall be filed with the Ministry of Communications for the record.


Article 13  A foreign company engaging in shipping may establish a Chinese-foreign equity joint venture, Chinese-foreign contractual joint venture or wholly foreign-owned enterprise to offer such routine services as canvassing of cargoes, issuance of bills of lading, settlement of freight and signing of service contracts for the vessels owned or operated by investors. The procedures for establishment application of such an enterprise shall be governed by the relevant provisions jointly issued by the Ministry of Communications and the Ministry of Commerce on approval of establishment of wholly foreign-owned shipping companies.


Article 14  Where a foreign-funded enterprise within the territory of China is to engage in non-vessel-operating services, it shall, in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations, make an application to the Ministry of Communications for registration and obtaining the Registration of Non-vessel-operating Services Qualification, and go through the approval formalities with the Ministry of Commerce in accordance with the relevant laws and administrative regulations on foreign investment of the State. 


Article 15  Where an applicant makes an application to the Ministry of Communications, it shall submit the documents specified in the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations. Where an applicant makes an application to the Ministry of Commerce or its authorized agencies, he shall submit the following documents:


(1) the letter of application;


(2) the feasibility study report;


(3) the contract of the joint venture and the articles of association of the company (in case of a wholly foreign-owned company, the articles of association of the company only);


(4) the registration certificate and credit-standing certificate of investors;


(5) the identity certification of the chairperson of the board of directors and the general manager of the enterprise to be established;


(6) other documents required by laws or administrative regulations.


Article 16  These Provisions are mutatis mutandis applicable to the establishment of enterprises engaging in international maritime transportation and the auxiliary services relating thereto in other provinces, autonomous regions or municipalities directly under the Central Government by the investors form Hong Kong Special Administrative Region, Macao Special Administrative Region or Taiwan region.


Article 17  In accordance with the relevant provisions of the Mainland and Hong Kong Closer Economic Partnership Arrangement, the Mainland and Macao Closer Economic Partnership Arrangement and their Annexes, from January 1st, 2004, service suppliers from Hong Kong or Macao may established a wholly Hong Kong or Macao-owned enterprise in Chinese mainland to engage in international ship management services, international maritime cargo warehousing, international maritime container freight station and container yard services, and non-vessel-operating services; they may also establish a wholly Hong Kong or Macao-owned shipping company in Chinese mainland to offer such routine services as canvassing of cargoes, issuance of bills of lading, settlement of freight and signing of service contracts for their owned or operated vessels.  


Article 18  The Ministry of Communications and the Ministry of Commerce are responsible for the interpretation of these Provisions.


Article 19  These Provisions shall take effect as of June 1st, 2004.

杨春宝一级律师简介

杨春宝一级律师,大成上海高级合伙人、资本市场部主任、国资基金研究中心主任,大成中国区私募基金专业带头人、科技与文化法律研究中心联合牵头人。执业30余年,长期从事私募基金、投融资、并购重组法律服务,尤其对对赌研究颇深且具有非常丰富的实战经验,并专注于金融机构股权投资业务。2004年起多次入选The Legal 500"私募基金"和"公司与商业"等境内外各类律师榜单,代理的中国法院首例适用外国法律审理外国公司的董事损害小股东权益纠纷案入选上海高院发布的《上海法院域外法查明典型案例》和威科先行"要案头条"。入选上海涉外法律人才库、上海市司法局鼎新法治人才库、上海国有企业改制法律顾问团,具有上市公司独立董事任职资格,系多家知名高校的兼职教授或兼职研究生导师及上海市商务委跨国经营人才培训班讲师。出版《私募股权投资基金风险防控操作实务》等16本投融资法律专著。了解更多

常见法律问题

外国投资者可以哪些形式投资国际海运业?

根据现行管理规定,外国投资者在中国境内投资国际海上运输业务,可以采取三种基本形式:一是设立中外合资经营企业或中外合作经营企业,从事国际船舶运输、国际船舶代理、国际船舶管理、国际货物装卸以及国际海运集装箱站与堆场业务;二是设立中外合资、中外合作或外商独资企业,从事国际海运货物仓储业务;三是设立中外合资、中外合作或外商独资企业,为本企业自有或经营的船舶提供日常服务。需要注意,不同业务类型对外资开放程度不同,特别是国际船舶运输和国际船舶代理业务,外资持股比例不得突破49%,必须由中方保持控股地位。此外,董事长和总经理人选由中外双方协商后由中方指定,这体现了国家对关键航运领域的控制要求。投资者在设立前应准确判断拟开展业务是否属于限制类,并据此设计股权结构和治理安排。实务中,不少企业因对业务范围理解不准确,误将仓储物流混同于船舶代理,导致审批受阻。建议在项目启动前咨询专业法律人士,明确业务定性,避免走弯路。

设立外商投资国际船舶运输企业需满足哪些条件?

设立外商投资国际船舶运输企业,需同时满足多项实质性条件。首先,企业必须拥有适合国际海运使用的船舶,且其中必须包含中国国籍船舶,这是确保国家航运安全和主权的重要措施。其次,投入运营的船舶必须符合国家规定的海上交通安全技术标准,确保船舶适航。第三,企业应具备提单、客票或联运单证,以保障运输合同的规范履行。第四,企业高管须具备交通运输主管部门认可的专业资格,体现对管理层专业能力的要求。第五,若采用中外合资或合作形式,外资出资比例不得超过49%,即中方持股须超过一半,掌握控制权。第六,公司董事长和总经理应由中外双方协商后由中方指派,从治理结构上保障中方主导。此外还需满足法律行政法规规定的其他条件。实务中,企业容易忽视中国籍船舶的比例要求及高管资质证明文件,建议提前准备船舶所有权证书、国籍证书及高管任职经历证明。审批中,交通运输部门会核查船舶技术状况和适航证书,若船舶存在抵押或检验过期等瑕疵,可能影响获批。

设立外资海运企业的审批流程是怎样的?

外商投资国际海运企业的审批实行“双部门、两阶段”程序。第一阶段为行业准入审批:申请人首先向交通运输主管部门提出设立申请,依据国际海运条例及其实施细则提交相关材料。交通运输部门审核通过后,出具批准文件。第二阶段为外资准入审批:申请人凭交通运输部门的批准文件,再向商务主管部门提交设立外商投资企业的申请材料,经审核后取得外商投资企业批准证书。取得批准证书后,申请人还需持批准文件和批准证书向市场监督管理部门办理工商登记,领取营业执照。企业成立后,还需向交通运输部门申请取得国际船舶运输经营许可证或国际船舶代理经营登记证书,方可正式开展业务。该流程设计的核心在于通过行业主管部门前置把关,确保企业具备专业能力和安全条件,再通过商务部门审查外资比例和产业政策符合性。实务中,两个阶段环环相扣,缺一不可。若企业仅取得工商营业执照但未办理经营许可,仍不得从事相关业务,可能面临行政处罚。建议企业合理安排时间,预留充足的审批周期,并确保各阶段材料一致,特别是投资总额、经营范围等关键信息不得前后矛盾。

以上内容仅供参考,不构成法律意见。如需专业法律服务,请联系杨春宝一级律师:chambers.yang@dentons.cn

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