Article 1 For the purposes of strengthening the administration of commercial franchise activities and regulating the commercial franchise market order, these Measures are formulated in accordance with relevant provisions of the Regulations on the Administration of Commercial Franchises (hereinafter referred to as the "Regulations").
Article 2 These Measures shall apply to commercial franchise activities conducted within the territory of the People's Republic of China (hereinafter referred to as the "within the territory of China").
Article 3 The Ministry of Commerce and the departments in charge of commerce of the people's governments of provinces, autonomous regions and municipalities directly under the Central Government are the authorities responsible for the record-filing of commercial franchises. The commercial franchise activities carried out within the territorial scope of a province, autonomous region or municipality directly under the Central Government shall be filed for record with the department in charge of commerce of the people's government of the province, autonomous region or municipality directly under the Central Government where the franchisor is domiciled. The franchise activities carried out across the territorial boundaries of provinces, autonomous regions or municipalities directly under the Central Government shall be filed for record with the Ministry of Commerce.
A nationwide network is adopted for the record-filing of commercial franchises. Franchisors complying with the provisions of the Regulations shall, in accordance with the provisions of these Measures, file for record through the information management system for commercial franchises established by the Ministry of Commerce.
Article 4 The Ministry of Commerce may, in accordance with relevant provisions, delegate work related to the record-filing of commercial franchises of franchisors engaging in franchise across the territorial boundaries of provinces, autonomous regions or municipalities directly under the Central Government to the departments in charge of commerce of the people's governments of the relevant provinces, autonomous regions or municipalities directly under the Central Government. The departments in charge of commerce of the people's governments of provinces, autonomous regions or municipalities directly under the Central Government entrusted with the record-filing work shall complete such work by themselves, and shall not further entrust any other organization or individual with the work.
If the departments in charge of commerce of the people's governments of provinces, autonomous regions or municipalities directly under the Central Government entrusted with the record-filing work fail to perform their record-filing related duties in accordance with the law, the Ministry of Commerce may directly accept the record-filing applications submitted by franchisors.
Article 5 Any entity or individual may report to the relevant department in charge of commerce any act that is in violation of provisions of these Measures, and the department in charge of commerce shall handle the case in accordance with the law.
Article 6 A franchisor applying for record-filing shall submit the following materials to the relevant record-filing authority:
(1) The basic information about the commercial franchise;
(2) The distribution of shops of all franchisees within the territory of China;
(3) The marketing plan of the franchisor;
(4) The enterprise legal person business license or other subject qualification certificates;
(5) Registration certificates on the trademark right, patent right and other operational resources relating to the franchise activities;
(6) Supporting documents in conformity with Paragraph 2 of Article 7 of the Regulations;
The provisions of the preceding paragraph do not apply to the circumstances where a franchisor that started the franchise activities before May 1, 2007 submits application materials for record-filing of commercial franchises.
(7) The first franchise contract signed with the franchisee within the territory of China;
(8) A sample franchise contract;
(9) The table of contents of the franchise operation manual (the number of pages of each chapter and the total number of pages in the manual shall be indicated. Where such manual is provided on the internal network of the franchise system, an estimate of the number of pages in a print-out shall be indicated);
(10) Where laws and regulations of the State require prior approval to offer the product and service involved in the franchise operation, the approval document from the relevant competent department shall be submitted;
Foreign-invested enterprises shall submit the Approval Certificate for Foreign-invested Enterprise. The business scope specified in the Approval Certificate for Foreign-invested Enterprise shall include the item of "engagement in commercial activities by way of franchise".
(11) The franchisor's undertaking signed or sealed by the franchisor's legal representative; and
(12) Other materials to be submitted as required by record-filing authorities.
If the abovementioned documents are prepared outside the territory of the People's Republic of China, such documents need be notarized by a notary public (with a Chinese translation attached) in the country where the document is prepared, and certified by the embassy or consulate of the People's Republic of China in that country, or the certification formalities prescribed in the relevant treaty signed between the People's Republic of China and that country shall be completed. If the documents are prepared in Hong Kong, Macao or Taiwan region, the relevant certification formalities shall be completed.
Article 7 A franchisor shall apply with the relevant record-filing authority for record-filing within 15 days from the date on which it signs the first franchise contract with the franchisee located within the territory of China.
Article 8 Where any changes occur to the following record-filing information of a franchisor, the franchisor shall submit an application for change of registration with the relevant record-filing authority within 30 days from the date of occurrence of such changes:
(1) The information of the franchisor registered with administrative authority for industry and commerce;
(2) The information pertaining to the operational resources; or
(3) The distribution of all the stores of the franchisees within the territory of China.
Article 9 Prior to March 31 of each year, a franchisor shall report to the relevant record-filing authority the status of the execution, rescission, termination and renewal of franchise contracts in the preceding year.
Article 10 A franchisor shall exercise due care in filling out information about all items required for record-filing, and ensure that the information provided is authentic, accurate, and complete.
Article 11 A record-filing authority shall complete the record-filing procedures within ten days from the date when it receives documents and materials submitted by a franchisor which comply with provisions of Article 6 of these Measures, and make the relevant announcement via the information management system for commercial franchises.
Where the documents and materials submitted by the franchisor are incomplete, the record-filing authority may require the franchiser to submit supplementary documents and materials within seven days. Upon receipt of all of the supplementary documents and materials from the franchiser, the record-filing authority shall complete the record-filing procedures within ten days.
Article 12 Where a franchisor that has completed the record-filing procedures involves any of the following acts, the relevant record-filing authority may cancel the record-filing, and make an announcement thereon via the information management system for commercial franchises:
(1) The franchisor cancels its registration with the administrative department for industry or commerce, or the franchisor's business license is revoked by the competent registration authority due to its illegal business operation;
(2) The record-filing authority receives the written judicial advice from a judicial authority proposing the cancellation of the record-filing due to the franchisor's illegal business operation;
(3) The franchisor conceals the relevant information or provides false information, which causes significant impact;
(4) The franchisor applies for the cancellation of the record-filing, and the relevant record-filing authority approves such application; or
(5) Other situations in which the cancellation of the record-filing is necessary.
Article 13 Departments in charge of commerce of the people's governments of all provinces, autonomous regions and municipalities directly under the Central Government shall report the information pertaining to the record-filing and cancellation of record-filing to the Ministry of Commerce within ten days.
Article 14 Record-filing authorities shall preserve complete and accurate records of the record-filing information pertaining to franchisors, as well as relevant materials, and keep confidential the trade secrets of franchisors in accordance with the law.
The department in charge of commerce of the people's government (at the level of province, autonomous region, municipality directly under the Central Government, or city divided into districts) where the franchisor is located may issue the record-filing certificate to the franchisor that has completed the record-filing procedures.
Article 15 The general public shall have access to the following information through the information management system for commercial franchises:
(1) A franchisor's enterprise name and operational resources such as registered trademarks, business logos, patents, and know-how used in the franchise business;
(2) A franchisor's record-filing time;
(3) The address of the legal business premises and the contact information of a franchisor, and the name of the legal representative thereof; and
(4) The distribution of all the stores of franchisees within the territory of China.
Article 16 If a franchisor fails to complete the record-filing procedures in accordance with provisions of the Regulations and these Measures, the department in charge of commerce at or above the level of city divided into districts shall order the franchiser to complete the record-filing procedures within a specified time limit, and impose thereon a fine of more than RMB 10,000 and less than RMB 50,000. If the franchisor fails to complete the record-filing procedures within the specified time limit, a fine of more than RMB 50,000 and less than RMB 100,000 shall be imposed, and an announcement shall be made.
Article 17 If a franchisor violates the provisions of Article 11 of these Measures, the department in charge of commerce at or above the level of cities with districts shall order the franchisor to make rectifications and may impose thereon a fine of less than RMB 10,000. In serious cases, a fine of more than RMB 10,000 and less than RMB 50,000 shall be imposed and an announcement shall be made.
Article 18 Overseas franchisors engaging in franchise activities within the territory of China shall be governed by these Measures. These Measures shall apply as the reference for governing franchisors from the Hong Kong and Macao Special Administrative Regions, and Taiwan region.
Article 19 The relevant associations shall, in accordance with the provisions of these Measures, strengthen the industry self-regulation, and provide guidance for franchisors on completing the record-filing formalities in accordance with the law.
Article 20 The Ministry of Commerce is responsible for the interpretation of these Measures.
Article 21 These Measures shall come into force on February 1, 2012. The Administrative Measures for the Record-filing of Commercial Franchises (Decree No. 15 [2007] of the Ministry of Commerce) which came into force on May 1, 2007, shall be repealed simultaneously.
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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
商业特许经营备案由哪些机关管辖？
商业特许经营备案是特许人向法定商务主管部门报告经营信息、接受监管的制度。根据《商业特许经营备案管理办法》，备案机关为商务部以及省、自治区、直辖市人民政府商务主管部门。管辖划分以特许人住所地和经营覆盖地域为标准：在省、自治区、直辖市范围内从事特许经营的，向特许人住所地省级商务主管部门备案；跨省、自治区、直辖市范围从事特许经营的，向商务部备案。备案实行全国联网，通过商务部建立的信息管理系统办理。这属于强制性备案义务，不是审批许可，但未依法备案可能影响合规经营。
办法还规定，商务部可依法委托省级商务主管部门办理跨省备案，受委托部门应当自行完成，不得再委托其他组织或个人；若受委托部门未依法履职，商务部可直接受理特许人的备案申请。文章明确，特许人应自签订首份特许经营合同之日起十五日内申请备案，备案机关收到符合要求的材料后十日内完成备案并公告；材料不齐的，可要求七日内补正，收到补正后十日内完成。任何单位和个人也可向商务主管部门举报违反办法的行为。
实务中，特许人应首先确认自身经营地域是省内还是跨省，进而选择向省级商务主管部门或商务部备案，避免因管辖错误导致备案无效或延误。跨省经营企业即使接受商务部委托的省级部门办理，也应注意受委托部门不得转委托，并可监督其履职情况。若备案机关要求补正，应在七日内完成，以免拖延备案进度。未按期备案、提交虚假信息或变更后未及时更新，可能面临监管关注、公告风险及后续合同纠纷中的不利认定，因此应建立内部台账，明确备案责任人和时限。
申请商业特许经营备案需要提交哪些主要材料？
备案材料是特许人向备案机关证明其主体资格、经营资源、合同体系和运营能力的基础文件。根据《商业特许经营备案管理办法》，特许人申请备案时应当提交与特许经营相关的真实、准确、完整材料，备案机关据此进行形式审查并公告。材料范围涵盖特许经营基本情况、被特许人店铺分布、营销计划、主体资格证明、经营资源注册证书、首份合同、合同样本、操作手册目录等，目的在于让监管机关和交易相对人了解特许经营体系的基本状况。
办法列举的材料包括：特许经营基本情况；中国境内全部被特许人店铺分布；营销计划；企业法人营业执照或其他主体资格证明；商标权、专利权等经营资源注册证书；符合《商业特许经营管理条例》规定的证明文件；与中国境内被特许人签订的第一份特许经营合同；特许经营合同样本；操作手册目录，并标明各章节页数和总页数，内部网络提供的需估计打印页数；需前置审批的批准文件，外资企业还需提交批准证书且经营范围包含以特许经营方式从事商业活动；法定代表人签署或盖章的承诺书；备案机关要求的其他材料。境外形成的文件需公证并认证，港澳台地区文件也需办理相关证明手续。
实务操作中，特许人应提前梳理材料清单，特别注意首份合同签订后十五日内备案的时限，以及操作手册目录的页码标注要求。外资企业应核对批准证书经营范围是否包含特许经营表述，避免因缺项被要求补正。境外文件应预留公证认证时间，防止因跨国手续延误备案。提交材料应确保真实完整，不得遗漏店铺分布、合同样本等关键文件。若材料不齐，备案机关可要求七日内补正，补正后十日内完成备案。建议建立材料复核机制，避免因虚假或重大遗漏引发备案撤销、公告及合同纠纷风险。
备案后特许人有哪些变更、年报和合规义务？
备案不是一次性程序，特许人在备案后仍负有持续更新信息和报告经营情况的义务。根据《商业特许经营备案管理办法》，当备案信息发生特定变化时，特许人应在法定期限内申请变更；每年还须向备案机关报告上一年度特许经营合同的执行、解除、终止和续签情况。这些义务旨在保障备案信息的时效性和监管有效性，使商务主管部门能够掌握特许经营体系的动态变化。特许人还应尽到合理注意义务，确保填报信息真实、准确、完整。
办法规定，特许人的工商登记信息、经营资源信息以及中国境内全部被特许人店铺分布发生变化的，应自变化发生之日起三十日内向备案机关提交变更申请。每年三月三十一日前，特许人应报告上一年度特许经营合同的执行、解除、终止和续签情况。备案机关收到符合要求的材料后十日内完成备案并公告；材料不全可要求七日内补正。若特许人出现注销工商登记等法定情形，备案机关可撤销备案并通过信息管理系统公告。
实务中，特许人应建立备案信息动态管理机制，将工商变更、商标专利变动、店铺增减等事项纳入内部合规流程，确保在三十日内提交变更申请。每年三月底前应完成合同执行情况统计和年报提交，避免逾期。若特许人注销或出现其他法定撤销情形，备案可能被撤销并公告，影响品牌信誉和后续招商。提交虚假、不完整信息或未及时更新，可能引发监管处罚、公告及合同相对方追责。因此，应指定专人负责备案维护，定期核对信息管理系统中的公示内容，保留变更和年报的书面记录。
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
