定期国际航空运输管理规定
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定期国际航空运输管理规定
定期国际航空运输管理规定
1993年7月29日，民航局
第一条 为了维护国家的航空权益，促进国际航空运输安全、健康、有秩序地发展，制定本规定。
第二条 本规定适用于中国航空运输企业（以下简称空运企业）经营定期旅客、行李、货物、邮件的国际航空运输（以下简称国际航班）。
第三条 申请国际航班经营范围的空运企业，应当具备以下条件：
1．经营定期旅客、行李、货物、邮件的国内航空运输，年旅客运输量达150万人次或1亿5千万吨公里；
2．具有良好的飞行安全记录；
3．具有与经营国际航班相适应的民用航空器及其附属设施；
4．具有与经营国际航班相适应的专业人员和主要管理人员；
5．有相应的经营国际航班的管理制度及有关手册；
6．增加必要的资产，足以承担国际航班经营中的民事责任。亏损的空运企业不能申请经营国际航班；
7．中国民用航空总局规定的其它条件。
本条第五项所称有关手册系指：飞行手册、航务手册、飞机载重平衡手册、飞机最低设备清单、飞机紧急处置手册、国际客货运输手册、安全保卫手册以及其它必要的手册。
第四条 具备第三条规定条件的空运企业，在向中国民用航空总局申请经营国际航班时，应提交符合本规定第三条要求的资料。中国民用航空总局按有关规定审查批准后，变更该空运企业的航空运输企业经营许可证的经营范围。
该空运企业持变更后的航空运输企业经营许可证到原注册机关办理变更登记后，方可申请某一国际航线的经营许可。
第五条 申请经营某一国际航线经营许可的空运企业（以下简称申请人），应向中国民用航空总局提交书面申请并同时提交下列资料：
1．航空运输企业经营许可证；
2．最近三年内的经营情况及证明材料；
3．与经营该国际航线相适应的航空器及其附属设施的资料；
4．与经营该国际航线相适应的飞行人员、维修人员、飞行签派人员、商务运输人员和主要管理人员的证件或证明文件，以及必要的资料；
5．增加资产之有效证明；
6．投保飞机机身险、机身战争险和法定责任险的保险证明文件；
7．可行性研究报告；
8．经营该国际航线的业务计划、拟飞行航路和班期时刻表，以及始发站、经停站、目的站国际机场和备降国际机场的资料；
9．其他必要的资料。
第六条 中国民用航空总局对申请人的申请，除按本规定有关规定审核外，还应考虑下列因素：
1．符合我国与外国政府签订的航空运输协定；
2．符合我国国际航线总体规划和国家全局利益，有利于促进合理竞争；
3．若我国与其他国家签订的航空运输协定允许多家公司经营两国之间的航线，只有在旅客年流量超过10万人次，中国空运企业每周航班达五班，年平均客座率超过68％或每周航班达四班，年平均客座率超过80％的，方可允许第二家中国空运企业加入该国际航线经营；
4．申请人在所申请的国际航线上通航所使用的国际机场具备其通航所用机型相适应的条件和具备国际标准的保安措施。
第七条 中国民用航空总局在收到申请人申请书之日起三个月内举行论证会，对申请进行评估。论证会应由申请人和与申请人有关的民航地区管理局、空运企业、机场等派出的代表参加。申请人应在论证会上阐述申请理由和答辩。
第八条 中国民用航空总局在六个月内或论证会后三个月内对申请作出决定。
第九条 申请人取得国际航线经营许可后，应按航线经营许可规定的条件和日期开航，开航日期一般应在国际航线经营许可颁发之日起一年内实施。
第十条 申请人因本身原因不能按期开航的，可向中国民用航空总局申请延长，延期最多不超过三个月。经批准，三个月内仍不能开航的，其相应的国际航线经营许可即行失效。
第十一条 开航前，该空运企业应按中国民用航空总局有关规定提交国际航线经停各站的由中国民用航空总局批准的维修许可证和维修协议。
第十二条 空运企业欲暂停某一国际航线的经营，需向中国民用航空总局提出申请，经批准后，方可暂停经营该国际航线。暂停期限不能超过6个月。
第十三条 空运企业因本身原因超过批准的暂停期限，其相应的国际航线经营许可即行失效。
第十四条 空运企业可向中国民用航空总局申请终止某一国际航线的经营。此项申请应于终止经营之日六个月前提出。未经中国民用航空总局批准，空运企业不得终止该国际航线的经营。
第十五条 遇特殊情况，中国民用航空总局可以暂停或终止空运企业经营某一国际航线。
第十六条 国际航线经营许可不得转让、买卖和交换。
第十七条 经营国际航班的空运企业，应遵守我国政府与外国政府签订的航空运输协定、协议和我国的有关法律、法规、规章和中国民用航空总局的有关规定。
第十八条 经营国际航班的空运企业派驻在所通航国家或地区的办事机构及其人员应该遵守当地的有关法律。
第十九条 经营国际航班的空运企业的安全水平、航班正点率和服务水平应保持高于全国平均水平。
第二十条 国际航班班期时刻的确定和变更，按中国民用航空总局的有关规定办理。
第二十一条 中国民用航空总局和民航地区管理局依法对空运企业的国际航班的飞行、维修、运输、保安、经营管理等情况进行监督检查。
第二十二条 空运企业应按中国民用航空总局的规定，按期如实地向中国民用航空总局和民航地区管理局上报各项统计资料。
第二十三条 空运企业在申请国际航线经营许可中弄虚作假或经营国际航线违反本规定，中国民用航空总局根据情节可给予警告、罚款、暂停或吊销国际航线经营许可，直至取消该空运企业的企业经营许可证中的国际航班经营范围。
第二十四条 本规定由中国民用航空总局负责解释。
第二十五条 本规定自发布之日起施行。
附：关于《定期国际航空运输管理规定》的编制说明
随着改革开放的不断深化，地方省、市政府和有关航空运输企业要求开辟国际、地区航线与日俱增。为了在航空运输行业方面实现在保证飞行安全第一基础上，提高航班正点率、服务质量和经济效益为原则的宏观管理，使我国的国际航空运输更加安全、健康和有秩序地发展，制定与其相关的管理规定并使之不断完善是我们目前和今年一段时间的重要任务。
《定期国际航空运输管理规定》正是在这种背景下制定的。它和民航总局颁布的其他行政规章一样，也需要随着民航事业的发展不断加以补充修改和完善。该规定体现了民航总局在规划和审核定期国际航空运输方面所必须遵循的具体情况，并参照了欧、美国家有关这方面的规定。除非另有特殊需要，在该规定颁布之前已形成的航线网络原则上不再变动。
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《金律研究》之“绪论”
一部完整的中国通史，必须包括中国各少数民族史，这已是史家的共识。同样，一部中国法制史，如果只是津津乐道于华夏"正统"王朝立法建制的辉煌成就，而对各少数民族政权，尤其是北方少数民族入主中原所建政权的法制漠然置之，或视其为华夏王朝法制的附庸，那么，这部中国法制史就是残缺不全的。或者说，它不能算作一部真正的中国法制史。
我国古代的少数民族，大致可作南北之分。从某种意义上??讲，北方少数民族的历史地位较南方突出。他们多以游牧为主要生活方式，素以勇猛、强悍著称，曾多次入主华夏建立统治全国的政权，或控制中国北方，与南方汉族政权长期并存。从西晋末年匈奴、鲜卑、羯、氐、羌等族在中原建立十六国，到北魏统一中国北方；从辽、金、西夏与两宋的长期对峙，到元朝和清朝的"大一统"政权，历时近千年之久，几乎占了整个封建时代一半的时间。
在入主中原之前，北方少数民族大多已经历漫长的发展历程，创立了富于特色的游牧民族文化。他们大多有自己的语言、文字，有记录成文的习惯法规范或成文法典。诸如契丹族在耶律阿保机为部落联盟首领时的"籍没之法"；女真族在十一世纪初石鲁联盟时代的"条教"；成吉思汗建立蒙古汗国时编纂的《大扎撒》等。在入主中原的过程中，少数民族传统法文化虽然受到源远流长的华夏正统法文化的冲击和融汇，但仍然顽强地固守自己的领地，凭借本民族在国家政权中占居统治地位的优势条件，对国家立法建制以至整个社会生活发挥影响，使这些政权的法制呈现出多元化的色彩。
然而，正是这些富于多元化特色的法制融入，为儒家思想束缚下步履蹒跚的中国法制不断注入新的活力，才使中国古代立法建制创造出世人注目的辉煌，中华法系才会具有如此巨大的魅力而跻身于世界大法系之列。
可是，迄今为止，几乎所有的中国法制史论著，除对北魏、元朝和清朝法制稍微注意外，五胡十六国、辽、金、西夏、蒙古汗国、后金等少数民族占居统治地位政权的法制，备受冷落，或只字未提，或一笔带过，或基于"华夏正统"的观念，只是对其中野蛮残酷的内容痛加挞伐，却置其法制上的建树于不顾。至于有关少数民族法制史的专著，则基本上是空白。
这种状况，显然与少数民族政权法制在中国法制史上的地位和作用极不相称。因此，全面、系统地探讨我国历史上少数民族政权的立法建制活动及其经验教训，无疑是民族学和法学理论工作者的一项义不容辞的责任和义务。
有鉴于此，笔者在完成国家"七五"期间哲学、社会科学重点课题《中国法制通史》之《宋辽金卷·金朝法制》撰稿任务后，对所搜辑的大量金律资料进一步作了深入的探索和考察，汇纂成此书，力求反映金朝立法建制的全貌，期望对民族法制史研究起到抛砖引玉的作用。
二
在中国古代各少数民族中，女真族尤以历史悠久著称。其先世可以追溯到西周初年受周王室册命的肃慎。后来，肃慎部族在汉魏晋时期被称为挹娄，北朝称之曰勿吉，隋唐称??，五代始将黑水??称为女真。到十一世纪时，以??为主体，吸收不同祖源、语系的氏族部落形成的女真族，在"白山"（长白山）、"黑水 "（黑龙江流域）间崛起。自公元１１１５年建立国家政权后，相继吞并辽朝和北宋，在中国北部建立了长达一百二十年较为稳固的统治。
在此期间，女真族以开放的恣态，吸收和融合了汉族及其他各族文明的精华，促进了本民族的飞跃发展。同时，对异族文化博采兼纳，又使女真文化获得了丰富的滋养，成为具有较高水平的多元文化。女真文化与中原文化双向渗透的结果，形成以儒家思想居主导地位的多元一体的金文化。可见金文化并非同时并存的宋文化的附属，而是中华文化的有机组成部分。在中华文化发展史上，金文化应与宋文化并列于"正统"地位。
儒家思想在金代社会意识形态中主导地位的确立，经历了一个漫长的时期。金建国之初，女真"旧俗"尚支配一切，占居上风。到熙宗时，金朝在中原的统治基本稳定，统治者开始提倡尊孔崇儒。在世宗、章宗时期，儒家思想已成为金统治的思想基础，并渗透到社会生活的各个方面。儒学的精神原则成为衡量是非的标准；儒家的忠孝观念被奉为调整君臣上下和家庭、宗族关系的准则。少数民族在礼俗、丧葬、文体、游艺、岁时杂俗乃至心理素质等深层文化中，都不同程度地表现出"华夷同风"的文化积淀。
有金一代，中国古代的各种思想灿然皆备，百家争鸣，儒家思想、佛教、道教尤为盛行。儒家思想之所以独占鳌头，成为金朝统治思想的核心和主体，乃是由多种因素促成的。金崇奉的儒家思想，已不同于先秦和汉代的儒学，而是继承北朝以来兴起的新儒学。这种新儒学不尚虚名，注重博实，敢于摒弃"贵华夏，贱夷狄"等陈腐观念，敢以北方王朝自重，以"正统"自居，完全适合金王朝力图在当时国与国之间的关系中树立"正统"形象的需要，因而受到统治者的青睐。
此外，金统治者崇儒还缘于维护自己统治地位的现实目的。世宗即位后，鉴于女真贵族集团内部不断发生争权夺利的血腥事件，熙宗、海陵王相继死于暴力政变，遂大力宣扬和提倡儒家忠孝观念，特别强调忠君，把忠君思想作为调整君臣关系的法宝，要求臣僚"惟忠惟孝，匡救辅益，期致太平"(《金史·纥石烈良弼传》)，告诫臣民不要做有亏忠节的事。
金统治者带头尊孔崇儒，使女真人皆以学习华夏文化为荣，汇成一股学习华夏文化的潮流。以儒学为核心的汉文化逐渐为女真人普遍接受。儒家思想成为汉、女真人等各族人民的共同思想。
各民族共同思想基础的确立，推动了金代政治经济制度改革和封建文化的发展，加速了民族融合的进程。
三
在以儒家思想为主体的多元一体文化氛围中，金朝立法上采唐辽宋之制，参以女真传统习惯法，形成具有多元特色的法??，并对元朝法律制度产生了深远影响。
金朝第一部成文法规熙宗《皇统新制》，就是以本朝旧制为基础，兼采隋唐之制，参辽宋之法汇纂而成。此后，海陵王《正隆续降制书》、世宗《军前权宜条理》、《大定重修制条》等法规，都是修订皇统以来历代法规基础上颁行的。集金代立法之大成的《泰和律令敕条格式》更是以唐律疏义》之翻版。它不仅是金朝的一代成法定规，其效力还及于元初。"元兴，其初未有法守，百司断理狱讼，循用金律"
(《元史·刑法一》)
直到元世祖至元八年（１２７１年）"始禁用金泰和律"(
《元史·世祖本纪》)。从蒙古汗国太宗六年（１２３４年）灭金而沿用金律，至此已三十七年时间。而且，金律的效用并未因元世祖一纸禁令而中止。世祖下令禁用金律时，并未颁行一部足以代替《泰和律》的成规定制。以致至元十六年（１２７９年），御史中丞崔 仍建言："宪曹无法可守，是以奸人无所顾忌，宜定律令以为一代之法"。(《新元史·刑法志》)在至元二十八年（１２９１年）颁布《至元新格》后，元成宗于元贞二年（１２９６年）以"律令，良法也，宜早定之"(《新元史·刑法志》)，命参知政事何荣祖等更定律令。但新律直到武宗至大二年（１３０９年）仍未颁行。时中书省臣上疏："律令者，治国之急务，当以时损益。世祖有旨，金泰和律勿用，令老臣通法律者参酌古今，从新定制，至今尚未行。臣等谓律令重布，未可轻议。请自世祖即位以来所行条格，校雠归一，遵而行之。"(《新元史·刑法志》)英宗至治三年（１３２３年），《大元通制》告成，才最终取代了《泰和律》的地位。可见，在中国法制史上，金律和两宋法律共同居于承前启后的重要地位。
四
关于研究金律的资料问题。
金代律典法规早已亡佚不传。我们只能从散见于历史典籍中的法制资料，勾勒出金王朝立法建制之概貌。
作为二十四史之一的《金史》一百三十五卷，乃是可资参阅的基本史籍。《金史》系元代官修的一部正史。其依据是金朝史官编纂的诸帝《实录》和《国史》，并以金人刘祁的《归潜志》、元好问的《中州集》和《壬辰杂编》、王鹗《汝南遗事》等著作参证补遗，内容详实而可靠。正如《四库总目提要》所论:金代"制度典章，彬彬为盛，征文考献，具有所资。"而且，《金史》成书前，已有不少史家对金朝史实做了大量的考订整理工作，"相承纂述，复不乏人"，为修成《金史》提供了较好的基础。《四库总目提要》说，"元人之于此书，经营之久，与宋、辽二史取办仓卒者不同"，对《金史》赞誉有加，称该书"首尾完密，条例整齐，约而不疏，赡而不芜，在三史之中，独为最善。"清人赵翼亦指出："《金史》叙事最详核，文笔亦极老洁，迥出宋、元二史之上，"谓为"良史"。(《廿二史札记》卷二十七)
此外，题为"淮西归正人宇文懋昭撰"的《大金国志》、宋人徐梦莘的《三朝北盟会编》、洪皓的《松漠纪闻》等，亦是研究金律的重要资料。
值得一提的是，台湾商务印书馆于１９７２年出版了叶潜昭先生的学术专著《金律之研究》。该书以宋朝律博士傅霖所撰《刑统赋》之疏解，及《元典章》为依据，参照《唐律疏议》，对金《泰和律》的条文进行了"复旧"，为金朝法制研究开辟了新的途径，对弥补金代法规亡佚造成的资料阙如作了有益的探索。其研究方法和视角独特而新颖，给人以启迪。
然而，《金律之研究》所"复旧"的金律，只是颁行于章宗泰和二年（１２０２年）五月之《泰和律义》。该律典虽然堪称金朝立法的主要成果，却不能反映此前近九十年间金律发展演变的历程，无法显示金代立法建制之全貌。须知，无论熙宗《皇统新制》、海陵王《正隆续降制书》，还是世宗《军前权宜条理》和《大定重修制条》，都是金代长期通行的成法定制，当然是金律的有机组成部分。
再则，《元典章》、《刑统赋解》、《刑统赋疏》等，多为元人著作。其中对《刑统赋》的疏解，援引了《唐律疏议》和元代的判牍、案例作为印证。在未经信史佐证，其中唐、宋、金、元之制难以区分的情况下，将上述著作中的内容认定为金律条文，似值得商兑。
对外贸易经济合作部
关于设立外商投资股份有限公司若干问题的暂行规定(附英文)
1995年1月10日，对外贸易经济合作部
第一条 为进一步扩大国际经济技术合作和交流，引进外资，促进社会主义商品经济的发展，外国的公司、企业和其他经济组织或个人（以下简称外国股东），按照平等互利的原则，可与中国的公司、企业或其他经济组织（以下简称中国股东）在中国境内，共同举办外商投资股份有限公司（以下简称公司）。
第二条 本规定所称的外商投资股份有限公司是指依本规定设立的，全部资本由等额股份构成，股东以其所认购的股份对公司承担责任，公司以全部财产对公司债务承担责任，中外股东共同持有公司股份。外国股东购买并持有的股份占公司注册资本25％以上的企业法人。
第三条 公司为外商投资企业的一种形式，适用国家法律、法规对于外商投资企业的有关规定。
第四条 设立公司应符合国家有关外商投资企业产业政策的规定。国家鼓励设立技术先进的生产型公司。
第五条 公司可采取发起方式或者募集方式设立。
第六条 以发起方式设立的公司，除应符合公司法规定的发起人的条件外，其中至少有一个发起人应为外国股东。
以募集方式设立的公司，除应符合前款条件外，其中至少有一个发起人还应有募集股份前3年连续盈利的记录，该发起人为中国股东时，应提供其近3年经过中国注册会计师审计的财务会计报告；该发起人为外国股东时，应提供该外国股东居所所在地注册会计师审计的财务报告。
第七条 公司的注册资本应为在登记注册机关登记注册的实收股本总额，公司注册资本的最低限额为人民币3千万元。其中外国股东购买并持有的股份应不低于公司注册资本的25％。
第八条 股东认购的股份的转让应符合本规定第七条所规定的条件。发起人股份的转让，须在公司设立登记3年后进行，并经公司原审批机关批准。
第九条 发起人达成设立公司协议后，可共同委托一发起人办理设立公司的申请手续。具体程序是：
（一）申请人向其省、自治区、直辖市及计划单列市政府主管部门（以下称主管部门）提交设立公司的申请书、可行性研究报告、资产评估报告等文件。
以募集方式设立公司的，申请人还须提交招股说明书。
（二）上述文件经主管部门审查同意后，由主管部门转报省、自治区、直辖市及计划单列市对外经贸部门。上述文件经省、自治区、直辖市及计划单列市对外经贸部门核准后，发起人正式签定设立公司的协议、章程。
（三）发起人签定设立公司的协议、章程，报省、自治区、直辖市对外经贸部门审查同意后，报对外贸易经济合作部审查批准。对外贸易经济合作部在45日内决定批准或不批准。
第十条 发起人提交的各项文件必须用中文书写。在发起人各方认为需要时，可商定再用一种外文书写，但以审批生效的中文文本为准。
第十一条 设立公司的申请书应概要说明：
（一）发起人的名称、住所、法定代表人；
（二）组建公司的名称、住所及宗旨；
（三）公司设立方式、股本总额、类别、每股面值、发起人认购比例、股份募集范围和途径；
（四）发起人的生产经营情况，包括近3年生产经营、资产与负债、利润等情况（限于以募集方式设立公司的发起人）；
（五）公司的资金投向及经营范围；
（六）提出申请的时间，发起人的法定代表签名并加盖发起人单位公章；
（七）其他需要说明的事项。
第十二条 发起人协议应包括以下主要内容：
（一）发起人的名称、住所、法定代表人的姓名、国籍、住所、职务；
（二）组建公司的名称、住所；
（三）公司的宗旨、经营范围；
（四）公司设立的方式、组织形式；
（五）公司注册资本、股份总额、类别、发起人认购股份的数额、形式及期限；
（六）发起人的权利和义务；
（七）违约责任；
（八）适用法律及争议的解决；
（九）协议的生效与终止；
（十）订立协议的时间、地点，发起人签字；
（十一）其他需要载明的事项。
第十三条 发起人设立公司的协议、章程经对外贸易经济合作部批准后，发起人应在30日内凭对外贸易经济合作部颁发的批准证书到银行开立专用帐户。发起人应自批准证书签发之日起90日内一次缴足其认购的股份。发起人在公司发行的股份缴足之前应承担连带认缴责任。公司不能设立时，发起人为设立行为所发生的费用和债务负连带责任。
第十四条 以发起方式设立公司的，发起人按本规定第十一条的规定缴足其认购的股份后，应当选举董事会和监事会，由董事会向公司登记机关报送设立公司的批准文件、公司章程、验资证明等文件，申请设立登记。
以募集方式设立公司的，发行股份的股数缴足后，必须经法定的验资机构验资并出具证明。发起人应当在30日内主持召开公司创立大会，并选举董事会、监事会，董事会应于创立大会结束后30日内，向公司登记机关报送设立公司的批准文件、公司章程、验资证明、创立大会的会议记录等文件，申请设立登记。
公司登记机关自接到全部登记文件之日起30天内完成登记注册手续，并颁发营业执照。
第十五条 已设立中外合资经营企业、中外合作经营企业、外资企业（以下简称外商投资企业），如申请转变为公司的，应有最近连续3年的盈利记录。由原外商投资企业的投资者作为公司的发起人（或与其他发起人）签定设立公司的协议、章程，报原外商投资企业所在地的审批机关初审同意后转报对外贸易经济合作部审批。
申请转变应报送下列文件：
（一）原外商投资企业的合同、章程；
（二）原外商投资企业董事会关于企业改组的决议；
（三）原外商投资企业投资者关于终止原合同、章程的决议；
（四）原外商投资企业资产评估报告；
（五）发起人（包括但不限于原外商投资企业投资者）协议；
（六）公司章程；
（七）原外商投资企业的营业执照、批准证书，最近连续3年的财务报告；
（八）设立公司的申请书；
（九）发起人的资信证明；
（十）可行性研究报告。
第十六条 上述申请经对外贸易经济合作部批准后，发起人应自批准证书签发并缴足其认购的股本金后向公司登记机关办理变更登记手续。
第十七条 外商投资企业变更登记为公司后，原外商投资企业的一切权利、义务全部转由公司承担。
外商投资企业的中外投资者在原外商投资企业合同、章程中承诺的义务，应列入发起人协议及章程，同样适用所设立的公司。
第十八条 国有企业、集体所有制企业如申请转变为公司的，除符合本规定其他条款的规定外，还须符合以下条件：
（一）该企业至少营业5年并有最近连续3年的盈利记录；
（二）外国股东以可自由兑换的外币购买并持有该企业的股份占该企业注册资本的25％以上；
（三）企业的经营范围符合外商投资企业产业政策。
中外股东作为发起人签定设立公司的协议、章程，报企业所在地审批机关初审同意后转报对外贸易经济合作部审批。
申请转变应报送下列文件：
（一）原企业资产评估报告；
（二）设立公司的申请书；
（三）可行性研究报告；
（四）发起人协议；
（五）公司章程；
（六）原企业的营业执照、最近连续3年的资产负债表；
（七）发起人的资信证明；
（八）其他必要的文件。
第十九条 上述申请经对外贸易经济合作部批准后，发起人应自批准证书签发并缴足其认购的股本金后向公司登记机关办理变更登记手续。
第二十条 股份有限公司申请转变为公司的，除符合本规定其他条款的规定外，还须符合以下条件：
（一）该股份有限公司是经国家正式批准设立的；
（二）外国股东以可自由兑换的外币购买并持有该股份有限公司的股份占公司注册资本的25％以上；
（三）股份有限公司的经营范围符合外商投资企业产业政策。
第二十一条 股份有限公司通过向社会公开发行人民币特种股票（Ｂ股），申请转变为公司的，应报送如下文件：
（一）股东大会对转变为公司的决议；
（二）原股份有限公司资产评估报告；
（三）申请转变为公司的报告；
（四）原股份有限公司章程的补充、修改协议；
（五）证券管理部门批准公开发行人民币特种股票（Ｂ股）的文件；
（六）其它必要的文件。
第二十二条 股份有限公司通过增资扩股或转股发行外国股东持有的股份，申请转变为公司的，除报送前条第（一）、（二）、（三）、（四）款规定的文件外，还应报送股份有限公司与定向购股人的购股协议等其他必要的文件。
第二十三条 股份有限公司在境外发行境外上市外资股（包括但不限于Ｈ股和Ｎ股）并在境外上市申请转变为公司的，除报送第二十一条第（一）、（二）、（三）、（四）款规定的文件外还应报送如下文件：
（一）证券管理部门批准境外上市的文件；
（二）境外证券机构批准原股份有限公司股票上市的文件；
（三）境外上市的原股份有限公司股票交易情况。
第二十四条 上述申请经对外贸易经济合作部批准后，原股份有限公司应持批准证书和公司的募股证明向工商行政管理机关办理变更登记手续。
第二十五条 本暂行规定未规定的公司的其它事宜，按《公司法》、“国务院关于股份有限公司境外募集股份及上市的特别规定”及有关规定办理。
第二十六条 凡属外商投资企业改组成公司的，其减免税等优惠期限，不再重新计算。
第二十七条 香港、澳门、台湾地区的公司、企业、其它经济组织或个人，在大陆投资设立公司的，准用此暂行规定。
第二十八条 本暂行规定由对外贸易经济合作部负责解释。
Provisional Regulations of the Ministry of Foreign Trade andEconomic Cooperation on Certain Issues Concerning the Establishment ofCompanies Limited by Shares with Foreign Investment
(Promulgated on January 10, 1995)
Whole document
Provisional Regulations of the Ministry of Foreign Trade and Economic
Cooperation on Certain Issues Concerning the Establishment of
Companies Limited by Shares with Foreign Investment
(Promulgated on January 10, 1995)
Article 1
In order to further expand international economic co-operation and
technological exchange, to absorb foreign investment and to promote the
development of socialist market economy, foreign companies, enterprises
and other economic organizations or individuals (hereinafter referred to
as foreign shareholders) may incorporate themselves into a company limited
by shares with foreign investment (hereinafter referred to as the company)
with Chinese companies, enterprises or other economic organizations
(hereinafter referred to as Chinese shareholders) within Chinese territory
on the principle of equality and mutual benefit.
Article 2
In these Regulations, the term "a company limited by shares with
foreign investment" refers to an enterprise legal person established in
accordance with these Regulations, with the entire capital being divided
into shares of equal value, where the shareholders bear responsibilities
to the company to the extent of the number of the shares they hold and the
company bears responsibilities for its debts with all its assets, and
where the Chinese and foreign shareholders jointly hold the company's
stock, with the shares subscribed and held by foreign shareholders being
more than twenty-five per cent of the company's registered capital.
Article 3
The company is one of the forms of enterprises with foreign investment
and shall be governed by the relevant laws and regulations of the state
concerning enterprises with foreign investment.
Article 4
The establishment of such company shall be in conformity with the
state industrial policies concerning foreign investment. The state
encourages the establishment of production-oriented enterprises using
advanced technologies.
Article 5
The company may be established by means of promotion or offer.
Article 6
The company set up by means of promotion shall meet the conditions as
provided for in the Company Law on promoters, with at least one of the
promoters being a foreign shareholder.
The company established by means of offer shall meet the requirements
as provided for in the preceding paragraph, with at least one of the
promoters having records of continuously making profits in the recent
three consecutive years prior to the offer. In case the aforementioned
promoter is a Chinese shareholder, the last three years' financial
statements audited by a Chinese certified public accountant should be
furnished. In case the aforementioned promoter is a foreign shareholder,
the financial statements audited by a certified public accountant
registered in its country of residence should be furnished.
Article 7
The registered capital of the company shall be the total share capital
registered with the registration authority and actually paid in. The
minimum amount of the registered capital of the company shall be RMB 30
million, with the shares subscribed and held by foreign shareholders being
no less than twenty-five per cent of the registered capital.
Article 8
The transfer of the shares subscribed by the shareholders shall meet
the conditions stipulated in Article 7 of these Regulations. The
promoters' shares may be transferred after three years from the date of
registration of the company, subject to the approval by the original
examination and approval authority.
Article 9
After the promoters conclude an agreement to establish the company,
they may jointly entrust one of them to handle all matters regarding the
application for setting up the company. The detailed procedures are as
follows:
(1) the applicant shall submit an application for the setting up of
the company, feasibility study report, asset evaluation report, etc. to
the competent departments of the provinces, autonomous regions,
municipalities directly under Central Government and cities with
independent planning (hereinafter referred to as the competent
departments) where the applicant is located. Prospectus shall also be
submitted for the application of establishing a company through offer of
shares.
(2) the aforementioned documents, upon examination by and with the
consent of the competent departments, shall be submitted, through the
competent departments, to the foreign economic and trade departments of
the same provinces, autonomous regions, municipalities directly under
Central Government and cities with independent planning. Upon approval of
the documents by foreign economic and trade departments, the promoters
shall officially sign an agreement for the establishment of the company
and its articles of association. And
(3) the agreement for the establishment of the company and the
articles of association signed by the promoters shall, upon examination by
and with consent of the foreign economic and trade departments of the
provinces, autonomous regions, municipalities directly under the Central
Government and cities with independent planning, be submitted to the
Ministry of Foreign Trade and Economic cooperation for examination and
approval. The Ministry of Foreign Trade and Economic Cooperation shall
decide to approve or disapprove it within 45 days.
Article 10
All kinds of documents provided by the promoters shall be written in
the Chinese language. Where all promoters consider it necessary, a foreign
language agreed upon by all the promoters can be used simultaneously.
However, the examined, approved and effectuated Chinese version shall be
authentic.
Article 11
The application for establishing a company shall lay down the
following:
(1) names, domiciles and the legal representative of the promoters;
(2) name, domicile and aims of the company to be established;
(3) method to establish the company, total value of shares, share
category, value per share, proportion of the shares subscribed by
promoters and the scope and means of the offer;
(4) the production and management situations of the promoters,
including information about production and management, assets and
liabilities and profitabilities in the recent three years (only applicable
to promoters who establish a company by means of offer);
(5) the fields of capital investment and business scope of the
company;
(6) time of the application, signature of the legal representative of
the promoters and official stamp of the promoters' unit; and.
(7) other matters that need to be elaborated.
Article 12
The promoters' agreement shall include the following main contents:
(1) names and domiciles of the promoters; name, nationality, domicile
and post of the legal representative;
(2) name and domicile of the company to be established;
(3) objectives and business scope of the company;
(4) means of establishment and structure of the company;
(5) the company's registered capital, total shares, share category
and the number, form and subscription period of the shares subscribed by
promoters;
(6) rights and obligations of the promoters;
(7) liability for breach of agreement;
(8) application of law and settlement of disputes;
(9) effectiveness and termination of the agreement;
(10) time and place of signature of the agreement, signature of the
promoters; and
(11) other matters that need to be notified.
Article 13
After the promoters' agreement to establish the company and the
articles of association are approved by the Ministry of Foreign Trade and
Economic Cooperation, the promoters shall, within 30 days, open a
special-purpose bank account with a bank by presenting the certificate of
approval issued by the Ministry of Foreign Trade and Economic Cooperation.
The promoters shall make full payment in one installment of all the shares
subscribed within 90 days from the date of issue of the certificate of
approval. The promoters shall undertake the joint and several liability
for the subscription before all the capital subscribed to the company by
themselves is paid. The promoters are also jointly liable for the debts
and expenses arising from actions to establish the company if the company
fails to be established.
Article 14
Where the company is established by means of promotion, after the
promoters have made full payment for shares subscribed in accordance with
the provisions of Article 11, an election for the board of directors and
the board of supervisors shall be made. The board of directors shall
submit the document of approval to establish the company, articles of
association, certificate of capital verification, etc. to the
registration authority and apply for the registration.
Where the company is established by means of offer, after the full
payment has been made for the shares issued, it must be verified and given
certificate by an authorized investment verification organization. The
promoters shall within 30 days, hold the founding meeting of the company
and elect the board of directors and the board of supervisors. The board
of directors shall submit document of approval, the company's articles of
association, certificate of capital verification, memorandum of the
founding meeting, etc. to the registration authority to apply for the
registration.
The registration authority shall complete the registration formalities
and issue the business licence within 30 days after it receives all
documents for registration.
Article 15
Where existing Chinese-foreign equity joint ventures, Chinese-foreign
cooperative joint ventures and wholly foreign-owned enterprises
(hereinafter referred to as "enterprises with foreign investment") apply
to reorganize themselves into a company, the enterprises with foreign
investment must have a record of making profits for the recent 3
consecutive years. The investors of the original foreign investment
enterprises shall act as the promoters (or together with other promoters)
to sign the agreement for the set up of the company and the articles of
association and then submit them to the original examination and approval
authority in the location of the original foreign investment enterprise
for preliminary examination and approval and onward submission to the
Ministry of Foreign Trade and Economic Cooperation for final approval.
The following documents shall be submitted where an enterprise with
foreign investment applies for such reorganization:
(1) contract, articles of association of the original enterprise with
foreign investment;
(2) decision of the board of directors of the original enterprise with
foreign investment on the reorganization of the enterprise;
(3) agreement of the investors of the original foreign investment
enterprise on the termination of the original contract and articles of
association;
(4) asset evaluation report of the original enterprise with foreign
investment;
(5) the promoter's (including but not limited to the investors of the
original enterprise with foreign investment) agreement;
(6) articles of association of the company;
(7) business licence, certificate of approval, and the financial
report of the recent 3 consecutive years;
(8) application letter for the establishment of the company;
(9) the promoters' credit references; and
(10) feasibility study report.
Article 16
After the foregoing applications are approved by the Ministry of
Foreign Trade and Economic Cooperation, the promoters shall go through the
procedure of alteration of registration after the issuance of approval
certificate and full payment of the capital shares subscribed.
Article 17
Upon the completion of the formalities for the alteration of
registration, all the rights and obligations of the original enterprise
with foreign investment shall be fully assumed by the company.
The obligations committed by the Chinese and foreign investors of the
enterprise with foreign investment in the original contract and articles
of association should be specified in the promoter's agreement and
articles of association and made applicable to the company to be
established.
Article 18
A state-owned enterprise or a collectively-owned enterprise which
applies for reorganizing itself into a company shall meet the following
requirements in addition to other provisions as provided for in these
Regulations:
(1) the enterprise shall have an operational period of no less than
five years, and have records of taking profits in the recent three
consecutive years;
(2) shares of the enterprise as subscribed with freely convertible
foreign currencies and held by foreign shareholders shall take more than
twenty-five per cent of the registered capital of the enterprise; and
(3) the business scope of the enterprise shall be in line with the
state's industrial policies for enterprises with foreign investment.
The agreement for the setting up of the company and the articles of
association signed by Chinese and foreign shareholders as promoters shall
be submitted to the local examination and approval authority for
preliminary examination and approval and onward submission to the Ministry
of Foreign Trade and Economic Cooperation for final approval.
The following documents shall be submitted in order to apply for the
reorganization:
(1) asset evaluation report of the enterprise;
(2) application letter for the establishment of the company;
(3) feasibility study report;
(4) promoters' agreement;
(5) the company's articles of association;
(6) business license and balance sheets for the recent three
consecutive years of the enterprises;
(7) credit references of the promoters; and
(8) other necessary documents.
Article 19
Upon the approval by the Ministry of Foreign Trade and Economic
Cooperation for the above mentioned application, the promoters shall,
after the issuance of the approval certificate and full payment of the
share capital subscribed, apply to the registration authority for the
alteration of registration.
Article 20
A company limited by shares applying for reorganizing itself into the
company shall meet the following requirements in addition to other
provisions as provided for in these Regulations:
(1) the establishment of the company limited by shares was duly
approved by the State;
(2) the shares subscribed with freely convertible foreign currencies
and held by Foreign Shareholders shall take more than twenty-five per cent
of the company's registered capital; and
(3) the business scope of the company limited by shares shall be in
line with the industrial policies for enterprises with foreign investment.
Article 21
Where a company limited by shares applies to reorganize itself into a
company by means of issuing Renminbi Special Shares (B Shares) to the
public, the following documents shall be submitted:
(1) the decision of the shareholders' meeting on reorganizing itself
into a company;
(2) asset evaluation report of the original company limited by shares;
(3) application report on the reorganizing itself into the company;
(4) agreement on the additions and amendments to the articles of
association of the original company limited by shares;
(5) approval document from the security administration authority on
the public offer of Renminbi Special Shares (B Shares); and
(6) other necessary documents.
Article 22
Where a company limited by shares applies to reorganize itself into a
company by increasing capital and making public offer of new shares or
reverting to offering shares to be held by foreign shareholders, it shall
submit, in addition to the documents set out in item (1), (2), (3) and (4)
in the preceding article, the share subscribing agreement entered into
between the company limited by shares and the specifically-targeted
subscriber (s) as well as other necessary documents.
Article 23
A company limited by shares, which is listed and makes public offer of
shares outside the Chinese territory to foreign investors (including but
not limited to H shares and N shares) and applies for the reorganization
into the company, should submit the following documents in addition to
documents set out in item (1), (2), (3) and (4) of Article 21:
(1) approval document from the security administration authority on
the overseas listing;
(2) approval document from the security administration authority
outside the Chinese territory on the public listing of the original
company limited by shares; and
(3) transaction records of the overseas listed shares of the original
company limited by shares.
Article 24
Upon approval by the Ministry of Foreign Trade and Economic
Cooperation on the above mentioned application, the original company
limited by shares shall apply for the alteration of registration by
presenting the approval document and the public offering certificate to
the administration authority for industry and commerce.
Article 25
Other matters relating to the company that are not provided for in
these Provisional Regulations shall be handled in accordance with the
Company Law and Special Regulations of the State Council on Offer and
Listing of Shares Outside the Territory by Companies Limited by Shares.
Article 26
The tax holidays for tax exemption and reduction etc. shall not be
recalculated for a company reorganized by an enterprise with foreign
investment.
Article 27
These Provisional Regulations are applicable to the companies
established with investment by companies, enterprises, and other economic
organizations or individuals from the regions of Hong Kong, Macao and
Taiwan.
Article 28
The Ministry of Foreign Trade and Economic Cooperation shall take
charge of the interpretation of these Provisional Regulations.
一部完整的中国通史，必须包括中国各少数民族史，这已是史家的共识。同样，一部中国法制史，如果只是津津乐道于华夏"正统"王朝立法建制的辉煌成就，而对各少数民族政权，尤其是北方少数民族入主中原所建政权的法制漠然置之，或视其为华夏王朝法制的附庸，那么，这部中国法制史就是残缺不全的。或者说，它不能算作一部真正的中国法制史。
我国古代的少数民族，大致可作南北之分。从某种意义上??讲，北方少数民族的历史地位较南方突出。他们多以游牧为主要生活方式，素以勇猛、强悍著称，曾多次入主华夏建立统治全国的政权，或控制中国北方，与南方汉族政权长期并存。从西晋末年匈奴、鲜卑、羯、氐、羌等族在中原建立十六国，到北魏统一中国北方；从辽、金、西夏与两宋的长期对峙，到元朝和清朝的"大一统"政权，历时近千年之久，几乎占了整个封建时代一半的时间。
在入主中原之前，北方少数民族大多已经历漫长的发展历程，创立了富于特色的游牧民族文化。他们大多有自己的语言、文字，有记录成文的习惯法规范或成文法典。诸如契丹族在耶律阿保机为部落联盟首领时的"籍没之法"；女真族在十一世纪初石鲁联盟时代的"条教"；成吉思汗建立蒙古汗国时编纂的《大扎撒》等。在入主中原的过程中，少数民族传统法文化虽然受到源远流长的华夏正统法文化的冲击和融汇，但仍然顽强地固守自己的领地，凭借本民族在国家政权中占居统治地位的优势条件，对国家立法建制以至整个社会生活发挥影响，使这些政权的法制呈现出多元化的色彩。
然而，正是这些富于多元化特色的法制融入，为儒家思想束缚下步履蹒跚的中国法制不断注入新的活力，才使中国古代立法建制创造出世人注目的辉煌，中华法系才会具有如此巨大的魅力而跻身于世界大法系之列。
可是，迄今为止，几乎所有的中国法制史论著，除对北魏、元朝和清朝法制稍微注意外，五胡十六国、辽、金、西夏、蒙古汗国、后金等少数民族占居统治地位政权的法制，备受冷落，或只字未提，或一笔带过，或基于"华夏正统"的观念，只是对其中野蛮残酷的内容痛加挞伐，却置其法制上的建树于不顾。至于有关少数民族法制史的专著，则基本上是空白。
这种状况，显然与少数民族政权法制在中国法制史上的地位和作用极不相称。因此，全面、系统地探讨我国历史上少数民族政权的立法建制活动及其经验教训，无疑是民族学和法学理论工作者的一项义不容辞的责任和义务。
有鉴于此，笔者在完成国家"七五"期间哲学、社会科学重点课题《中国法制通史》之《宋辽金卷·金朝法制》撰稿任务后，对所搜辑的大量金律资料进一步作了深入的探索和考察，汇纂成此书，力求反映金朝立法建制的全貌，期望对民族法制史研究起到抛砖引玉的作用。
二
在中国古代各少数民族中，女真族尤以历史悠久著称。其先世可以追溯到西周初年受周王室册命的肃慎。后来，肃慎部族在汉魏晋时期被称为挹娄，北朝称之曰勿吉，隋唐称??，五代始将黑水??称为女真。到十一世纪时，以??为主体，吸收不同祖源、语系的氏族部落形成的女真族，在"白山"（长白山）、"黑水 "（黑龙江流域）间崛起。自公元１１１５年建立国家政权后，相继吞并辽朝和北宋，在中国北部建立了长达一百二十年较为稳固的统治。
在此期间，女真族以开放的恣态，吸收和融合了汉族及其他各族文明的精华，促进了本民族的飞跃发展。同时，对异族文化博采兼纳，又使女真文化获得了丰富的滋养，成为具有较高水平的多元文化。女真文化与中原文化双向渗透的结果，形成以儒家思想居主导地位的多元一体的金文化。可见金文化并非同时并存的宋文化的附属，而是中华文化的有机组成部分。在中华文化发展史上，金文化应与宋文化并列于"正统"地位。
儒家思想在金代社会意识形态中主导地位的确立，经历了一个漫长的时期。金建国之初，女真"旧俗"尚支配一切，占居上风。到熙宗时，金朝在中原的统治基本稳定，统治者开始提倡尊孔崇儒。在世宗、章宗时期，儒家思想已成为金统治的思想基础，并渗透到社会生活的各个方面。儒学的精神原则成为衡量是非的标准；儒家的忠孝观念被奉为调整君臣上下和家庭、宗族关系的准则。少数民族在礼俗、丧葬、文体、游艺、岁时杂俗乃至心理素质等深层文化中，都不同程度地表现出"华夷同风"的文化积淀。
有金一代，中国古代的各种思想灿然皆备，百家争鸣，儒家思想、佛教、道教尤为盛行。儒家思想之所以独占鳌头，成为金朝统治思想的核心和主体，乃是由多种因素促成的。金崇奉的儒家思想，已不同于先秦和汉代的儒学，而是继承北朝以来兴起的新儒学。这种新儒学不尚虚名，注重博实，敢于摒弃"贵华夏，贱夷狄"等陈腐观念，敢以北方王朝自重，以"正统"自居，完全适合金王朝力图在当时国与国之间的关系中树立"正统"形象的需要，因而受到统治者的青睐。
此外，金统治者崇儒还缘于维护自己统治地位的现实目的。世宗即位后，鉴于女真贵族集团内部不断发生争权夺利的血腥事件，熙宗、海陵王相继死于暴力政变，遂大力宣扬和提倡儒家忠孝观念，特别强调忠君，把忠君思想作为调整君臣关系的法宝，要求臣僚"惟忠惟孝，匡救辅益，期致太平"(《金史·纥石烈良弼传》)，告诫臣民不要做有亏忠节的事。
金统治者带头尊孔崇儒，使女真人皆以学习华夏文化为荣，汇成一股学习华夏文化的潮流。以儒学为核心的汉文化逐渐为女真人普遍接受。儒家思想成为汉、女真人等各族人民的共同思想。
各民族共同思想基础的确立，推动了金代政治经济制度改革和封建文化的发展，加速了民族融合的进程。
三
在以儒家思想为主体的多元一体文化氛围中，金朝立法上采唐辽宋之制，参以女真传统习惯法，形成具有多元特色的法??，并对元朝法律制度产生了深远影响。
金朝第一部成文法规熙宗《皇统新制》，就是以本朝旧制为基础，兼采隋唐之制，参辽宋之法汇纂而成。此后，海陵王《正隆续降制书》、世宗《军前权宜条理》、《大定重修制条》等法规，都是修订皇统以来历代法规基础上颁行的。集金代立法之大成的《泰和律令敕条格式》更是以唐律疏义》之翻版。它不仅是金朝的一代成法定规，其效力还及于元初。"元兴，其初未有法守，百司断理狱讼，循用金律"
(《元史·刑法一》)
直到元世祖至元八年（１２７１年）"始禁用金泰和律"(
《元史·世祖本纪》)。从蒙古汗国太宗六年（１２３４年）灭金而沿用金律，至此已三十七年时间。而且，金律的效用并未因元世祖一纸禁令而中止。世祖下令禁用金律时，并未颁行一部足以代替《泰和律》的成规定制。以致至元十六年（１２７９年），御史中丞崔 仍建言："宪曹无法可守，是以奸人无所顾忌，宜定律令以为一代之法"。(《新元史·刑法志》)在至元二十八年（１２９１年）颁布《至元新格》后，元成宗于元贞二年（１２９６年）以"律令，良法也，宜早定之"(《新元史·刑法志》)，命参知政事何荣祖等更定律令。但新律直到武宗至大二年（１３０９年）仍未颁行。时中书省臣上疏："律令者，治国之急务，当以时损益。世祖有旨，金泰和律勿用，令老臣通法律者参酌古今，从新定制，至今尚未行。臣等谓律令重布，未可轻议。请自世祖即位以来所行条格，校雠归一，遵而行之。"(《新元史·刑法志》)英宗至治三年（１３２３年），《大元通制》告成，才最终取代了《泰和律》的地位。可见，在中国法制史上，金律和两宋法律共同居于承前启后的重要地位。
四
关于研究金律的资料问题。
金代律典法规早已亡佚不传。我们只能从散见于历史典籍中的法制资料，勾勒出金王朝立法建制之概貌。
作为二十四史之一的《金史》一百三十五卷，乃是可资参阅的基本史籍。《金史》系元代官修的一部正史。其依据是金朝史官编纂的诸帝《实录》和《国史》，并以金人刘祁的《归潜志》、元好问的《中州集》和《壬辰杂编》、王鹗《汝南遗事》等著作参证补遗，内容详实而可靠。正如《四库总目提要》所论:金代"制度典章，彬彬为盛，征文考献，具有所资。"而且，《金史》成书前，已有不少史家对金朝史实做了大量的考订整理工作，"相承纂述，复不乏人"，为修成《金史》提供了较好的基础。《四库总目提要》说，"元人之于此书，经营之久，与宋、辽二史取办仓卒者不同"，对《金史》赞誉有加，称该书"首尾完密，条例整齐，约而不疏，赡而不芜，在三史之中，独为最善。"清人赵翼亦指出："《金史》叙事最详核，文笔亦极老洁，迥出宋、元二史之上，"谓为"良史"。(《廿二史札记》卷二十七)
此外，题为"淮西归正人宇文懋昭撰"的《大金国志》、宋人徐梦莘的《三朝北盟会编》、洪皓的《松漠纪闻》等，亦是研究金律的重要资料。
值得一提的是，台湾商务印书馆于１９７２年出版了叶潜昭先生的学术专著《金律之研究》。该书以宋朝律博士傅霖所撰《刑统赋》之疏解，及《元典章》为依据，参照《唐律疏议》，对金《泰和律》的条文进行了"复旧"，为金朝法制研究开辟了新的途径，对弥补金代法规亡佚造成的资料阙如作了有益的探索。其研究方法和视角独特而新颖，给人以启迪。
然而，《金律之研究》所"复旧"的金律，只是颁行于章宗泰和二年（１２０２年）五月之《泰和律义》。该律典虽然堪称金朝立法的主要成果，却不能反映此前近九十年间金律发展演变的历程，无法显示金代立法建制之全貌。须知，无论熙宗《皇统新制》、海陵王《正隆续降制书》，还是世宗《军前权宜条理》和《大定重修制条》，都是金代长期通行的成法定制，当然是金律的有机组成部分。
再则，《元典章》、《刑统赋解》、《刑统赋疏》等，多为元人著作。其中对《刑统赋》的疏解，援引了《唐律疏议》和元代的判牍、案例作为印证。在未经信史佐证，其中唐、宋、金、元之制难以区分的情况下，将上述著作中的内容认定为金律条文，似值得商兑。
关于设立外商投资股份有限公司若干问题的暂行规定(附英文)
关于设立外商投资股份有限公司若干问题的暂行规定(附英文)
1995年1月10日，对外贸易经济合作部
第一条 为进一步扩大国际经济技术合作和交流，引进外资，促进社会主义商品经济的发展，外国的公司、企业和其他经济组织或个人（以下简称外国股东），按照平等互利的原则，可与中国的公司、企业或其他经济组织（以下简称中国股东）在中国境内，共同举办外商投资股份有限公司（以下简称公司）。
第二条 本规定所称的外商投资股份有限公司是指依本规定设立的，全部资本由等额股份构成，股东以其所认购的股份对公司承担责任，公司以全部财产对公司债务承担责任，中外股东共同持有公司股份。外国股东购买并持有的股份占公司注册资本25％以上的企业法人。
第三条 公司为外商投资企业的一种形式，适用国家法律、法规对于外商投资企业的有关规定。
第四条 设立公司应符合国家有关外商投资企业产业政策的规定。国家鼓励设立技术先进的生产型公司。
第五条 公司可采取发起方式或者募集方式设立。
第六条 以发起方式设立的公司，除应符合公司法规定的发起人的条件外，其中至少有一个发起人应为外国股东。
以募集方式设立的公司，除应符合前款条件外，其中至少有一个发起人还应有募集股份前3年连续盈利的记录，该发起人为中国股东时，应提供其近3年经过中国注册会计师审计的财务会计报告；该发起人为外国股东时，应提供该外国股东居所所在地注册会计师审计的财务报告。
第七条 公司的注册资本应为在登记注册机关登记注册的实收股本总额，公司注册资本的最低限额为人民币3千万元。其中外国股东购买并持有的股份应不低于公司注册资本的25％。
第八条 股东认购的股份的转让应符合本规定第七条所规定的条件。发起人股份的转让，须在公司设立登记3年后进行，并经公司原审批机关批准。
第九条 发起人达成设立公司协议后，可共同委托一发起人办理设立公司的申请手续。具体程序是：
（一）申请人向其省、自治区、直辖市及计划单列市政府主管部门（以下称主管部门）提交设立公司的申请书、可行性研究报告、资产评估报告等文件。
以募集方式设立公司的，申请人还须提交招股说明书。
（二）上述文件经主管部门审查同意后，由主管部门转报省、自治区、直辖市及计划单列市对外经贸部门。上述文件经省、自治区、直辖市及计划单列市对外经贸部门核准后，发起人正式签定设立公司的协议、章程。
（三）发起人签定设立公司的协议、章程，报省、自治区、直辖市对外经贸部门审查同意后，报对外贸易经济合作部审查批准。对外贸易经济合作部在45日内决定批准或不批准。
第十条 发起人提交的各项文件必须用中文书写。在发起人各方认为需要时，可商定再用一种外文书写，但以审批生效的中文文本为准。
第十一条 设立公司的申请书应概要说明：
（一）发起人的名称、住所、法定代表人；
（二）组建公司的名称、住所及宗旨；
（三）公司设立方式、股本总额、类别、每股面值、发起人认购比例、股份募集范围和途径；
（四）发起人的生产经营情况，包括近3年生产经营、资产与负债、利润等情况（限于以募集方式设立公司的发起人）；
（五）公司的资金投向及经营范围；
（六）提出申请的时间，发起人的法定代表签名并加盖发起人单位公章；
（七）其他需要说明的事项。
第十二条 发起人协议应包括以下主要内容：
（一）发起人的名称、住所、法定代表人的姓名、国籍、住所、职务；
（二）组建公司的名称、住所；
（三）公司的宗旨、经营范围；
（四）公司设立的方式、组织形式；
（五）公司注册资本、股份总额、类别、发起人认购股份的数额、形式及期限；
（六）发起人的权利和义务；
（七）违约责任；
（八）适用法律及争议的解决；
（九）协议的生效与终止；
（十）订立协议的时间、地点，发起人签字；
（十一）其他需要载明的事项。
第十三条 发起人设立公司的协议、章程经对外贸易经济合作部批准后，发起人应在30日内凭对外贸易经济合作部颁发的批准证书到银行开立专用帐户。发起人应自批准证书签发之日起90日内一次缴足其认购的股份。发起人在公司发行的股份缴足之前应承担连带认缴责任。公司不能设立时，发起人为设立行为所发生的费用和债务负连带责任。
第十四条 以发起方式设立公司的，发起人按本规定第十一条的规定缴足其认购的股份后，应当选举董事会和监事会，由董事会向公司登记机关报送设立公司的批准文件、公司章程、验资证明等文件，申请设立登记。
以募集方式设立公司的，发行股份的股数缴足后，必须经法定的验资机构验资并出具证明。发起人应当在30日内主持召开公司创立大会，并选举董事会、监事会，董事会应于创立大会结束后30日内，向公司登记机关报送设立公司的批准文件、公司章程、验资证明、创立大会的会议记录等文件，申请设立登记。
公司登记机关自接到全部登记文件之日起30天内完成登记注册手续，并颁发营业执照。
第十五条 已设立中外合资经营企业、中外合作经营企业、外资企业（以下简称外商投资企业），如申请转变为公司的，应有最近连续3年的盈利记录。由原外商投资企业的投资者作为公司的发起人（或与其他发起人）签定设立公司的协议、章程，报原外商投资企业所在地的审批机关初审同意后转报对外贸易经济合作部审批。
申请转变应报送下列文件：
（一）原外商投资企业的合同、章程；
（二）原外商投资企业董事会关于企业改组的决议；
（三）原外商投资企业投资者关于终止原合同、章程的决议；
（四）原外商投资企业资产评估报告；
（五）发起人（包括但不限于原外商投资企业投资者）协议；
（六）公司章程；
（七）原外商投资企业的营业执照、批准证书，最近连续3年的财务报告；
（八）设立公司的申请书；
（九）发起人的资信证明；
（十）可行性研究报告。
第十六条 上述申请经对外贸易经济合作部批准后，发起人应自批准证书签发并缴足其认购的股本金后向公司登记机关办理变更登记手续。
第十七条 外商投资企业变更登记为公司后，原外商投资企业的一切权利、义务全部转由公司承担。
外商投资企业的中外投资者在原外商投资企业合同、章程中承诺的义务，应列入发起人协议及章程，同样适用所设立的公司。
第十八条 国有企业、集体所有制企业如申请转变为公司的，除符合本规定其他条款的规定外，还须符合以下条件：
（一）该企业至少营业5年并有最近连续3年的盈利记录；
（二）外国股东以可自由兑换的外币购买并持有该企业的股份占该企业注册资本的25％以上；
（三）企业的经营范围符合外商投资企业产业政策。
中外股东作为发起人签定设立公司的协议、章程，报企业所在地审批机关初审同意后转报对外贸易经济合作部审批。
申请转变应报送下列文件：
（一）原企业资产评估报告；
（二）设立公司的申请书；
（三）可行性研究报告；
（四）发起人协议；
（五）公司章程；
（六）原企业的营业执照、最近连续3年的资产负债表；
（七）发起人的资信证明；
（八）其他必要的文件。
第十九条 上述申请经对外贸易经济合作部批准后，发起人应自批准证书签发并缴足其认购的股本金后向公司登记机关办理变更登记手续。
第二十条 股份有限公司申请转变为公司的，除符合本规定其他条款的规定外，还须符合以下条件：
（一）该股份有限公司是经国家正式批准设立的；
（二）外国股东以可自由兑换的外币购买并持有该股份有限公司的股份占公司注册资本的25％以上；
（三）股份有限公司的经营范围符合外商投资企业产业政策。
第二十一条 股份有限公司通过向社会公开发行人民币特种股票（Ｂ股），申请转变为公司的，应报送如下文件：
（一）股东大会对转变为公司的决议；
（二）原股份有限公司资产评估报告；
（三）申请转变为公司的报告；
（四）原股份有限公司章程的补充、修改协议；
（五）证券管理部门批准公开发行人民币特种股票（Ｂ股）的文件；
（六）其它必要的文件。
第二十二条 股份有限公司通过增资扩股或转股发行外国股东持有的股份，申请转变为公司的，除报送前条第（一）、（二）、（三）、（四）款规定的文件外，还应报送股份有限公司与定向购股人的购股协议等其他必要的文件。
第二十三条 股份有限公司在境外发行境外上市外资股（包括但不限于Ｈ股和Ｎ股）并在境外上市申请转变为公司的，除报送第二十一条第（一）、（二）、（三）、（四）款规定的文件外还应报送如下文件：
（一）证券管理部门批准境外上市的文件；
（二）境外证券机构批准原股份有限公司股票上市的文件；
（三）境外上市的原股份有限公司股票交易情况。
第二十四条 上述申请经对外贸易经济合作部批准后，原股份有限公司应持批准证书和公司的募股证明向工商行政管理机关办理变更登记手续。
第二十五条 本暂行规定未规定的公司的其它事宜，按《公司法》、“国务院关于股份有限公司境外募集股份及上市的特别规定”及有关规定办理。
第二十六条 凡属外商投资企业改组成公司的，其减免税等优惠期限，不再重新计算。
第二十七条 香港、澳门、台湾地区的公司、企业、其它经济组织或个人，在大陆投资设立公司的，准用此暂行规定。
第二十八条 本暂行规定由对外贸易经济合作部负责解释。
Provisional Regulations of the Ministry of Foreign Trade andEconomic Cooperation on Certain Issues Concerning the Establishment ofCompanies Limited by Shares with Foreign Investment
(Promulgated on January 10, 1995)
Whole document
Provisional Regulations of the Ministry of Foreign Trade and Economic
Cooperation on Certain Issues Concerning the Establishment of
Companies Limited by Shares with Foreign Investment
(Promulgated on January 10, 1995)
Article 1
In order to further expand international economic co-operation and
technological exchange, to absorb foreign investment and to promote the
development of socialist market economy, foreign companies, enterprises
and other economic organizations or individuals (hereinafter referred to
as foreign shareholders) may incorporate themselves into a company limited
by shares with foreign investment (hereinafter referred to as the company)
with Chinese companies, enterprises or other economic organizations
(hereinafter referred to as Chinese shareholders) within Chinese territory
on the principle of equality and mutual benefit.
Article 2
In these Regulations, the term "a company limited by shares with
foreign investment" refers to an enterprise legal person established in
accordance with these Regulations, with the entire capital being divided
into shares of equal value, where the shareholders bear responsibilities
to the company to the extent of the number of the shares they hold and the
company bears responsibilities for its debts with all its assets, and
where the Chinese and foreign shareholders jointly hold the company's
stock, with the shares subscribed and held by foreign shareholders being
more than twenty-five per cent of the company's registered capital.
Article 3
The company is one of the forms of enterprises with foreign investment
and shall be governed by the relevant laws and regulations of the state
concerning enterprises with foreign investment.
Article 4
The establishment of such company shall be in conformity with the
state industrial policies concerning foreign investment. The state
encourages the establishment of production-oriented enterprises using
advanced technologies.
Article 5
The company may be established by means of promotion or offer.
Article 6
The company set up by means of promotion shall meet the conditions as
provided for in the Company Law on promoters, with at least one of the
promoters being a foreign shareholder.
The company established by means of offer shall meet the requirements
as provided for in the preceding paragraph, with at least one of the
promoters having records of continuously making profits in the recent
three consecutive years prior to the offer. In case the aforementioned
promoter is a Chinese shareholder, the last three years' financial
statements audited by a Chinese certified public accountant should be
furnished. In case the aforementioned promoter is a foreign shareholder,
the financial statements audited by a certified public accountant
registered in its country of residence should be furnished.
Article 7
The registered capital of the company shall be the total share capital
registered with the registration authority and actually paid in. The
minimum amount of the registered capital of the company shall be RMB 30
million, with the shares subscribed and held by foreign shareholders being
no less than twenty-five per cent of the registered capital.
Article 8
The transfer of the shares subscribed by the shareholders shall meet
the conditions stipulated in Article 7 of these Regulations. The
promoters' shares may be transferred after three years from the date of
registration of the company, subject to the approval by the original
examination and approval authority.
Article 9
After the promoters conclude an agreement to establish the company,
they may jointly entrust one of them to handle all matters regarding the
application for setting up the company. The detailed procedures are as
follows:
(1) the applicant shall submit an application for the setting up of
the company, feasibility study report, asset evaluation report, etc. to
the competent departments of the provinces, autonomous regions,
municipalities directly under Central Government and cities with
independent planning (hereinafter referred to as the competent
departments) where the applicant is located. Prospectus shall also be
submitted for the application of establishing a company through offer of
shares.
(2) the aforementioned documents, upon examination by and with the
consent of the competent departments, shall be submitted, through the
competent departments, to the foreign economic and trade departments of
the same provinces, autonomous regions, municipalities directly under
Central Government and cities with independent planning. Upon approval of
the documents by foreign economic and trade departments, the promoters
shall officially sign an agreement for the establishment of the company
and its articles of association. And
(3) the agreement for the establishment of the company and the
articles of association signed by the promoters shall, upon examination by
and with consent of the foreign economic and trade departments of the
provinces, autonomous regions, municipalities directly under the Central
Government and cities with independent planning, be submitted to the
Ministry of Foreign Trade and Economic cooperation for examination and
approval. The Ministry of Foreign Trade and Economic Cooperation shall
decide to approve or disapprove it within 45 days.
Article 10
All kinds of documents provided by the promoters shall be written in
the Chinese language. Where all promoters consider it necessary, a foreign
language agreed upon by all the promoters can be used simultaneously.
However, the examined, approved and effectuated Chinese version shall be
authentic.
Article 11
The application for establishing a company shall lay down the
following:
(1) names, domiciles and the legal representative of the promoters;
(2) name, domicile and aims of the company to be established;
(3) method to establish the company, total value of shares, share
category, value per share, proportion of the shares subscribed by
promoters and the scope and means of the offer;
(4) the production and management situations of the promoters,
including information about production and management, assets and
liabilities and profitabilities in the recent three years (only applicable
to promoters who establish a company by means of offer);
(5) the fields of capital investment and business scope of the
company;
(6) time of the application, signature of the legal representative of
the promoters and official stamp of the promoters' unit; and.
(7) other matters that need to be elaborated.
Article 12
The promoters' agreement shall include the following main contents:
(1) names and domiciles of the promoters; name, nationality, domicile
and post of the legal representative;
(2) name and domicile of the company to be established;
(3) objectives and business scope of the company;
(4) means of establishment and structure of the company;
(5) the company's registered capital, total shares, share category
and the number, form and subscription period of the shares subscribed by
promoters;
(6) rights and obligations of the promoters;
(7) liability for breach of agreement;
(8) application of law and settlement of disputes;
(9) effectiveness and termination of the agreement;
(10) time and place of signature of the agreement, signature of the
promoters; and
(11) other matters that need to be notified.
Article 13
After the promoters' agreement to establish the company and the
articles of association are approved by the Ministry of Foreign Trade and
Economic Cooperation, the promoters shall, within 30 days, open a
special-purpose bank account with a bank by presenting the certificate of
approval issued by the Ministry of Foreign Trade and Economic Cooperation.
The promoters shall make full payment in one installment of all the shares
subscribed within 90 days from the date of issue of the certificate of
approval. The promoters shall undertake the joint and several liability
for the subscription before all the capital subscribed to the company by
themselves is paid. The promoters are also jointly liable for the debts
and expenses arising from actions to establish the company if the company
fails to be established.
Article 14
Where the company is established by means of promotion, after the
promoters have made full payment for shares subscribed in accordance with
the provisions of Article 11, an election for the board of directors and
the board of supervisors shall be made. The board of directors shall
submit the document of approval to establish the company, articles of
association, certificate of capital verification, etc. to the
registration authority and apply for the registration.
Where the company is established by means of offer, after the full
payment has been made for the shares issued, it must be verified and given
certificate by an authorized investment verification organization. The
promoters shall within 30 days, hold the founding meeting of the company
and elect the board of directors and the board of supervisors. The board
of directors shall submit document of approval, the company's articles of
association, certificate of capital verification, memorandum of the
founding meeting, etc. to the registration authority to apply for the
registration.
The registration authority shall complete the registration formalities
and issue the business licence within 30 days after it receives all
documents for registration.
Article 15
Where existing Chinese-foreign equity joint ventures, Chinese-foreign
cooperative joint ventures and wholly foreign-owned enterprises
(hereinafter referred to as "enterprises with foreign investment") apply
to reorganize themselves into a company, the enterprises with foreign
investment must have a record of making profits for the recent 3
consecutive years. The investors of the original foreign investment
enterprises shall act as the promoters (or together with other promoters)
to sign the agreement for the set up of the company and the articles of
association and then submit them to the original examination and approval
authority in the location of the original foreign investment enterprise
for preliminary examination and approval and onward submission to the
Ministry of Foreign Trade and Economic Cooperation for final approval.
The following documents shall be submitted where an enterprise with
foreign investment applies for such reorganization:
(1) contract, articles of association of the original enterprise with
foreign investment;
(2) decision of the board of directors of the original enterprise with
foreign investment on the reorganization of the enterprise;
(3) agreement of the investors of the original foreign investment
enterprise on the termination of the original contract and articles of
association;
(4) asset evaluation report of the original enterprise with foreign
investment;
(5) the promoter's (including but not limited to the investors of the
original enterprise with foreign investment) agreement;
(6) articles of association of the company;
(7) business licence, certificate of approval, and the financial
report of the recent 3 consecutive years;
(8) application letter for the establishment of the company;
(9) the promoters' credit references; and
(10) feasibility study report.
Article 16
After the foregoing applications are approved by the Ministry of
Foreign Trade and Economic Cooperation, the promoters shall go through the
procedure of alteration of registration after the issuance of approval
certificate and full payment of the capital shares subscribed.
Article 17
Upon the completion of the formalities for the alteration of
registration, all the rights and obligations of the original enterprise
with foreign investment shall be fully assumed by the company.
The obligations committed by the Chinese and foreign investors of the
enterprise with foreign investment in the original contract and articles
of association should be specified in the promoter's agreement and
articles of association and made applicable to the company to be
established.
Article 18
A state-owned enterprise or a collectively-owned enterprise which
applies for reorganizing itself into a company shall meet the following
requirements in addition to other provisions as provided for in these
Regulations:
(1) the enterprise shall have an operational period of no less than
five years, and have records of taking profits in the recent three
consecutive years;
(2) shares of the enterprise as subscribed with freely convertible
foreign currencies and held by foreign shareholders shall take more than
twenty-five per cent of the registered capital of the enterprise; and
(3) the business scope of the enterprise shall be in line with the
state's industrial policies for enterprises with foreign investment.
The agreement for the setting up of the company and the articles of
association signed by Chinese and foreign shareholders as promoters shall
be submitted to the local examination and approval authority for
preliminary examination and approval and onward submission to the Ministry
of Foreign Trade and Economic Cooperation for final approval.
The following documents shall be submitted in order to apply for the
reorganization:
(1) asset evaluation report of the enterprise;
(2) application letter for the establishment of the company;
(3) feasibility study report;
(4) promoters' agreement;
(5) the company's articles of association;
(6) business license and balance sheets for the recent three
consecutive years of the enterprises;
(7) credit references of the promoters; and
(8) other necessary documents.
Article 19
Upon the approval by the Ministry of Foreign Trade and Economic
Cooperation for the above mentioned application, the promoters shall,
after the issuance of the approval certificate and full payment of the
share capital subscribed, apply to the registration authority for the
alteration of registration.
Article 20
A company limited by shares applying for reorganizing itself into the
company shall meet the following requirements in addition to other
provisions as provided for in these Regulations:
(1) the establishment of the company limited by shares was duly
approved by the State;
(2) the shares subscribed with freely convertible foreign currencies
and held by Foreign Shareholders shall take more than twenty-five per cent
of the company's registered capital; and
(3) the business scope of the company limited by shares shall be in
line with the industrial policies for enterprises with foreign investment.
Article 21
Where a company limited by shares applies to reorganize itself into a
company by means of issuing Renminbi Special Shares (B Shares) to the
public, the following documents shall be submitted:
(1) the decision of the shareholders' meeting on reorganizing itself
into a company;
(2) asset evaluation report of the original company limited by shares;
(3) application report on the reorganizing itself into the company;
(4) agreement on the additions and amendments to the articles of
association of the original company limited by shares;
(5) approval document from the security administration authority on
the public offer of Renminbi Special Shares (B Shares); and
(6) other necessary documents.
Article 22
Where a company limited by shares applies to reorganize itself into a
company by increasing capital and making public offer of new shares or
reverting to offering shares to be held by foreign shareholders, it shall
submit, in addition to the documents set out in item (1), (2), (3) and (4)
in the preceding article, the share subscribing agreement entered into
between the company limited by shares and the specifically-targeted
subscriber (s) as well as other necessary documents.
Article 23
A company limited by shares, which is listed and makes public offer of
shares outside the Chinese territory to foreign investors (including but
not limited to H shares and N shares) and applies for the reorganization
into the company, should submit the following documents in addition to
documents set out in item (1), (2), (3) and (4) of Article 21:
(1) approval document from the security administration authority on
the overseas listing;
(2) approval document from the security administration authority
outside the Chinese territory on the public listing of the original
company limited by shares; and
(3) transaction records of the overseas listed shares of the original
company limited by shares.
Article 24
Upon approval by the Ministry of Foreign Trade and Economic
Cooperation on the above mentioned application, the original company
limited by shares shall apply for the alteration of registration by
presenting the approval document and the public offering certificate to
the administration authority for industry and commerce.
Article 25
Other matters relating to the company that are not provided for in
these Provisional Regulations shall be handled in accordance with the
Company Law and Special Regulations of the State Council on Offer and
Listing of Shares Outside the Territory by Companies Limited by Shares.
Article 26
The tax holidays for tax exemption and reduction etc. shall not be
recalculated for a company reorganized by an enterprise with foreign
investment.
Article 27
These Provisional Regulations are applicable to the companies
established with investment by companies, enterprises, and other economic
organizations or individuals from the regions of Hong Kong, Macao and
Taiwan.
Article 28
The Ministry of Foreign Trade and Economic Cooperation shall take
charge of the interpretation of these Provisional Regulations.
