第一条 为规范经营者集中申报和反垄断执法机构受理申报，根据《中华人民共和国反垄断法》（以下简称《反垄断法》）和《国务院关于经营者集中申报标准的规定》（以下简称《规定》），制定本办法。

Article 1.  The Measures are enacted for the purpose of regulating notifications of concentrations of business operators and the acceptance of notifications by the anti-monopoly enforcement agency, pursuant to the Anti-Monopoly Law of the People’s Republic of China (AML) and the Regulations of the State Council on the Criteria for the Notification of Concentrations of Business Operators (Regulations).

第二条 商务部是经营者集中反垄断审查执法机构，承担受理和审查经营者集中申报的具体执法工作。

Article 2.  The Ministry of Commerce (MOFCOM) is the enforcement agency for anti-monopoly examinations of concentrations of business operators, which is responsible for the acceptance and examination of applications for anti-monopoly notifications of concentrations of business operators.

第三条 本办法所称经营者集中，系指《反垄断法》第二十条所规定的下列情形：

（一）经营者合并；

（二）经营者通过取得股权或者资产的方式取得对其他经营者的控制权；

（三）经营者通过合同等方式取得对其他经营者的控制权或者能够对其他经营者施加决定性影响。

Article 3.  For the purpose of these Measures, a concentration of business operators refers to any the following circumstances as specified in Article 20 of the AML:

1) A consolidation of business operators

2) A business operator acquiring control over other business operators through acquisition of equity or assets

3) A business operator acquiring control over other business operators or being capable of imposing decisive effects on other business operators by contract or other means

第四条 营业额包括相关经营者上一会计年度内销售产品和提供服务所获得的收入，扣除相关税金及其附加。

《规定》第三条所称“在中国境内”是指经营者提供产品或服务的买方所在地在中国境内。

Article 4.  Turnover includes revenue for the previous fiscal year that the concerned business operators obtained from the sale of products and the supply of services, minus various taxes and surcharges.

The expression “within the territory of China” as mentioned in Article 3 of the Regulations means that the location of the purchaser of the products or services provided by a business operator is within the territory of China.

第五条 参与集中的单个经营者的营业额应当为下述经营者的营业额总和：

（一）该单个经营者；

（二）第（一）项所指经营者直接或间接控制的其他经营者；

（三）直接或间接控制第（一）项所指经营者的其他经营者；

（四）第（三）项所指经营者直接或间接控制的其他经营者；

（五）第（一）至（四）项所指经营者中两个或两个以上经营者共同控制的其他经营者。

参与集中的单个经营者的营业额不包括上述（一）至（五）项所列经营者之间发生的营业额。

如果参与集中的单个经营者之间或者参与集中的单个经营者和未参与集中的经营者之间有共同控制的其他经营者，参与集中的单个经营者的营业额应当包括被共同控制的经营者与第三方经营者之间的营业额，且此营业额只计算一次。

Article 5.  The turnover of each business operator participating in the concentration shall be the sum of the turnovers of the following business operators:

1) The business operator itself

2) Other business operator(s) directly or indirectly controlled by the business operator mentioned in Item 1

3) Other business operator(s) directly or indirectly controlling the business operator mentioned in Item 1

4) Other business operator(s) directly or indirectly controlled by the business operator as mentioned in Item 3

5) Other business operator(s) jointly controlled by two or more business operators among the other business operators mentioned in Items 1 through 4

The turnover of the business operator participating in the concentration shall exclude the turnovers arising among the business operators as listed in the above Items 1 to 5.

If any business operators participating in the concentration jointly control other business operator(s), or a business operator participating in the concentration and a business operator that does not participate in the concentration jointly control another business operator, the turnover of such business operator participating in the concentration shall include the turnover of the controlled business operator and the turnover of the third-party business operator, which shall be calculated once.

第六条 如果参与集中的单个经营者之间有共同控制的其他经营者，则参与集中的所有经营者的合计营业额不应包括被共同控制的经营者与任何一个共同控制他的参与集中的经营者，或与后者有控制关系的经营者之间发生的营业额。

Article 6.  If any business operators participating in the concentration jointly control other business operator(s), the aggregated turnover of all business operators participating in the concentration shall exclude the turnover arising between the business operator(s) being jointly controlled and any business operator(s) as the controlling business operator(s) that participates in the concentration, or exclude the turnover arising between the business operator(s) being jointly controlled and any other business operator(s) that has a controlling relationship with the afore-mentioned controlling business operator(s).

第七条 在一项经营者集中包括收购一个或多个经营者的一部分时：

（一）对于卖方而言，只计算集中涉及部分的营业额；

（二）相同经营者之间在两年内多次实施的未达到《规定》第三条规定的申报标准的经营者集中，应当视为一次集中交易，集中发生时间从最后一次交易算起，该经营者集中的营业额应当将多次交易合并计算。经营者通过与其有控制关系的其他经营者实施的上述行为，依照本项规定处理。

前款第（二）项所称“两年内”是指从第一次集中交易完成之日起至最后一次集中交易签订协议之日止的期间。

Article 7.  When a concentration of business operators involves the acquisition of part of businesses pertaining to one or several business operators, the following shall apply:

1) For a seller, only the part of turnover related to the concentration shall be calculated.

2) Several consecutive concentrations between the same business operators which are conducted within two years, and none of which reach the notification threshold as provided in Article 3 of the Regulations, shall be deemed as one concentration transaction and the commencement date thereof shall start from the date of the last transaction, and the relevant turnover shall be accumulated based on the aggregated turnover of the several transactions during that one-year period.  If the business operator conducts the aforesaid activities through other business operator(s) having a controlling relationship with it, the Measures provided herein shall apply.

The expression “within two years”, as used in the previous paragraph, means the period commencing from the closing date of the first concentration transaction to the date of execution of the agreement for the last concentration transaction.

第八条 在正式申报前，参与集中的经营者可以就集中申报的相关问题向商务部申请商谈。商谈申请应当以书面方式提出。

Article 8.  Before a formal notification, business operators participating in the concentration may apply for consultation with MOFCOM on issues in connection with the notification of concentration.  Applications for consultation shall be submitted in written form.

第九条 通过合并方式实施的经营者集中，由参与合并的各方经营者申报；其他方式的经营者集中，由取得控制权或能够施加决定性影响的经营者申报，其他经营者予以配合。

申报义务人未进行集中申报的，其他参与集中的经营者可以提出申报。

申报义务人可以自行申报，也可以依法委托他人代理申报。

Article 9.  For a concentration of business operators conducted by means of consolidation, the notification shall be submitted by all business operators participating in the consolidation; for a concentration of business operators conducted by other means, the notification shall be submitted by the business operator(s) that acquires control or can exert a decisive influence, with the cooperation of the other business operators.

If the party obliged to submit the notification (the Applicant) fails to do so, other participating business operators may submit the notification.

The Applicant may submit the notification by itself or lawfully entrust others to submit the notification on its behalf.

第十条 申报文件、材料应当包括如下内容：

（一）申报书。申报书应当载明参与集中的经营者的名称、住所、经营范围、预定实施集中的日期。申报人的身份证明或注册登记证明，境外申报人还须提交当地公证机关的公证文件和相关的认证文件。委托代理人申报的，应当提交经申报人签字的授权委托书。

（二）集中对相关市场竞争状况影响的说明。具体包括：集中交易概况；相关市场界定；参与集中的经营者在相关市场的市场份额及其对市场的控制力；主要竞争者及其市场份额；市场集中度；市场进入；行业发展现状；集中对市场竞争结构、行业发展、技术进步、国民经济发展、消费者以及其他经营者的影响；集中对相关市场竞争影响的效果评估及依据。

（三）集中协议及相关文件。具体包括：各种形式的集中协议文件，如协议书、合同以及相应的补充文件等。

（四）参与集中的经营者经会计师事务所审计的上一会计年度财务会计报告。

（五）商务部要求提交的其他文件、资料。

Article 10.  The documents and materials to be submitted include, without limitation, the following:

1) The Notification Letter.  The Notification Letter shall indicate the names, domiciles and business scopes of the participating business operators and the scheduled date of the implementation of the concentration.  The identity certificate or certificate of incorporation of the Applicant shall be submitted, and shall be the notarisation document as issued by the local notary public and related certification documents for an overseas Applicant.  If the Applicant entrusts an agent to submit the notification, a power of attorney signed by the Applicant shall be submitted.

2) A statement on the influence of the concentration on competition in the relevant market, specifically including a summary of the concentration transaction; the definition of the relevant market; the market shares of the participating business operators in the relevant market and their abilities to control the market; main competitors and their market shares; degree of concentration of the market; market entry; current development of the industry; the influence of the concentration on the structure of market competition, industry development, technology progress, development of the national economy, consumers and other business operators; and an evaluation of and the basis for the influence of the concentration on competition in the relevant market.

3) The concentration agreement and related documents, specifically including various forms of concentration agreement documents such as agreements, contracts and corresponding supplemental documents.

4) The financial statements of the participating business operators for the previous fiscal year as audited by an accounting firm.

5) Other documents and materials as required by MOFCOM.

第十一条 除本规定第十条要求提供的文件、资料外，申报人可以自愿提供有助于商务部对该集中进行审查和做出决定的其他文件、资料，如地方人民政府和主管部门等有关方面的意见，支持集中协议的各类报告等。

Article 11.  Except for the documents and materials as required in Article 10 hereof, the Applicant may voluntarily provide other documents and materials that may assist MOFCOM in examining the concentration and making decisions, such as the opinions of local governments and the competent authorities, and various reports supporting the concentration agreement.

第十二条 申报人提交纸质申报文件、资料的同时，应当提交内容相同的光盘电子文档。申报文件、资料应当合理编排以方便查阅。

申报人应当提交中文撰写的文件、资料。文件、资料的原件是外文书写的，应当提交中文翻译件并附外文原件。文件、资料为副本、复印件或传真件的，应当根据商务部的要求出示原件供验证。

申报人应当同时提交申报文件、资料的公开版本和保密版本。申报人应当对申报文件、资料中的商业秘密和其他需要保密的信息进行标注。

Article 12.  When submitting hard copies of notification documents and materials, the Applicant shall simultaneously submit electronic documents of the same contents in the form of compact disc.  In order to enhance working efficiency, the notification documents and materials shall be edited and organised in a rational way for easy reference.

The Applicant shall submit the documents and materials written in Chinese.  If the original of any document or material is written in a foreign language, the Chinese translation shall be submitted with the foreign-language original attached.  If the documents and materials are duplicate copies, photocopies or faxes, the originals thereof shall be presented as required by MOFCOM for review.

The Applicant shall simultaneously submit a public version and a confidential version of the notification documents and materials.  The Applicant shall mark trade secrets and other confidential information contained in the notification documents and materials.

第十三条 申报人应当提交完备的文件、资料，商务部应对申报人提交的文件、资料进行核查。商务部发现申报的文件、资料不完备的，可以要求申报人在规定期限内补交。申报人逾期未补交的，视为未申报。

Article 13.  The Applicant shall submit complete documents and materials, which shall be verified by MOFCOM.  If MOFCOM finds that the submitted documents and materials are incomplete, it may require the Applicant to submit supplemental documents and materials within a specified time limit.  If the Applicant fails to submit the required supplemental documents and materials within the specified time limit, it shall be deemed as having not submitted the notifications.

第十四条 商务部经核查认为申报文件、资料符合法定要求的，应当自收到完备的申报文件、资料之日予以立案并书面通知申报人。

Article 14.  If MOFCOM, through examination, considers that the concentration of business operators meets the statutory notification threshold and that the submitted documents and materials meet relevant requirements, it shall establish the case on the date of receipt of the complete notification documents and materials.

第十五条 申报人故意隐瞒重要情况或者提供虚假信息的，商务部不予立案。

Article 15.  If the Applicant intentionally conceals important circumstances or provides false information, MOFCOM is entitled to refuse to accept the notification.

第十六条 经营者集中未达到《规定》第三条规定的申报标准，参与集中的经营者自愿提出经营者集中申报，商务部收到申报文件、资料后经审查认为有必要立案的，应当按照《反垄断法》的规定进行立案审查并作出决定。

在前款所述申报和立案审查期间，参与集中的经营者可以自行决定是否暂停实施其集中交易，并承担相应的后果。

Article 16.  In the event that a concentration of business operators does not reach the notification threshold as provided in Article 3 of the Regulations and the participating business operators voluntarily file a notification of the concentration, and if MOFCOM, through examining the notification documents and materials, believes it is necessary to establish a case, it may establish the case for examination and make its decisions pursuant to the AML.

During the notification and examination as mentioned in the previous paragraph, the participating business operators may, in their sole discretion, decide whether or not to suspend the implementation of the concentration transaction, and will be liable for the corresponding consequences.

第十七条 商务部和申报人对在经营者集中申报前商谈和申报审查工作中知悉的商业秘密和其他需要保密的信息承担保密义务。

Article 17.  MOFCOM and the Applicant are obliged to keep in confidence trade secrets and other confidential information learned from the pre-notification consultation and the work of notification and examination.

第十八条 本办法自2010年1月1日起施行。

Article 18.  The Measures shall become effective as of 1 January 1 2010.