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Administrative Measures for Business Offices Established by Overseas Arbitration Institutions

境外仲裁机构

在中国(上海)自由贸易试验区临港新片区

设立业务机构管理办法

Administrative Measures for Business Offices

Established by Overseas Arbitration Institutions

in Lin-Gang Special Area of China (Shanghai)

Pilot Free Trade Zone

 

第一条 为了规范境外仲裁机构在中国(上海)自由贸易试验区临港新片区(以下简称“新片区”)设立业务机构及开展业务活动,根据《中国(上海)自由贸易试验区临港新片区总体方案》《中国(上海)自由贸易试验区临港新片区管理办法》等有关规定,结合实际,制定本办法。

 

Article 1 These Administrative Measures are hereby formulated in accordance with the Overall Plan for Lin-gang Special Area of China (Shanghai) Pilot Free Trade Zone, the Administrative Measures for Lin-gang Special Area of China (Shanghai) Pilot Free  Trade Zone and other relevant regulations in conjunction with the actual circumstances, for the purposes of regulating the registration of business offices (hereinafter referred to as the “Business Offices”) to be established by Overseas Arbitration Institutions in Lin-gang Special Area of China (Shanghai) Pilot Free Trade Zone (hereinafter referred to as the“Lin-gang Special Area”) and the business activities thereof.

 

第二条 境外仲裁机构在新片区设立业务机构,业务机构开展涉外仲裁业务以及相关管理活动,适用本办法。

 

Article 2 These Administrative Measures shall  apply to the  establishment of a Business Office by an Overseas Arbitration Institution  in the  Lin-gang Special Area, foreign-related arbitration activities conducted by such Business Office and relevant management activities conducted by Shanghai Municipal Bureau of Justice.

 

第三条 本办法所称的境外仲裁机构,是指在外国和我国香港、澳门特别行政区、台湾地区合法成立的不以营利为目的的仲裁机构,以及我国加入的国际组织设立的开展仲裁业务的机构。

 

Article  3 The term“Overseas Arbitration  Institution” referenced  herein shall mean any non-profit arbitration institution legally established in foreign countries and the  Hong Kong  Special  Administrative  Region,  the Macao Special  Administrative Region and Taiwan  Region of China, as well as arbitration institutions established by international organizations that China has joined.

 

第四条 上海市司法局(以下简称“市司法局”)负责业务机构的设立登记,对其开展涉外仲裁业务活动进行监督管理。

 

Article  4 Shanghai Municipal Bureau of Justice shall be in charge of the registration for establishing such Business Offices, and shall be responsible for supervising and administering their foreign-related arbitration activities.

 

第五条 业务机构及其负责人、工作人员、仲裁员开展涉外仲裁业务活动,应当遵守我国法律、法规和规章,恪守仲裁职业道德和职业纪律,不得损害我国国家利益和社会公共利益。

 

Article 5 A Business Office and its principal, staff and arbitrators shall abide by the PRC laws, regulations and rules, adhere to the professional ethics and discipline of arbitration and shall not harm China’s national and social public interests when they conduct foreign-related arbitration activities.

 

第六条 境外仲裁机构申请在新片区设立业务机构的,应当具备下列条件:

(一)在境外合法成立并存续5年以上;

(二)在境外实质性开展仲裁业务,有较高国际知名度;

(三)业务机构负责人没有因故意犯罪受过刑事处罚的。

 

Article 6 An Overseas Arbitration Institution, which applies for establishing a Business Office in the Lin-gang Special Area, shall meet the following conditions:

(Ⅰ) It has been legally established and duly existing overseas for more than five (5) years;

(Ⅱ)  It has conducted  substantial  arbitration activities  overseas,  and  has high international reputation; and

(Ⅲ) The principal of the Business Office has not been subjected to any criminal penalty for any willful offense.

 

第七条 境外仲裁机构申请在新片区设立业务机构的,应当向市司法局申请并提交下列材料:

(一)设立业务机构的申请书;

(二)符合本办法第六条规定的证明材料;

(三)境外仲裁机构的章程、仲裁规则、收费标准和决策机构组成人员名单;

(四)境外仲裁机构有仲裁员名册或推荐名册的,应当提交;

(五)业务机构的住所证明材料;

(六)业务机构负责人、工作人员的登记表和*********明材料;

(七)法律、法规和规章规定的其他材料。

我国香港、澳门特别行政区、台湾地区仲裁机构提交前款所列材料,应当按照司法部认可的有关证明程序办理。其他境外仲裁机构提交在境外形成的前款所列材料,应当经所在国公证机构或公证人的公证证明,并经我国驻该国使(领)馆认证。申请材料应当一式三份,外文材料应当附中文译文,并以中文为准。

 

Article 7 An Overseas Arbitration Institution, which applies for establishing a Business Office  in the Lin-gang  Special Area, shall  file an application with Shanghai Municipal Bureau of Justice and submit the following materials:

(Ⅰ) An application for the establishment of a Business Office;

(Ⅱ) Documents to support information specified in Article 6 hereof;

(Ⅲ) The  articles  of association,  arbitration  rules, charging  standard  and list  of members of the decision-making body of the Overseas Arbitration Institution;

(Ⅳ) The list of panel of arbitrators or recommended panel of arbitrators, if any;

(Ⅴ) The certificate of the domicile of the Business Office;

(Ⅵ) Registration form and personal ID materials of  the principal and staff of the Business Office;

(Ⅶ) Other materials as stipulated by laws, regulations and rules.

 

The materials listed in the preceding paragraph submitted by arbitration institutions  in the Hong  Kong Special Administrative Region, the Macao Special Administrative Region and Taiwan Region of China shall be handled according to the relevant legalization procedures recognized by the Ministry  of Justice.  The materials listed in the preceding paragraph submitted  by other Overseas Arbitration Institutions shall be notarized  by the public notarial office  or notary public in the countries where such arbitration institutions are located and shall be authenticated by China’s embassies or consulates in such countries.

 

The application  materials  shall be  made in  triplicate. Any  material in  a foreign language shall be  attached with the Chinese  translation, and the Chinese  version shall prevail.

 

第八条 市司法局对材料齐全、符合法定形式的申请应当及时受理,并出具受理通知书;对申请材料不齐全或者不符合法定形式的,应当当场或者自收到申请材料5个工作日内一次性告知申请人需要补正的全部内容,逾期不告知的,自收到申请材料之日起即为受理。市司法局应当自受理之日起2个月内审查完毕并作出准予登记或者不予登记的决定。市司法局应当自作出准予登记决定之日起10个工作日内报司法部备案,待司法部赋码后颁发登记证书。

 

Article 8 Shanghai Municipal Bureau of Justice shall accept in a timely manner an application that  is supported  by all the  required  materials and conforms to the statutory form, and shall issue a notice of acceptance; if the application fails to include all the required materials or fails to conform to the statutory form, Shanghai Municipal Bureau of Justice shall, either on  the spot or within five (5) working days upon receipt of the application materials, inform the applicant all at once of all the materials that are required be supplemented and corrected; if no notice is given within the time limit, the application shall be deemed to have been accepted as of the date of the receipt thereof.

 

Shanghai Municipal Bureau of Justice shall complete the review and decide whether to grant a registration within two (2) months from the date of acceptance of an application.

 

Shanghai Municipal  Bureau of Justice shall report to the Ministry  of Justice for record-filing purpose within ten (10) working days from the date of decision to grant the registration, and  shall issue the registration certificate after the Ministry  of Justice assigns a unified social credit code thereto.

 

第九条 业务机构的登记事项包括名称、住所、负责人、业务范围等。

 

Article  9 The items under registration of a  Business Office shall include its name, domicile, principal, business scope, etc.

 

第十条 业务机构应当将税务登记证件复印件、印章式样、银行账户、办公场所证明、经费证明等报市司法局备案。

 

Article 10 A Business Office shall submit a copy of its tax registration certificate, a specimen of seal, bank account, certificate of business  address, and proof of funds, etc. to Shanghai Municipal Bureau of Justice for record-filing.

 

第十一条 业务机构需要变更名称、住所、负责人、业务范围等登记事项的,应当向市司法局提交变更登记申请书和有关材料。经审核符合本办法规定的,市司法局依法办理变更登记手续。

 

Article 11 Where a Business Office intends to change its name, domicile, principal, business scope or any other registered item, it shall submit an application for changing the registration and other relevant materials to Shanghai Municipal Bureau of Justice. If the application is determined to be in compliance with the provisions hereof, Shanghai Municipal Bureau of Justice shall proceed with the procedures for changing the registration according to law.

 

第十二条 业务机构有下列情形之一的,市司法局应当办理注销登记手续并报司法部备案:

(一)境外仲裁机构申请终止的;

(二)设立业务机构的境外仲裁机构终止的;

(三)业务机构设立登记被依法撤销的;

(四)法律、法规和规章规定的其他情形。

按照前款规定注销的业务机构,应当在注销前依法进行清算。

 

Article 12 Shanghai Municipal Bureau of Justice shall deregister a Business Office and report to the Ministry of Justice for record-filing in the following events:

(Ⅰ)  The Overseas Arbitration Institution applies for  the termination of the Business Office;

(Ⅱ) The  Overseas Arbitration Institution that establishes the Business Office is terminated;

(Ⅲ) The establishment registration of the Business Office is revoked according to law; or

(Ⅳ) Other circumstances as stipulated by laws, regulations and rules.

A Business Office that is deregistered in accordance with the preceding paragraph shall undergo liquidation in accordance with the law before deregistration.

 

第十三条 业务机构的设立、变更以及注销登记信息,市司法局应当通过官方网站等渠道向社会公开。

 

Article 13 The information regarding the establishment, change  and deregistration of  a Business Office  shall  be disclosed   to  the public by Shanghai Municipal Bureau of Justice via its official website or other proper channels.

 

第十四条 业务机构可就国际商事、海事、投资等领域发生的民商事争议开展下列涉外仲裁业务:

(一)案件受理、庭审、听证、裁决;

(二)案件管理和服务;

(三)业务咨询、指引、培训、研讨。

 

Article 14 A Business Office may perform the following foreign-related arbitration services with respect to civil and commercial disputes arising in  the fields of international commercial affairs, maritime affairs, and investment, etc.:

(Ⅰ) Acceptance, trial, hearing and awarding of cases;

(Ⅱ) Case management and services; and

(Ⅲ) Consultancy, guidance, training and seminars.

 

第十五条 市司法局鼓励、引导业务机构在本市行政区域集中办公和开展涉外仲裁业务活动。

 

Article 15 Shanghai Municipal Bureau of Justice will encourage and guide the Business Offices to operate and conduct foreign-related arbitration activities in a centralized way in the administrative region of the Shanghai municipality.

 

第十六条 市司法局鼓励、支持业务机构与本市仲裁机构开展下列交流和合作活动:

(一)签署合作协议;

(二)相互推荐仲裁员、调解员;

(三)相互提供实习、交流岗位;

(四)相互为庭审、听证等仲裁业务活动提供便利;

(五)联合举办培训、会议、研讨、推广活动。

 

Article 16 Shanghai Municipal Bureau of Justice will encourage and support the following  exchange and  cooperation activities  between  the Business  Offices and local arbitration institutions:

(Ⅰ) Entering into cooperation agreements;

(Ⅱ) Recommending to each other arbitrators and mediators;

(Ⅲ) Providing to each other internship and exchange posts;

(Ⅳ)Facilitating each other’s arbitration activities such as trials and hearings; and

(Ⅴ)Jointly organizing training sessions, conferences, seminars and  promotional activities.

 

第十七条 业务机构的负责人应当为专职人员,负责人和工作人员不得同时在两个以上业务机构任职。

 

Article 17 The principal of a Business Office shall work fulltime, and neither the principal nor the  staff may hold posts in two or  more Business Offices at the same time.

 

第十八条 业务机构不得开展不具有涉外因素争议案件的仲裁业务。业务机构不得再设立分支机构或者派出机构。

 

Article 18 A Business Office shall not conduct the arbitration for any dispute case that is without any foreign element. A Business Office shall not further establish any branch or dispatched office.

 

第十九条 业务机构应当于每年3月31日前向市司法局报送上一年度工作报告,内容包括:

(一)开展业务活动的情况;

(二)仲裁员名册或推荐名册、工作人员、办公场所发生变动的情况;

(三)发生裁决被法院裁定撤销或者不予执行、不予承认和执行的情况;

(四)财务审计报告;

(五)应当报告的其他情况。

 

Article  19 A Business Office shall submit an annual work report for the previous year to Shanghai Municipal Bureau of Justice before March 31 of each  year. An annual work report should include:

(Ⅰ)Overview of business activities;

(Ⅱ)Changes in the list of panel of  arbitrators or recommended panel of arbitrators, staff and business address;

(Ⅲ)Any  circumstances   under  which  the  arbitral  awards  are  revoked  or  not enforced, or not recognized and enforced by a court;

(Ⅳ) Audited financial reports; and

(Ⅴ) Other circumstances that should be reported.

 

第二十条 境外仲裁机构发生章程、仲裁规则修改和决策机构组成人员变化等重大事项,业务机构应当自发生之日起10个工作日内报告市司法局。

 

Article 20 In the event of significant matters concerning the relevant arbitration institution such as amendments to its articles  of association and arbitration rules and changes of members of its decision-making body,  the Business  Office shall report to Shanghai Municipal  Bureau of Justice within ten (10) working  days upon occurrence thereof.

 

第二十一条 业务机构有违反本办法第十七条至第二十条规定情形之一的,市司法局责令其限期整改,逾期拒不整改或者整改后仍不符合要求的,可以向有关人民法院、公安机关等部门通报和向社会公开,并依法向本市公共信用信息服务平台归集。业务机构有违反本办法第六条第一款第(三)项规定情形的,市司局责令其限期整改,逾期拒不整改或者整改后仍不符合要求的,市司法局可以撤销登记。以欺骗、贿赂等不正当手段取得业务机构登记证书的,市司法局应当撤销登记。

 

Article  21 If a Business Office violates  any of the  provisions of Articles 17 to 20  hereof, Shanghai Municipal Bureau of Justice shall order such Business Office to  make rectification within a time  limit; if  the Business Office  refuses  to make rectification within  the time  limit or if  it still fails to meet the requirements after the rectification, Shanghai Municipal Bureau of Justice may notify the relevant people’s courts, public security authorities  and other departments and disclose the  matter to the public, and may share such information with the municipal public credit information service platform according to law.

If a Business Office violates Subparagraph (III) of Paragraph 1 of Article 6 hereof, Shanghai Municipal Bureau of Justice shall order  it to make rectification within a time limit; if the Business Office refuses to make rectification accordingly within the time limit or if  it still fails  to meet the requirements after rectification, its  registration may be revoked by Shanghai Municipal Bureau of Justice.

If a Business Office obtains its registration certificate by means of fraud or bribery or other  improper  means,  its  registration  shall  be revoked  by Shanghai  Municipal Bureau of Justice.

 

第二十二条 业务机构及其负责人、工作人员在涉外仲裁业务活动过程中违反我国法律、法规和规章以及本办法规定的,市司法局应当依法处理或者移送有关部门处理。

 

Article 22 If a Business Office, its principal and staff  violate the provisions of the PRC laws, regulations and rules, and of the Administrative Measures in the process of conducting foreign-related arbitrations, Shanghai Municipal Bureau of  Justice shall handle it according to law or transfer the case to the relevant authority for handling.

 

第二十三条 市司法局工作人员在业务机构登记管理活动中违反法律、法规和规章以及本办法规定的,依法追究其法律责任。

 

Article  23 Any staff  member of Shanghai Municipal Bureau of Justice who violates the provisions of laws, regulations, rules or of the Administrative Measures in the registration and administration of the Business Offices  shall be pursued  and shall bear legal liability according to law.

 

第二十四条 本办法所称的涉外仲裁业务,是指根据我国法律规定具有涉外因素争议的仲裁业务。

 

Article  24 The“foreign-related arbitration”referenced herein shall mean the arbitration of disputes containing foreign elements as stipulated by the PRC laws.

 

第二十五条 本办法自2020年1月1日起施行,有效期三年,至2022年12月31日终止。

 

Article 25 These Administrative Measures shall come into force on January 1, 2020 and shall be valid for three years until December 31, 2022.

 

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