中国上海自由贸易试验区总体方案(中英文版)
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中国（上海）自由贸易试验区总体方案
建立中国（上海）自由贸易试验区（
以下简称试验区）是党中央、国务院作
出的重大决策，是深入贯彻党的十八大精神，在新形势下推进改革
开放的重大举
措。为全面有效推进试验区工作，制定本方案。
一、总体要求
试验区肩负着我国在新时期加快政府职能转变、积极探索管理模式创新、促
进贸易和投资便利化，为全面
深化改革和扩大开放探索新途径、积累新经验的重
要使命，是国家战略需要。
（一）指导思想。
高举中国特色社会主义伟大旗帜，以邓小平理论、“三个代表”重要思想、科学发展观为指导，紧紧围绕国家战略，进一步解放思想，坚持先行先试，以开
放促改革、促发展，
率先建立符合国际化和法治化要求的跨境投资和贸易规则体
系，使试验区成为我国进一步融入经济全球化
的重要载体，打造中国经济升级版，
为实现中华民族伟大复兴的中国梦作出贡献。
（二）总体目标。
经过两至三年的改革试验，加快转变政府职能，积极推进服务业扩大开放和外商投资管理体制改革，大力发展总部经济和新型贸易业态，加快探索资本项目
可兑换和金融服务业
全面开放，探索建立货物状态分类监管模式，努力形成促进
投资和创新的政策支持体系，着力培育国际化
和法治化的营商环境，力争建设成
为具有国际水准的投资贸易便利、货币兑换自由、监管高效便捷、法制
环境规范
的自由贸易试验区，为我国扩大开放和深化改革探索新思路和新途径，更好地为
全国服
务。
（三）实施范围。
试验区的范围涵盖上海外高桥保税区、上海外高桥保税物流
园区、洋山保税
港区和上海浦东机场综合保税区等4个海关特殊监管区域，并根据先行先试推进
情况以及产业发展和辐射带动需要，逐步拓展实施范围和试点政策范围，形成与
上海国际经济、金融、贸
易、航运中心建设的联动机制。
二、主要任务和措施
紧紧围绕面向
世界、服务全国的战略要求和上海“四个中心”建设的战略任
务，按照先行先试、风险可控、分步推进、
逐步完善的方式，把扩大开放与体制
改革相结合、把培育功能与政策创新相结合，形成与国际投资、贸易
通行规则相
衔接的基本制度框架。
（一）加快政府职能转变。
1.深化行
政管理体制改革。加快转变政府职能，改革创新政府管理方式，按
照国际化、法治化的要求，积极探索建
立与国际高标准投资和贸易规则体系相适
应的行政管理体系，推进政府管理由注重事先审批转为注重事中
、事后监管。建
立一口受理、综合审批和高效运作的服务模式，完善信息网络平台，实现不同部
门的协同管理机制。建立行业信息跟踪、监管和归集的综合性评估机制，加强对
试验区内企业在区外经营
活动全过程的跟踪、管理和监督。建立集中统一的市场
监管综合执法体系，在质量技术监督、食品药品监
管、知识产权、工商、税务等
管理领域，实现高效监管，积极鼓励社会力量参与市场监督。提高行政透明
度，
完善体现投资者参与、符合国际规则的信息公开机制。完善投资者权益有效保障
机制，实现
各类投资主体的公平竞争，允许符合条件的外国投资者自由转移其投
资收益。建立知识产权纠纷调解、援
助等解决机制。
（二）扩大投资领域的开放。
2.扩大服务业开放。选择金融服务
、航运服务、商贸服务、专业服务、文化
服务以及社会服务领域扩大开放（具体开放清单见附件），暂停
或取消投资者资
质要求、股比限制、经营范围限制等准入限制措施（银行业机构、信息通信服务
除外），营造有利于各类投资者平等准入的市场环境。
3.探索建立负面清单管理模式。借鉴国际
通行规则，对外商投资试行准入前
国民待遇，研究制订试验区外商投资与国民待遇等不符的负面清单，改
革外商投
资管理模式。对负面清单之外的领域，按照内外资一致的原则，将外商投资项目
由核准
制改为备案制（国务院规定对国内投资项目保留核准的除外），由上海市
负责办理；将外商投资企业合同
章程审批改为由上海市负责备案管理，备案后按
国家有关规定办理相关手续；工商登记与商事登记制度改
革相衔接，逐步优化登
记流程；完善国家安全审查制度，在试验区内试点开展涉及外资的国家安全审查，
构建安全高效的开放型经济体系。在总结试点经验的基础上，逐步形成与国际接
轨的外商投资管
理制度。
4.构筑对外投资服务促进体系。改革境外投资管理方式，对境外投资开
办企
业实行以备案制为主的管理方式，对境外投资一般项目实行备案制，由上海市负
责备案管理
，提高境外投资便利化程度。创新投资服务促进机制，加强境外投资
事后管理和服务，形成多部门共享的
信息监测平台，做好对外直接投资统计和年
检工作。支持试验区内各类投资主体开展多种形式的境外投资
。鼓励在试验区设
立专业从事境外股权投资的项目公司，支持有条件的投资者设立境外投资股权投
资母基金。
（三）推进贸易发展方式转变。
5.推动贸易转型升级。积极培育贸
易新型业态和功能，形成以技术、品牌、
质量、服务为核心的外贸竞争新优势，加快提升我国在全球贸易
价值链中的地位。
鼓励跨国公司建立亚太地区总部，建立整合贸易、物流、结算等功能的营运中心。深化国际贸易结算中心试点，拓展专用账户的服务贸易跨境收付和融资功能。支
持试验区内企业发展
离岸业务。鼓励企业统筹开展国际国内贸易，实现内外贸一
体化发展。探索在试验区内设立国际大宗商品
交易和资源配置平台，开展能源产
品、基本工业原料和大宗农产品的国际贸易。扩大完善期货保税交割试
点，拓展
仓单质押融资等功能。加快对外文化贸易基地建设。推动生物医药、软件信息、
管理咨
询、数据服务等外包业务发展。允许和支持各类融资租赁公司在试验区内
设立项目子公司并开展境内外租
赁服务。鼓励设立第三方检验鉴定机构，按照国
际标准采信其检测结果。试点开展境内外高技术、高附加
值的维修业务。加快培
育跨境电子商务服务功能，试点建立与之相适应的海关监管、检验检疫、退税、<
br>跨境支付、物流等支撑系统。
6.提升国际航运服务能级。积极发挥外高桥港、洋山深水港
、浦东空港国际
枢纽港的联动作用，探索形成具有国际竞争力的航运发展制度和运作模式。积极
发展航运金融、国际船舶运输、国际船舶管理、国际航运经纪等产业。加快发展
航运运价指数衍生品交易
业务。推动中转集拼业务发展，允许中资公司拥有或控
股拥有的非五星旗船，先行先试外贸进出口集装箱
在国内沿海港口和上海港之间
的沿海捎带业务。支持浦东机场增加国际中转货运航班。充分发挥上海的区
域优
势，利用中资“方便旗”船税收优惠政策，促进符合条件的船舶在上海落户登记。
在试验区
实行已在天津试点的国际船舶登记政策。简化国际船舶运输经营许可流
程，形成高效率的船籍登记制度。
（四）深化金融领域的开放创新。
7.加快金融制度创新。在风险可
控前提下，可在试验区内对人民币资本项目
可兑换、金融市场利率市场化、人民币跨境使用等方面创造条
件进行先行先试。
在试验区内实现金融机构资产方价格实行市场化定价。探索面向国际的外汇管理
改革试点，建立与自由贸易试验区相适应的外汇管理体制，全面实现贸易投资便
利化。鼓励企业充分利
用境内外两种资源、两个市场，实现跨境融资自由化。深
化外债管理方式改革，促进跨境融资便利化。深
化跨国公司总部外汇资金集中运
营管理试点，促进跨国公司设立区域性或全球性资金管理中心。建立试验
区金融
改革创新与上海国际金融中心建设的联动机制。
8.增强金融服务功能。推动金融
服务业对符合条件的民营资本和外资金融机
构全面开放，支持在试验区内设立外资银行和中外合资银行。
允许金融市场在试
验区内建立面向国际的交易平台。逐步允许境外企业参与商品期货交易。鼓励金
融市场产品创新。支持股权托管交易机构在试验区内建立综合金融服务平台。支
持开展人民币跨境再保
险业务，培育发展再保险市场。
（五）完善法制领域的制度保障。
9.完善法制保
障。加快形成符合试验区发展需要的高标准投资和贸易规则体
系。针对试点内容，需要停止实施有关行政
法规和国务院文件的部分规定的，按
规定程序办理。其中，经全国人民代表大会常务委员会授权，暂时调
整《中华人
民共和国外资企业法》、《中华人民共和国中外合资经营企业法》和《中华人民
共和
国中外合作经营企业法》规定的有关行政审批，自2013年10月1日起在三
年内试行。各部门要支持
试验区在服务业扩大开放、实施准入前国民待遇和负面
清单管理模式等方面深化改革试点，及时解决试点
过程中的制度保障问题。上海
市要通过地方立法，建立与试点要求相适应的试验区管理制度。
三、营造相应的监管和税收制度环境
适应建立国际高水平投资和贸易服务体系的需要，创新监管模
式，促进试验
区内货物、服务等各类要素自由流动，推动服务业扩大开放和货物贸易深入发展，
形成公开、透明的管理制度。同时，在维护现行税制公平、统一、规范的前提下，
以培育功能为导向，完
善相关政策。
（一）创新监管服务模式。
1.推进实施“一线放开”。允许企业凭
进口舱单将货物直接入区，再凭进境
货物备案清单向主管海关办理申报手续，探索简化进
出境备案清单，简化国际中
转、集拼和分拨等业务进出境手续；实行“进境检疫，适当放宽进出口检验”
模
式，创新监管技术和方法。探索构建相对独立的以贸易便利化为主的货物贸易区
域和以扩大服
务领域开放为主的服务贸易区域。在确保有效监管的前提下，探索
建立货物状态分类监管模式。深化功能
拓展，在严格执行货物进出口税收政策的
前提下，允许在特定区域设立保税展示交易平台。
2.坚决实施“二线安全高效管住”。优化卡口管理，加强电子信息联网，通
过进出境清单比对、账册管
理、卡口实货核注、风险分析等加强监管，促进二线
监管模式与一线监管模式相衔接，推行“方便进出，
严密防范质量安全风险”的
检验检疫监管模式。加强电子账册管理，推动试验区内货物在各海关特殊监管
区
域之间和跨关区便捷流转。试验区内企业原则上不受地域限制，可到区外再投资
或开展业务，
如有专项规定要求办理相关手续，仍应按照专项规定办理。推进企
业运营信息与监管系统对接。通过风险
监控、第三方管理、保证金要求等方式实
行有效监管，充分发挥上海市诚信体系建设的作用，加快形成企
业商务诚信管理
和经营活动专属管辖制度。
3.进一步强化监管协作。以切实维护国家安
全和市场公平竞争为原则，加强
各有关部门与上海市政府的协同，提高维护经济社会安全的服务保障能力
。试验
区配合国务院有关部门严格实施经营者集中反垄断审查。加强海关、质检、工商、
税务、
外汇等管理部门的协作。加快完善一体化监管方式，推进组建统一高效的
口岸监管机构。探索试验区统一
电子围网管理，建立风险可控的海关监管机制。
（二）探索与试验区相配套的税收政策。
4.实施促进投资的税收政策。注册在试验区内的企业或个人股东，因非货币
性资产对外投
资等资产重组行为而产生的资产评估增值部分，可在不超过5年期
限内，分期缴纳所得税。对试验区内企
业以股份或出资比例等股权形式给予企业
高端人才和紧缺人才的奖励，实行已在中关村等地区试点的股权
激励个人所得税
分期纳税政策。
5.实施促进贸易的税收政策。将试验区内注册的融资租
赁企业或金融租赁公
司在试验区内设立的项目子公司纳入融资租赁出口退税试点范围。对试验区内注册的国内租赁公司或租赁公司设立的项目子公司，经国家有关部门批准从境外购
买空载重量在25吨
以上并租赁给国内航空公司使用的飞机，享受相关进口环节
增值税优惠政策。对设在试验
区内的企业生产、加工并经“二线”销往内地的货
物照章征收进口环节增值税、消费税。根据企业申请，
试行对该内销货物按其对
应进口料件或按实际报验状态征收关税的政策。在现行政策框架下，对试验区内
生产企业和生产性服务业企业进口所需的机器、设备等货物予以免税，但生活性
服务业等企业进
口的货物以及法律、行政法规和相关规定明确不予免税的货物除
外。完善启运港退税试点政策，适时研究
扩大启运地、承运企业和运输工具等试
点范围。
此外，在符合税制改革方向和国际惯例，
以及不导致利润转移和税基侵蚀的
前提下，积极研究完善适应境外股权投资和离岸业务发展的税收政策。
四、扎实做好组织实施
国务院统筹领导和协调试验区推进工作。上海市要精心组织实
施，完善工作
机制，落实工作责任，根据《方案》明确的目标定位和先行先试任务，按照“成
熟
的可先做，再逐步完善”的要求，形成可操作的具体计划，抓紧推进实施，并
在推进过程中认真研究新情
况、解决新问题，重大问题要及时向国务院请示报告。
各有关部门要大力支持，积极做好协调配合、指导
评估等工作，共同推进相关体
制机制和政策创新，把试验区建设好、管理好。
附件 中国（上海）自由贸易试验区服务业扩大开
放措施
一、金融服务领域
1、银行服务（国民经济行业分类：J金融业——6620货币银行服务）
（1）允许符合条
件的外资金融机构设立外资银行，符合条件的民营资本与外
资金融机构共同设立中外合资银行。在条件具
备时，适时在试验区内试点设
开放措施 立有限牌照银行。
（2）在完善相关管理办法，加强
有效监管的前提下，允许试验区内符合条件
的中资银行开办离岸业务。
2、专业健康医疗保险（国民经济行业分类：J金融业——6812健康和意外保险）
开放措施
试点设立外资专业健康医疗保险机构。
3、融资租赁（国民经济行业分类：J金融行业——6631金融租赁服务）
（1）融资租赁公司在试验区内设立的单机、单船子公司不设最低注册资本限
开放措施 制。
（2）允许融资租赁公司兼营与主营业务有关的商业保理业务。
二、航运服务领域
4、远洋货物运输（国民经济行业分类：G交通运输、仓储和邮政业
——5521远洋货物远
输
（1）放宽中外合资、中外合作国际船舶运输企业的外资股比限制
，由国务院
交通运输主管部门制定相关管理试行办法。
开放措施
（2）允许中资公
司拥有或控股拥有的非五星旗船，先行先试外贸进出口集装
箱在国内沿海港口和上海港之间的沿海捎带业
务。
5、国际船舶管理（国民经济行业分类：G交通运输、仓储和邮政业——5539其他水上运输辅助服务）
开放措施
允许设立外商独资国际船舶管理企业。
三、商贸服务领域
6、增值电信（国民经济行业分类：I信息传输、软件和信息技术服务业——631
9其他电
信业务，6420互联网信息服务，6540数据处理和存储服务，6592呼叫中心
在保障网络信息安全的前提下，允许外资企业经营特定形式的部分增值电信
开放措施
业务，如涉及突破行政法规，须国务院批准同意。
7、游戏机、游艺机销售及服务（国民经济
行业分类：F批发和零售业——5179其他机械
及电子商品批发）
允许外资企业从事游戏游艺设备的生产和销售，通过文化主管部门内容审查
开放措施
的游戏游艺设备可面向国内市场销售。
四、专业服务领域
8、律师服务（国民经济行业分类：L租赁和商务服务业——7221律师及相关法律服务）
探索密切中国律师事务所与外国（港澳台地区）律师事务所业务合作的方式
开放措施
和机制。
9、资信调查（国民经济行业分类：L租赁和商务服务业——7295信用服务）
开放措施
允许设立外商投资资信调查公司。
10、旅行社（国民经济行业分类：L租赁和商务服务业——7271旅行社服务）
允许在试验区内注册的符合条件的中外合资旅行社，从事除台湾地区以外的
开放措施
出境旅游业务。
11、人才中介服务（国民经济行业分类：L租赁和商务服务业——7262职业中介服务）
（1）允许设立中外合资人才中介机构，外方合资者可以拥有不超过70%的股
开放措施
权；允许港澳服务提供者设立独资人才中介机构。
（2）外资人才中介机构最低注册资本金要求由30万美元降低至12.5万美元。
12、投资管理（国民经济行业分类：L租赁和商务服务业——7211企业总部管理）
开放措施
允许设立股份制外资投资性公司。
13、工程设计（国民经济行业分类：M科学研究与技术服务企业——7482工程勘察设计）
对试验区内为上海市提供服务的外资工程设计（不包括工程勘察）企业，取
开放措施
消首次申请资质时对投资者的工程设计业绩要求。
14、建筑服务（国民经济行业分类：E建
筑业——47房屋建筑业；48土木工程建筑业；
49建筑安装业；50建筑装饰和其他建筑业）
对试验区内的外商独资建筑企业承揽上海市的中外联合建设项目时，不受建
开放措施
设项目的中外方投资比例限制。
五、文化服务领域
15、演出经纪（国民经济行业分类：R文化、体育和娱乐业——8941文化娱乐经纪人）
取消外资演出经纪机构的股比限制，允许设立外商独资演出经纪机构，为上
海市提供服务
。
16、娱乐场所（国民经济行业分类：R文化、体育和娱乐业——8911歌舞厅娱乐活动）
开放措施 允许设立外商独资的娱乐场所，在试验区内提供服务。
六、社会服务领域
17、教育培训、职业技能培训（国民经济行业分类：P教育——8291职业技能培训）
（1）允许举办中外合作经营性教育培训机构。
开放措施
（2）允许举办中外合作经营性职业技能培训机构。
18、医疗服务（国民经济行业分类：Q
卫生和社会工作——8311综合医院，8315专科医
院，8330门诊部[所]）
开放措施 允许设立外商独资医疗机构。
注：以上各项开放措施只适用于注册在中国（上海）自由贸易试验区内的企
开放措施
业。
Framework Plan for the China
(Shanghai) Pilot Free Trade Zone
The China (Shanghai) Pilot Free Trade Zone is
established based on the strategic decision by the
Central Government, and is a significant
measure to boost China's reform and opening up
under the new
circumstances. This Framework
Plan provides detailed guidance on initiatives and
their respective
implementation measures.
1. General requisition
The China (Shanghai) Pilot Free Trade
Zone is a national strategy aiming to expedite the
functional
transformation of government,
explore administrative innovation, stimulate
trading and investment
facilitation, and
accumulate experience on achieving a more open
Chinese economy.
1) Guiding principles
We should hold high the great socialism
banner with Chinese characteristics, take Deng
Xiaoping Theory,
strategy. We should
further unleash our minds, dare to pilot, and
promote reform and development by
opening up
the economy. The China (Shanghai) Pilot Free Trade
Zone will create a regulatory
environment on
cross border investment and trading that is in
line with international practices, enhance
China's economic position globally, and
contribute to achieving the revival of the Chinese
People's China
Dream.
2) Overall
objectives
During the course of two to
three years of piloting reforms, the China
(Shanghai) Pilot Free Trade Zone
shall
expedite the functional transformation of
government, expand the opening up of service
sectors
and promote the reform of the foreign
investment administrative system, and develop
headquarter
economy and new trade forms; shall
explore RMB convertibility under capital account
items and
opening up of financial services;
shall explore to improve Customs' supervision
efficiency; and shall
create a framework to
support investment and innovation activities to
cultivate an internationalized
business
environment. The China (Shanghai) Pilot Free Trade
Zone shall pilot a free trade zone, as
measured by international standards, with
convenient investment and trading procedure, full
convertibility of currencies, effective and
efficient goods supervision, and investor-friendly
regulatory
environment. As such, experience
hence gained shall serve nationwide with the new
ideas and
approaches for opening up of the
economy and deepen the reform further.
3) Scope of implementation
The
China (Shanghai) Pilot Free Trade Zone is
comprised of the four customs supervision areas,
including
Shanghai Waigaoqiao
Bonded Zone, Waigaoqiao Bonded Logistics Zone,
Yangshan Bonded Port and
Shanghai Pudong
Airport Free Trade Zone, and based on the ongoing
results of the implementation ,
as well as to
develop industry and the need to spur the
radiating effect, the scope of implementation
and the scope of the pilot measures will be
progressively expanded, forming a supporting
mechanism
for building Shanghai as an
international economic, finance, trade and
transportation center.
2. Major
tasks and measures
Based on the unity
of openness expansion and system reform, and the
unity of functional development
and policy
innovation, the China (Shanghai) Pilot Free Trade
Zone aims to develop a framework in line
with
international norms for investment and trade. To
do so, one needs to bear in mind the strategic
requirements of going to the world and serving
the nation, as well as the strategic task of
building
Four Centers?of Shanghai, and take
actions to experiment step by step with risks
under control.
1) Accelerate the
functional transformation of government
a. Deepened reform in administration
system. The China (Shanghai) Pilot Free Trade Zone
will accelerate the functional transformation
of government and governmental administrative
management innovation. An administrative
management system meets and fits with
international trade and investment standards
will be established. The focus of administrative
management procedures will shift from prior
approval to mid-event control and subsequent
supervision. A service pattern will be set up
to materialize one-off acceptance, integrated
examination and approval, and efficient
operation. An online information platform will be
established to consolidate information and
improve information sharing amongst various
departments. A comprehensive assessment
mechanism of industry information tracking,
supervision and collection will be
established, to strengthen the tracking,
administration and
supervision of activities
outside of the zone conducted by entities
registered in the China
(Shanghai) Pilot Free
Trade Zone. A joint supervision and enforcement
system will be
implemented to cover the areas
of quality and technical supervision, food and
drug
supervision, intellectual property,
industry and commercial administration, and tax
administration to enhance efficiency. In
addition to relevant administrative authorities,
the
social forces are also encouraged to take
an active part in market supervision. Transparency
in administrative management will be enhanced,
and the information disclosure mechanism
that
reflects the participation of investors and is in
line with international norms will be
established. To protect the interests of
investors, various administration reforms will be
put in
place, for instance enhancing fair
competition, and allowing qualified foreign
investors to remit
investment gains at their
discretion. An intellectual property related
dispute resolution and
assistance system will
be established.
2) Opening up of
investment sectors
b.
Opening up of service sectors. The financial
services, transportation services, commerce
and trade services, professional services,
cultural services, and public services sectors are
selected to be enlarged and opened (for a
detailed list please refer to the appendix), and
market access restrictions such as
requirements concerning the qualification of
investors,
limitations on foreign
participation, restrictions concerning business
scope, etc., (except in
respect of banks,
information and communication services) will be
suspended or cancelled, in
order to create an
environment of equal market access for the benefit
of all investors.
c.
Explore the The China (Shanghai) Pilot Free
Trade Zone will reform the administrative
approach of foreign investment based on
international norms. Trial national treatment
on investment permission and a
mechanism will
be implemented within the zone. For the projects
that are not stated in the
going through
filing procedures instead of approving
requirements (with the exception of
areas
specifically defined by the State Council).
Shanghai Municipal People's Government will
be
in charge of the project filing procedures. The
approving requirement on foreign investment
contracts and Articles of Association will be
replaced by a filing procedure with Shanghai
Municipal People's Government, with the same
follow up procedures finished according to the
current laws and regulations. The registration
process with the Administration of Industry and
Commerce will be aligned with the business
registration system reform, and the process will
be optimized. National security review system
will be improved, and pilot national security
review on foreign investment projects will be
trialed in the China (Shanghai) Pilot Free Trade
Zone to constitute a safe and efficient open
economic system. A foreign investment
administrative system that is aligned with
international standard will be set up.
d.
Set up a system to support
outbound investment. The China (Shanghai) Pilot
Free Trade
Zone is aiming at the reform of
outbound investment administration by principally
implementing the filing system on the setup of
overseas companies and on the general
outbound
investment projects. The Shanghai Municipal
People's Government will be in charge
of the
filing procedure on general outbound investment
projects to facilitate the convenience
on
outbound investment. A new investment service
enhancement mechanism will be created
to
strengthen the post outbound-investment
administration and service, and to set up an
information-monitoring platform shared by
multiple government departments for statistics and
annual inspection purposes. Various types of
investors in the China (Shanghai) Pilot Free
Trade Zone are encouraged to conduct outbound
investment in different forms. SPVs
specializing in overseas equity investment are
encouraged to be set up in the China
(Shanghai) Pilot Free Trade Zone, and
qualified investors are encouraged to establish
fund of
funds for making offshore equity
investments.
3) Promote the
transformation of trade development approach
e.
Promote the transformation
and upgrading of trade. The China (Shanghai) Pilot
Free
Trade Zone is cultivating new trading
types and functions, aiming to increase China's
competitive advantage and enhance their
position in the global trade value chain by
focusing
on the development of technology,
brands, quality and service. Multinational
companies are
encouraged to set up Asia-
Pacific regional headquarters andor operation
centers with
comprehensive functions of
trading, logistics, settlement, etc. More efforts
will be made to
promote Shanghai as the
international trade settlement center, and to
expand the function of
the special account on
cross-border receipt or payment and financing
under trade in service.
Enterprises in the
China (Shanghai) Pilot Free Trade Zone will be
supported to develop
offshore business.
Enterprises are encouraged to employ an overall
plan in international and
domestic trade to
integrate the development of domestic and foreign
trading business.
International commodity
trading and resource configuration platform will
be explored to trade
energy products, basic
industrial raw materials and agriculture
commodities. The ongoing pilot
bonded futures
delivery will be expanded and improved and the
warehouse receipt financing
and other
functions will be extended. The establishment of
outbound cultural trade bases will
be
accelerated. The outsourcing service sectors
include bio-pharmaceuticals, software and
information, management consulting, data
services etc. will be encouraged. Financial
leasing
companies will be allowed and
encouraged to set up project companies in the
China
(Shanghai) Pilot Free Trade Zone and to
carry out domestic and international leasing
business. Third-party inspection and appraisal
institutions are encouraged to set up with
appraisal results be acceptable in accordance
with international standards. High-tech and
value-added maintenance services will be
trialed in the China (Shanghai) Pilot Free Trade
Zone. Cross border e-business service function
will be cultivated, and a system covering
customs, inspection & quarantine, tax refunds,
cross-border payment and logistics will be set
up to support cross-border e-business.
f.
Elevate the capacity of the
shipping service. The China (Shanghai) Pilot Free
Trade Zone
will leverage on the Waigaoqiao
Port, Yangshan Deep-Water Port and Pudong
International
Airport to form a shipping
development system and operation model that will
have strong
global competitive advantages.
Shipping related services such as shipping
financing,
international ship transportation,
international ship management, and international
ship
brokerage, will be proactively
encouraged. Additionally, the development of
freight index
derivatives will be accelerated.
Transition and LCL businesses will be further
promoted.
Foreign ships owned or indirectly
owned by Chinese invested companies are allowed to
pilot
the coastal shipping between domestic
coastal ports and Shanghai port. Pudong
International
Airport is encouraged to
increase the number of flights for cargo
transition. By utilizing the
geographic
advantages of Shanghai and the preferential
taxation on Chinese “flag of
convenience?ships, qualified ships will be
encouraged to register in Shanghai. The China
(Shanghai) Pilot Free Trade Zone will
implement the international ship registration
policy as
piloted in Tianjin. The application
process on permitting international shipping will
be simplified
to create a more efficient ship
registration system.
4) Deepen
innovation and opening up of financial services
g.
Accelerate the
innovation of the financial system. Under proper
risk control, the China
(Shanghai) Pilot Free
Trade Zone will pilot RMB capital account
convertibility, interest rate
liberalization,
and the cross-border use of RMB. In China
(Shanghai) Pilot Free Trade Zone,
the assets
by the financial institutions will be at market
rate. The China (Shanghai) Pilot Free
Trade
Zone will explore the trial of a foreign exchange
administrative system that is in line with
international practice to better facilitate
trade and investment. Enterprises are encouraged
to
leverage on both domestic and
international market resources to liberalize
cross-border
financing. Administration on
foreign debt will be further reformed to
facilitate cross-border
financing. Foreign
exchange centralized operation by multinational
companies' headquarters
will be enhanced to
encourage the setup of regional or global treasury
centers in Shanghai. A
mechanism needs to be
established to associate financial reforms in the
China (Shanghai)
Pilot Free Trade Zone and
Shanghai's development into an international
financial center.
h.
Enhance the financial service function. The
finance sector will be fully opened to private
investors and foreign invested financial
institutions. Foreign-invested and Sino-foreign
equity
joint venture banks will be allowed to
incorporate in the China (Shanghai) Pilot Free
Trade
Zone. Platforms for international
transactions will also be permitted to be
established in the
China (Shanghai) Pilot Free
Trade Zone by financial markets. The oversea
companies will
gradually be allowed to engage
in commodity futures trading. Financial market
innovations are
encouraged. Equity escrow
institutions will be supported to setup
comprehensive financial
service platform in
the China (Shanghai) Pilot Free Trade Zone. The
cross-border RMB
reinsurance business is also
encouraged to cultivate reinsurance market.
5) Improve regulatory supporting systems
i. Strengthen protection through
regulatory system enhancements. A regulatory
system of
high standard investment and trade
rules will be developed rapidly to serve the needs
of the
China (Shanghai) Pilot Free Trade Zone.
In regard to the content of the pilot, some
administrative regulations and provisions in
the State Council’s documents will be terminated
according to the prescribed procedures. Among
these regulations and provisions, certain
administrative examination and approval
requirements under
China on Wholly Foreign
Owned Enterprises
Sino-Foreign Equity Joint
Venture Companies
Sino-Foreign Cooperative
Joint Venture Companies
adjustment will be
tentatively implemented in the next three years
started from 1 October 2013.
The government
departments shall support the expansion and
opening of service industry in the
China
(Shanghai) Pilot Free Trade Zone, the
deepening of pilot reforms on the implementation
of
and solve the problems in regulatory
protection during the pilot period. The Shanghai
Municipal
People's Government will establish
an administrative system through local legislation
in
correspondence to the demands of the China
(Shanghai) Pilot Free Trade Zone.
3.
Establish an appropriate regulatory environment
for supervision and tax
In order to
establish a service system for investment and
trade with international standard, an innovative
supervision model will be created to
facilitate smooth transactions for all goods and
services under a
highly transparent
administrative system within the China (Shanghai)
Pilot Free Trade Zone and to
promote opening
up in service sectors and further development in
goods trade. Meanwhile, under the
premise of keeping a fair, consistent
and standardized current tax system, related
policies for the
purpose of functional
development will be improved.
1)
Create new mode of supervision
a.
Simplify the import supervision model to
realize Enterprises are
allowed to bring
goods into the China (Shanghai) Pilot Free Trade
Zone with import manifests
before completing
the customs declaration formalities with entry and
exit record list. The
simplification on entry
and exit record list as well as the formalities on
international transit, LCL
and distribution
business will be explored. The supervision
techniques and approaches will be
improved to
pilot the model of
construction of relatively
separated goods trading area (focusing on trade
facilitation) and
service trade area (focusing
on opening up of service sectors) will be
explored. Under the
condition of ensuring
effective supervision, a categorized supervision
model will be explored
to monitor goods based
on their import status. With respect to
exploration on function
expansion, under the
condition of strict implementation of tax
collection on imported and
exported goods,
exhibition and trading platforms for bonded goods
may be set up within
specified areas of China
(Shanghai) Pilot Free Trade Zone.
b.
Strictly enforce “Second-tier
Effective and Efficient Control? The Customs
administration process will be optimized while
the administration of
between overseas and the
zone) and
other domestic areas) will be
coordinated by improvement on e-information
network, entry and
exit record lists cross
check, accounting books management, physical
verification, and risk
analysis. An inspection
and quarantine model of
and safety risk
control
of electronic Customs books and
facilitate the smooth flow of goods moving between
the
China (Shanghai) Free Trade Zone and other
domestic places in the charge of different
Customs offices. Enterprises within the China
(Shanghai) Pilot Free Trade Zone in principle
will be allowed to re-invest and conduct
business outside of the zone without geographic
restriction, unless specific procedures
required under the applicable laws and
regulations. The
government will enhance the
connection of enterprises' operation information
and the
government's supervision system,
through which effective supervision can be
realized through
risk monitoring, third-party
management and security deposits etc. The
government will,
through the development and
utilization of Shanghai’s credit system,
accelerate the
formulation of policies and
mechanism in respect of enterprises' business
credit management
and exclusive jurisdiction
of business activities.
c.
Enhance cooperation among authorities. Under
the principle of protecting national
security
and fair competition in the market, collaboration
will be strengthened between the
relevant
departments and the Shanghai Municipal People's
Government to improve the
capability to
protect the economic and social security. The
China (Shanghai) Pilot Free Trade
Zone will
collaborate with relevant departments of the State
Council to strictly implement the
provisions
in respect of anti-monopoly investigations. In
order to streamline supervision,
cooperation among various government
bodies will be enhanced, including that between
the
Customs, Inspection & Quarantine, Industry
& Commerce, Taxation, Foreign Exchange and
other administrative authorities. The China
(Shanghai) Pilot Free Trade Zone will set up a
port
supervision institution with integrated
functions, and explore the feasibility of applying
an
electronic monitoring system and setting up
of effective risk management system.
2)
Explore a supporting tax regime
d.
Implement tax policies to boost investment.
For enterprises or individual shareholders
registered in the China (Shanghai) Pilot Free
Trade Zone that carry out investment using
non-monetary assets, the income tax payable
due to the increase in asset valuation can be
paid by installments within a five-year
period. Where enterprises within the China
(Shanghai)
Pilot Free Trade Zone award highly-
skilled employees or employees in short supply by
means
of shares or capital contributions, the
relevant individual income tax may be paid by
installments as same as the policies piloted
in Zhongguancun.
e.
Implement tax policies to promote trade.
Financial leasing companies registered or project
companies set up by financial leasing
companies with registration in the China
(Shanghai)
Pilot Free Trade Zone may enjoy the
pilot policies of export tax refund for qualified
financial
leasing business. A domestic leasing
company registered or its project companies with
registration in the Pilot Free Trade Zone may
enjoy reduced import VAT on an aircraft with
empty weight no less than 25 tons, provided
that such aircraft is to be leased to a domestic
airline with approval from competent
authorities. Import VAT and consumption taxes will
be
applicable in accordance with relevant laws
and regulations, on the products manufactured or
processed by a company within the China
(Shanghai) Pilot Free Trade Zone but sold to the
Mainland China outside of the China (Shanghai)
Pilot Free Trade Zone. Enterprises will be
provided with the option of calculating import
duty according to the duty rates applicable to the
finished goods or the imported parts.
Currently, the imported machines, equipment and
other
goods required by manufacturing
enterprises as well as manufacturing service
companies that
are set up in the China
(Shanghai) Pilot Free Trade Zone, may be exempt
from import taxes,
other than those imported
by consumer services companies or those which
cannot enjoy
import taxes exemption as
stipulated in laws and regulations. Tax refund
policies on the
port-of-departure will be
improved, and the expansion on pilot scope (e.g.
departure ports,
carriers and means of
transport) will be studied.
Additionally, in line with the direction of
tax reform and international practice, tax
policies will be
studied to support the
development of overseas equity investment and
offshore business,
under the condition that
such tax polies do not lead to base erosion or
profit shifting.
4. Organize and
implement effectively
The State Council
will lead and coordinate the promotion of the
China (Shanghai) Pilot Free Trade Zone.
The
Shanghai Municipal People's Government is
responsible for organizing implementation,
improving
the working mechanism, and
allocating detail responsibilities. Based on the
targets which were clearly
set out in
the Framework Plan and pilot tasks, in accordance
with the principle of “go ahead with the
matured ones and follow by perfection? the
Shanghai Municipal People's Government can create
a
practical implementation plan and enforce
without delay. During the implementing, the
Shanghai
Municipal People's Government shall
study new cases, resolve new problems and report
to the State
Council in a timely fashion on
significant issues. All relevant departments need
to support actively,
provide cooperation,
guidance and evaluation feedbacks, work together
to promote the innovation on
relevant system,
mechanism and policy, and construct and well-
manage the China (Shanghai) Pilot
Free Trade
Zone.
Appendix
Measures to open up the service sectors in the
China (Shanghai) Pilot Free Trade Zone
1. Financial services
1.
Banking service (Classification of National
Economic Industries: J Finance industry ?6620
Monetary banking
service)
(1)Qualified foreign financial institutions
will be allowed to set up wholly foreign-owned
banks and
Sinoforeign equity joint venture
banks with eligible private capital within the
China (Shanghai) Pilot Free
Opening up
Trade Zone. Restricted license banks will be
allowed to be incorporated under certain
conditions.
measures
(2)Qualified
Chinese banks will be allowed to conduct offshore
business under the condition of
improving
related regulations and enhancing supervision.
2. Specialized health and medical
insurance (Classification of National Economic
Industries: J Finance industry ?
6812 Health
and accident insurance)
Opening
up Setup of foreign invested specialized health
and medical insurance institutions will be
allowed.
measures
3. Financial
leasing (Classification of National Economic
Industries: J Finance industry ?6631 Finance
leasing service)
(1)The minimum registered capital requirements
for a project company (i.e. single-shipaircraft
Opening up
company) set up by financial
leasing companies within the China (Shanghai)
Pilot Free Trade Zone will
be removed.
measures
(2)Financial leasing
companies will be allowed to conduct commercial
factoring that are related to its
primary
businesses.
2. Transportation services
4. Ocean transportation
(Classification of National Economic Industries: G
Transportation, warehousing and postal
industry ?5521 Ocean transportation)
(1)Limitations on foreign participation
in Sino-foreign equity joint venture and Sino-
foreign cooperative
Opening up
measures
joint venture international shipping
enterprises will be relaxed. The transport
administrative authorities of
the State
Council shall be in charge of the rulemaking.
(2)Foreign ships owned or indirectly
owned by Chinese-invested companies are allowed to
pilot the
coastal shipping between domestic
coastal ports and Shanghai port.
5.
International ship management (Classification of
National Economic Industries: G Transportation,
warehousing and
postal industry ?5539 Other
water transportation auxiliary service)
Opening up
Incorporation of wholly
foreign-owned ship management enterprises will be
allowed.
measures
3.
Commerce and trade services
6.
Value-added telecommunications (Classification of
National Economic Industries: I Information
transmission,
software and information
technology service ?6319 Other telecommunication
service, 6420 Internet information
service,
6540 Data processing and storage service, 6592
call centre)
Opening up
measures
Subject to the network
information security, qualified FIEs will be
allowed to engage in specific value
added
telecommunication services. Approval by the State
Council is required if the limitations exist in
current administrative regulations.
7. Entertainment and gaming consoles
sales and service (Classification of National
Economic Industries: F Wholesale
and retailing
?5179 Wholesale of other mechanical and electronic
products)
Opening up
measures
FIEs will be allowed to
engage in the manufacturing and sales of
entertainment and gaming consoles.
The
consoles with content passing the censorship by
the culture administrative authorities will be
allowed to be sold in the domestic market.
4. Professional services
8.
Lawyer service (Classification of National
Economic Industries: L Leasing and business
service ?7221 Lawyers
and related legal
service)
Opening up
measures
9.
Credit inquiry (Classification of National
Economic Industries: L Leasing and business
service ?7295 Credit
service)
Opening up
Incorporation of foreign
invested credit information companies will be
allowed.
measures
10. Tourism
companies (Classification of National Economic
Industries: L Leasing and business service ?7271
Travel agency service)
Cooperative mechanism between Chinese and
foreign law firms will be explored.
Opening
up Sino-foreign equity joint venture tourism
companies registered in the China (Shanghai) Pilot
Free
measures Trade Zone will be allowed to
engage in overseas tourism business activities,
with the exception of
Taiwan.
11.
Human resources service (Classification of
National Economic Industries: L Leasing and
business service ?7262
Professional
intermediary service)
measures
(1)Setup of Sino-foreign equity joint
venture human resources agencies will be allowed
with the foreign
foreign-owned human resources
agencies.
(2)The minimum registered capital
for foreign invested human resources agencies will
be reduced
from USD300,000 to USD125,000.
12. Investment
management (Classification of National Economic
Industries: L Leasing and business service ?7211
Headquarter s management)
Opening up
participation at 70% or below. Investors from Hong
Kong and Macau will be allowed to set up wholly
Opening up
measures
Incorporation of foreign-invested joint-stock
holding companies will be allowed.
13.
Engineering design (Classification of National
Economic Industries: M Scientific research and
technology service
company ?7482 Engineering
investigation and design)
Foreign-
invested engineering design (excluding engineering
survey) companies registered in the China
Opening up
measures
(Shanghai) Pilot
Free Trade Zone may be waived from the requirement
to provide the investor's
previous project
records on initial application of the relevant
qualifications for those applicants providing
services in Shanghai.
14. Construction
service (Classification of National Economic
Industries: E Construction industry ?47 Housing
construction industry, 48 Civil Engineering
Construction, 49 Construction and Installation, 50
Building decoration and
other construction)
Opening up
measures
Wholly
foreign-owned construction enterprises registered
within the China (Shanghai) Pilot Free Trade
Zone will be allowed to conduct Sino-foreign
joint construction projects in Shanghai regardless
of the
extent of foreign participation in the
project.
5. Cultural
services
15. Entertainment artist
agency (Classification of National Economic
Industries: R Culture, sports and
entertainment ?8941 Culture and entertainment
agency)
Opening up The
limitation on foreign participation in
entertainment artist agencies will be removed. A
wholly foreign
measures owned entertainment
artist agency will be allowed to set up to provide
service in Shanghai.
16. Entertainment
facilities (Classification of National Economic
Industries: R Culture, sports and entertainment
?8911
ballroom recreation activities)
Opening up Wholly foreign-owned
entertainment facilities will be allowed to set up
and provide service in the China
measures
(Shanghai) Pilot Free Trade Zone.
6. Public services
17. Education and training, vocational
skills training (Classification of National
Economic Industries: P
Education ?8291
Vocational skills training)
(1)Establishment of Sino-foreign cooperative
joint venture education and training institutions
will be
Opening up
allowed.
measures
(2)Establishment of Sino-foreign
cooperative joint venture vocational skills
training institutions will be
allowed.
18. Medical service (Classification of
National Economic Industries: Q Health and social
work ?8311 General hospital,
8315 Specialized
hospital, 8330 Out-patient department)
Opening up
Establishment of wholly
foreign-owned medical institutions will be
allowed.
measures
Note: The
opening up measures above only applicable to the
enterprises registered within the China
(Shanghai) Pilot Free Trade Zone.