BROCHURE ON LG ON BUSINESS REGISTRATION_CE
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联合国国际贸易法委员会UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW
为何编拟一部企业登记立法指南? 良好的营商环境有利于各种规模的企业的设立和运营。UNCITRAL LEGISLATIVE GUIDE ON KEY PRINCIPLES OF A BUSINESS REGISTRY Why a legislative guide on business registration?
考虑到微型、小型和中型企业(中小微企业)需求的公平、透明的立法是促成这种环境的法律条件之一。A sound business environment facilitates the establishment and operation of businesses of all sizes.
国际研究表明,中小微企业在多数国家的公司总数中占大多数,在就业总数中占很大一部分。Fair and transparent legislation that takes into account the needs of micro, small and medium-sized enterprises (MSMEs) is one of the legal conditions that contributes to that environment.
在一些国家,中小微企业在经济增长中发挥着关键作用,它们往往带来创新,并向包括最弱势群体在内的社会各阶层提供就业机会。International studies show that MSMEs represent the majority of firms in most countries and account for a large part of total employment.
在其他国家,这些企业的潜力仍然有待释放。 联合国大会强调应当重视中小微企业对实现可持续发展目标,特别是对促进创新、创造力和人人享有体面工作的重要作用。In some countries, MSMEs play a key role in economic growth often by channelling innovation and providing job opportunities to large segments of society, including the most vulnerable.
中小微企业的多样性反映了所在国家不同的经济、社会、政治和文化条件。In other countries, the potential of these businesses still needs to be unlocked.
尽管有这种多样性,中小微企业在其生命周期通常遇到类似的障碍。 企业登记费用高昂、程序复杂,以及在正规经济中运营的其他费用(例如,税收和社会缴款),这些属于最常见的障碍。The General Assembly has stressed the importance of focusing on MSMEs to achieve the Sustainable Development Goals, in particular to promote innovation, creativity and decent work for all.
因此,很大比例的中小微企业在非正规部门运营。MSMEs usually experience similar obstacles during their life cycle.
然而,为了创造良好的商业环境,中小微企业在正规经济中运营既符合国家的利益,也符合中小微企业的利益。The high cost and complex procedures of registering a business as well as other costs (for example, taxes and social contributions) to operate in the formal economy are one of the most common obstacles.
联合国大会在(2017年)第71/279号决议中认识到鼓励中小微企业正规化的重要性。As a result, a large percentage of MSMEs operate in the informal sector.
2013年,联合国国际贸易法委员会(贸易法委员会)商定就减少中小微企业整个寿命周期面临的法律障碍开展工作,这项工作首先着重于简化设立程序。In order to create a sound business environment, however, it is in the interest of both States and MSMEs that MSMEs operate in the formal economy.
《企业登记处关键原则立法指南》就是这项任务授权的一项成果,重点处理中小微企业在设立时遇到的障碍。In its resolution 71/279 (in 2017), the General Assembly recognized the importance of encouraging MSME formalization.
In 2013, the United Nations Commission on International Trade Law (UNCITRAL) agreed to take up work on reducing the legal obstacles faced by MSMEs throughout their life cycle, starting with a focus on simplification of incorporation The Legislative Guide on Key Principles of a Business Registry is a result of that mandate with specific focus on the obstacles that MSME encounter at their establishment. Purpose of the Legislative Guide The Legislative Guide aims at simplifying and streamlining business registration in order to promote the formalization of MSMEs. The Guide also advocates the organization and function of business registries in a manner intended to ease access to registered information, thus facilitating the search for potential business partners, clients or sources of finance and reducing risk when entering into business transactions. The Guide is addressed to policymakers, registrars and those involved in reforming business registration, or who are otherwise interested in the establishment and operation of a business registry.
本《立法指南》的目的 本《立法指南》旨在简化和理顺企业登记程序,以促进中小微企业正规化。 本《指南》还倡导企业登记处的组织和运行要允许简便地查阅已登记信息,从而便利寻找潜在商业伙伴、客户或资金来源,并降低进行商业交易的风险。It draws on international best practices originating from business registration reforms implemented by States in different regions. Content of the Legislative Guide
The Legislative Guide consists of an introduction and eleven chapters dealing with the main aspects of establishing and operating a business registry, registration and post-registration procedures and the requirements businesses should comply with in order to be registered. The Guide contains 58 recommendations providing possible legislative solutions to various registration issues: each recommendation is introduced with a commentary that discusses the advantages and disadvantages of different legislative and policy choices. The Introduction establishes the context and purpose of the Guide: it emphasizes that streamlined business registration promotes business formalization in general and outlines features of business registries that facilitate MSME registration. The introduction also contains a glossary of terms that appear frequently in the Guide and clarifies that the text uses neutral legal terminology so that the recommendations can be adapted to different legal traditions. The introduction concludes with an overview of the main steps of business registration reform.
本《指南》面向政策制定者、登记官和参与企业登记改革的人员,或对企业登记处的建立和运作感兴趣的其他人员。Chapter I focuses on the objectives and purposes of a business registry.
《指南》借鉴了不同区域各国实施的企业登记改革得出的国际最佳做法。An effective registry facilitates the operation of a business in the formal economy;
本《立法指南》的内容provides the business with an identity recognized by the State;
《立法指南》由导言和十一章组成,涉及建立和运作企业登记处的各个方面、登记和登记后程序和企业办理登记应当遵守的要求。and receives, stores and makes the information on a registered business accessible to the public.
《指南》载有58项建议,就各种登记问题提供可能的立法解决办法:每项建议均附有评注,讨论不同立法和政策选项的利弊。Laws governing the operation of the registry should be simple and clear: for example, they should avoid or limit unnecessary use of discretionary power by the registrar.
导言确定《指南》的背景和目的:强调经过精简的企业登记总体上促进企业正规化,并概要介绍便利中小微企业办理登记的企业登记处的特征。The chapter also lists the key features of a business registry, noting that a good quality registry system and registered information require regular updating and verification.
《导言》还载有《指南》中经常出现的术语的汇编,并澄清案文使用中性法律术语,以便这些建议可以适应不同的法律传统。Chapter II discusses the establishment and functions of the business registry.
Different options on how to organize and run the registry are available to States: for example, a State can entrust a government department with the task of operating the registry or can outsource some or all of the registry operations. Regardless of how the registry is organized, a State should always retain responsibility for ensuring that the registry is operated in accordance with the law. The chapter also deals with procedures to appoint and dismiss the registrar, the registrar's accountability in operating the registry, and the importance of laws and service standards to ensure transparency in the operation of the registry. Finally, the chapter describes the core functions of the registry and how an interconnected system of registration offices within a State ensures non- duplicative collection of information and consistent identification and classification of registered businesses. Chapter III presents a set of key tools that facilitate and improve the quality of registration services and allow interconnectivity between the business registries and other authorities, such as taxation and social security authorities, involved in the process of establishing a business.
导言最后概述了企业登记改革的主要步骤。 第一章重点介绍企业登记处的目标和目的。The tools include electronic registration, one-stop shops and unique identifiers.
有效的登记处便利企业在正规经济中运营; 为企业提供国家认可的身份; 接收、储存并提供公众查询已登记企业的信息。The Guide recommends that efficient and effective business registration should make use of all of them and the chapter provides a detailed description of how a State could introduce and implement those tools.
关于登记处运作的法律应当简单明确:例如,这些法律应当避免或限制登记官不必要地使用裁量权。The chapter also highlights the main policy and legal issues that States should consider when adopting the tools.
本章还列出了企业登记处的关键特征,指出登记处系统和所登记信息保持质量上乘需要定期更新和验证。It is worth noting that the Guide is written so as to be applicable to paper-based as well as electronic or mixed registries.
第二章讨论企业登记处的设立和职能。Chapter IV addresses the main aspects of how to register a business.
如何组织和运行登记处,各国可以采用不同的选择:例如,国家可以委托一个政府部门负责运行登记处,也可将登记处的部分或全部业务外包出去。First, it introduces the controls performed by the registry to verify that registration requirements are met.
无论登记处是如何组织的,国家都应当始终保留确保登记处按照法律运作的责任。The chapter acknowledges that the extent and nature of verification varies from State to State and it does not recommend any particular approach.
本章还述及任命和罢免登记官的程序,登记员在登记处运作中的责任,以及确保登记处运作透明度的法律和服务标准的重要性。The chapter then emphasizes that easy access to information on how to register is key to facilitating registration.
最后,本章介绍了登记处的核心职能,以及一国境内相互连通的登记处办公点如何确保信息收集不重复和企业的身份识别和分类的一致性。It also encourages States to permit voluntary registration of businesses when it is not mandatory.
第三章介绍了一组关键手段,以促进和提高登记服务的质量,并允许企业登记处与企业设立过程所涉其他主管机构之间相互连通,如税务和社会保障主管机构。 这些手段包括电子登记、一站式服务处和独一识别码。The second part of the chapter examines the key steps of the registration procedure, which include: the minimum information a business should provide in order to register and the language of that information;
《指南》建议高效和有效的企业登记应当利用所有这些手段,本章详细说明一国如何引入和实施这些手段。the notification of registration by the registry and its content;
本章还强调各国在采用这些手段时应当考虑的主要政策和法律问题。the period of effectiveness of registration;
需要指出,本《指南》可适用于纸介登记处以及电子登记处或混合登记处。the moment at which registration is effective and the reasons and procedures to reject an application.
第四章述及对企业进行登记所涉及的主要方面。 首先介绍了登记处为验证登记要求得到满足而采取的控制措施。The chapter concludes with a short discussion on the registration of business branches established in a foreign State.
本章承认各国进行的验证的范围和性质有所不同,并没有推荐采取任何具体办法。 本章随后强调,关于如何办理登记的信息容易获取对于便利办理登记非常重要。Chapter V deals with measures the registry should adopt to ensure that the registered information on the business is as up-to-date as possible so that the information continues to be of value to the users of the registry.
The chapter lists the minimum information businesses should submit after registration and when, how the registry should process the amendments to registered information and the time at which those amendments should become effective. Chapter VI focuses on how to ensure access to registration services and registered information. The chapter presents practical measures to facilitate the use of registry services, such as hours of operation of the registry offices or direct electronic access to the registry, and discusses the requirements to access those services. The chapter emphasizes that potential registrants should be granted equal rights to register and States should ensure that registration requirements are not gender-biased. States should also ensure equal access for all interested users to the registered information, save for protected data under other applicable law, and registries should make that information easily accessible to the public, including users outside national borders.
本章还鼓励各国允许企业在非必须办理登记的情况下自愿办理登记。Chapter VII deals with the fees required for business services.
本章的第二部分审查了登记程序的关键步骤,其中包括:企业办理登记应当提供的最低限信息和此类信息所用的语文;It recommends that in order to facilitate business registration, in particular of MSMEs, States should charge no or very low fees.
登记处发出的登记通知及其内容; 登记的有效期; 登记生效时间以及拒绝申请的理由和程序。When fees are charged, they should be established according to the cost-recovery principle.
本章最后简短讨论了在外国设立的企业分支机构的登记问题。 第五章述及登记处应当采取哪些措施,以确保企业已登记信息尽可能保持更新,以便信息对登记处的用户继续有用。As a revenue generating mechanism, the chapter recommends that registries only charge fees for the provision of advanced information services, i.e. those services which require processing time by the registry (e.g., provision of bulk information).
本章列出了企业在登记后应当提交的最低限信息,登记处应当何时和如何处理对已登记信息的修订,以及这些修订生效的时间。 第六章侧重于如何确保登记服务和已登记信息的获取。The chapter concludes by highlighting the importance of publicizing the amount of the registry's fees and methods of payment, and recommends that States enable and facilitate e-payments.
本章介绍了便利使用登记处服务的实际措施,例如登记处办公点的营业时间或直接以电子方式访问登记处,并讨论了获取这些服务的要求。Chapter VIII addresses the liability of the registrants in discharging their obligations and that of the State for malfunctions of the business registry.
本章强调,应给予潜在登记人以办理登记的平等权利,各国应确保登记要求不存在性别偏见。Registrants are liable for any misleading, false or deceptive information submitted to the registry.
各国还应确保除根据其他适用法律受到保护的数据外,所有感兴趣的用户可以平等获取已登记信息,登记处应使此类信息可为公众便利获得,包括国境以外的用户。The chapter outlines sanctions that a State can employ to ensure registrants' compliance with their obligations, as well as the pros and cons of imposing sanctions.
第七章述及为企业提供服务所需的费用。 本章建议,为便利企业登记,尤其是中小微企业登记,各国应不收取费用或收取非常低的费用。 在收取费用时,应按照成本回收原则确定费用。In order to minimize the use of sanctions, the chapter encourages the adoption of preventive measures (e.g., training) to raise business awareness on the importance of complying with registration requirements.
作为一种创收机制,本章建议登记处只对提供高级信息服务收取费用,即需要登记处投入时间进行处理的服务(例如,提供批量信息)。States, too, may be liable for loss or damage caused in the operation of the registry.
本章最后强调了公布登记处费用数额和支付方式的重要性,并建议各国允许使用电子支付并为之提供便利。The chapter presents some examples of registry errors or negligence and measures that can be adopted to minimize the potential for them to occur.
第八章述及登记人履行义务方面的赔偿责任以及国家对于企业登记处故障的赔偿责任。Chapter IX deals with the deregistration of a business, which occurs when the business has permanently ceased to operate.
登记人对于向登记处提交任何误导性、虚假或欺骗性信息负有赔偿责任。 本章概述了一国可用来确保登记人遵守义务的制裁措施,以及实行制裁的利弊。The Guide only focuses on deregistration of solvent dormant businesses, since deregistration pursuant to winding-up or insolvency is not regulated by the laws on business registration.
为尽量减少制裁的使用,本章鼓励采取预防措施(例如培训),提高企业对遵守登记要求的重要性的认识。 国家也可能对登记处运作所造成的损失或损害负有赔偿责任。The chapter discusses both deregistration carried out upon request of the business and that initiated by the registrar, describing their process, time and effectiveness.
本章介绍了登记处错误或疏忽的一些例子,以及可用来最大限度地减少其发生的可能性的措施。 第九章述及企业的注销,这种情况发生在企业永久停止运作之时。The chapter concludes with a discussion of the circumstances under which and the time limit within which registration of a deregistered business can be reinstated.
本《指南》只侧重于属于休眠状态的未破产企业的注销,因为根据清理或破产程序而注销非由关于企业登记的法律来规范。Chapter X examines the length of, and methods for, the preservation of registry records taking into account that a registry can be electronic, paper-based or a mixed registry.
本章讨论应企业请求进行的注销或登记官主动进行的注销,描述了这些注销的过程、时间和生效。 本章最后讨论了在哪些情况下和在何时限内已注销企业可以恢复登记。The focus is on measures to prevent loss of or damage to registry records as well as on risk-mitigation procedures that the registry should adopt.
第十章审查登记处记录的保存期限和方法,同时考虑到登记处可以是电子登记处、纸介登记处或混合登记处。The chapter also addresses the alteration or deletion of information by the registrar, which affects the integrity of the records as well.
重点介绍了防止登记处记录遭到损失或损害的措施,以及登记处应当采取的减轻风险措施。Chapter XI briefly considers the reform of the legal framework underlying business registration.
本章还述及登记官修改或删除信息事宜,这些行为也会影响记录的完整性。 第十一章简要述及企业登记基础性法律框架的改革。Streamlining business registries may entail amending laws that indirectly affect the registration process so that they better respond to the needs of businesses, and in particular of MSMEs.
精简企业登记处可能导致修改间接影响登记过程的法律,以便这些法律更好地响应企业特别是中小微企业的需要。The chapter considers three general aspects: the need to clarify the law so as to avoid any impediments to simplifying registration;
本章考虑了三个大的方面:澄清法律以避免简化登记程序遇到任何障碍的必要性;the importance of developing flexible and simplified legal forms for business that can facilitate registration;
制定可促进登记的灵活、简易的企业法律形式的重要性;and the benefits of legislation capable of accommodating the evolution of technology.
以及能够顾及技术演变的立法的益处。The Travaux preparatories
准备工作文件 贸易法委员会第一工作组在2013年7月接到任务授权后,于2014年2月开始工作,重点处理两个主题:简化设立程序和企业登记最佳做法,据说这两个主题都有助于减少中小微企业面临的法律障碍。After receiving its mandate in July 2013, UNCITRAL Working Group I began its work in February 2014 focusing on two themes: simplification of incorporation and best practices in business registration both of which were said to contribute to reducing the legal obstacles faced by MSMEs.
2015年至2018年期间,工作组讨论了企业登记立法指南草案的各种版本。Between 2015 and 2018, the Working Group discussed various iterations of the draft legislative guide on business registration.
除贸易法委员会成员国的代表之外,观察员国家和一些国际组织的代表,包括政府间组织和非政府组织的代表,也积极参与编写工作。In addition to representatives of UNCITRAL member States, representatives of observer States and a number of international organizations, both intergovernmental and non-governmental, actively participated in the preparatory work.
指南的不同版本、工作组讨论报告及其录音以联合国六种语文在贸易法委员会网站(uncitral.un.org/)“工作文件——工作组”栏下提供。The different versions of the guide, the reports of the Working Group's discussions and their audio recordings are available, in the six United Nations languages, on the UNCITRAL website (uncitral.un.org/) in the section “Working Documents — Working Groups”.
在2018年3月举行的第三十届会议上,工作组最后审定了指南草案,并商定将其提交贸易法委员会通过。At its thirtieth session, in March 2018, the Working Group finalized the draft guide and agreed to submit it to UNCITRAL for adoption.
在贸易法委员会第五十一届会议期间,2018年6月26日至27日在纽约就该草案进行了最后谈判,2018年6月27日协商一致通过了案文。The final negotiations on the draft were held during the fifty-first session of UNCITRAL, in New York, from 26 to 27 June 2018 and the text was adopted by consensus on 27 June 2018.
随后,联合国大会于2018年12月20日通过了第73/197号决议(见附件二),对贸易法委员会完成和通过《企业登记处关键原则立法指南》表示赞赏。Subsequently, the General Assembly adopted resolution 73/197 of 20 December 2018 in which it expressed its appreciation to UNCITRAL for completing and adopting the Legislative Guide on Key Principles of a Business Registry.
联合国国际贸易法委员会(贸易法委员会)The United Nations Commission on International Trade Law (UNCITRAL)
贸易法委员会成立于1966年,是联合国在国际贸易法领域的核心法律机构,其成员结构确保世界各地理区域和法律体系的代表性。UNCITRAL, established in 1966, is the core legal body of the United Nations in the field of international trade law. Its membership is structured to ensure representation of the world's various geographic regions and its principal economic and legal systems.
贸易法委员会通过召开年会开展工作,其案文是由贸易法委员会所有成员国组成的各工作组编写的,这些工作组每年举行一次或两次会议。UNCITRAL carries out its work at annual sessions, its texts are developed by working groups comprising all member States of UNCITRAL which meet once or twice a year.
除成员国外,非贸易法委员会成员的所有国家以及感兴趣的国际组织都被邀请作为观察员出席贸易法委员会及其工作组的届会。In addition to member States, all States that are not members of UNCITRAL, as well as interested international organizations, are invited to attend its sessions and those of its working groups as observers.
可持续SUSTAINABLE
中小微企业MSME
生命周期LI FECYCLE
进一步资料可向以下地址索取:Further information may be obtained from:
UNCITRAL Secretariat, Vienna International CentreUNCITRAL Secretariat, Vienna International Centre
P.O. Box 500, 1400 Vienna, Austria Telephone: (+43-1) 26060-4060P.O. Box 500, 1400 Vienna, Austria
Telefax: (+43-1) 26060-5813 Internet: uncitral.un.org Email: uncitral@un.orgTelephone: (+43-1) 26060-4060 Telefax: (+43-1) 26060-5813 Internet: uncitral.un.org Email: uncitral@un.org