LEGISLATIVE GUIDE ON KEY PRINCIPLES OF A BUSINESS REGISTRY_EC
Correct misalignment Change languages order
LEGISLATIVE GUIDE ON KEY PRINCIPLES OF A BUSINESS REGISTRY V1807623.pdf (English)LEGISLATIVE GUIDE ON KEY PRINCIPLES OF A BUSINESS REGISTRY V1807622.pdf (Chinese)
UNCITRAL UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW联合国国际贸易法委员会
UNITED NATIONS贸易法委员会企业登记处
UNCITRAL Legislative Guide  on Key Principles of a  Business Registry关键原则立法指南 联合国
Further information may be obtained from:进一步资料可向以下地址索取:
UNCITRAL secretariat, Vienna International Centre P.O. Box 500, 1400 Vienna, AustriaUNCITRAL secretariat, Vienna International Centre P.O. Box 500, 1400 Vienna, Austria
Telephone: (+43-1) 26060-4060 Telefax: (+43-1) 26060-5813 Internet: uncitral.un.org Email: uncitral@un.orgTelephone: (+43-1) 26060-4060 Telefax: (+43-1) 26060-5813 Internet: www.uncitral.org
UNCITRAL Legislative Guide on  Key Principles of a  Business RegistryEmail: uncitral@uncitral.org 联合国国际贸易法委员会 贸易法委员会企业登记处
UNITED NATIONS  Vienna, 2019关键原则立法指南 联合国 2019年,维也纳
UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW注 联合国文件都用英文字母加数字编号。
UNITED NATIONS PUBLICATION Sales No.: E.19.V.15 ISBN: 978-92-1-130380-3 eISBN: 978-92-1-047925-7凡是提到这种编号,就是指联合国的某一个文件。 © 联合国,2018年12月。
Note世界范围版权所有。
Symbols of United Nations documents are composed of letters combined with f gures.本出版物所用名称及其材料的编制方式并不意味着联合国秘书处对于任何国家、领土、城市或地区或其当局的法律地位或对于其边界或界限的划分表示任何意见。
Mention of such symbols indicates a reference to a United Nations document.出版:联合国维也纳办事处英文、出版和图书科。
© United Nations, February 2019.前言
All rights reserved, worldwide.《企业登记处关键原则立法指南》系由联合国国际贸易法委员会(贸易法委员会)编写。
hTe designations employed and the presentation of material in this publication do  not imply the expression of any opinion whatsoever on the part of the Secretariat  of the United Nations concerning the legal status of any country, territory, city or  area, or of its authorities, or concerning the delimitation of its frontiers or  boundaries.委员会在2013年第四十六届会议上商定,委员会工作方案中应当添加特别是减少发展中经济体微型、小型和中型企业(中小微企业)整个寿命周期面临的法律障碍的工作,这项工作应当首先侧重于围绕简化设立程序的法律问题(A/68/17,第321段)。 第一工作组在2014年2月根据委员会赋予的任务授权开始工作,并一致认为,除简化设立程序外,简化企业登记程序也有助于减少中小微企业整个寿命周期面临的法律障碍。 因此,工作组在围绕简化设立程序的法律问题这项工作的基础上,添加了关于企业登记最佳做法的第二个项目(经委员会批准)。
Publishing production: English, Publishing and Library Section, United Nations  Oifce at Vienna.2015年和2016年,工作组讨论了载有评注和建议草案的各个部分的几份文件(关于这些会议的报告,见A/CN.9/860和A/CN.9/866)。
iii Preface hTe Legislative Guide on Key Principles of a Business Registry was prepared by the  United Nations Commission on International Trade Law (UNCITARL).2017年首次讨论一份立法指南合并案文草案(会议报告见A/CN.9/900),这项工作通过两届分别为期一周的会议得到进一步推动,其中最近一届会议于2018年3月举行(关于这些会议的报告,见A/CN.9/928和A/CN.9/933)。
At its  forty-sixth session, in 2013, the Commission agreed that work on reducing the  legal obstacles faced by micro, small and medium-sized enterprises (MSMEs)  throughout their life cycle, in particular in developing economies, should be added  to the work programme of the Commission, and that such work should begin with  a focus on the legal questions surrounding the simpliifcation of incorporation  (A/68/17, para. 321). Working GroupIcommenced its work in February 2014 according to the mandate  received by the Commission and agreed that in addition to simpliifcation of incorporation, simpliifcation of business registration also contributed to reducing the  legal obstacles faced by MSMEs throughout their life cycle. hTe Working Group  thus added a second project on best practices for business registration (approved  by the Commission) to the work on legal questions surrounding the simpliifcation  of incorporation. In 2015 and 2016, the Working Group discussed several documents which included  portions of dratf commentary and recommendations (see A/CN.9/860 and  A/CN.9/866 for the reports of those meetings). A dratf consolidated text of the  legislative guide was ifrst discussed in 2017 (see A/CN.9/900 for the report of that  meeting) and work was further developed through two one-week sessions, the last  one being held in March 2018 (see A/CN.9/928 and A/CN.9/933 for the reports  of those meetings). In addition to representatives of the member States of the  Commission, representatives of observer States and a number of international  organizations, both intergovernmental and non-governmental, participated actively  in the preparatory work. hTe ifnal negotiations on the dratf legislative guide on key principles of a business  registry were held during the iftfy-ifrst session of UNCITARL in New York from  26 to 27 June 2018 and the text was adopted by consensus on 27 June 2018 (see  annex II).
Subsequently, the General Assembly adopted resolution 73/197 of  20 December 2018 in which it expressed its appreciation to UNCITARL for  completing and adopting the Legislative Guide (para. 3 of the resolution).除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,也积极参加了编写工作。 在贸易法委员会于纽约举行第五十一届会议期间,2018年6月26日至27日就企业登记处关键原则立法指南草案进行了最后谈判,2018年6月27日以协商一致方式通过了案文(见附件二.A)。 随后,大会通过了2018年12月20日第73/197号决议,在其中对贸易法委员会完成和通过立法指南表示赞赏(决议第3段)。
v目录
Contents前言
Prefaceiii
. iii导言
Introduction1
1A.
A. Purpose of the Legislative Guide《立法指南》的宗旨
21
B. TerminologyB.
4术语
C. Legislative dratfing considerations2
6C.
D. hTe reform process立法起草方面的考虑因素
74
I. Objectives of a business registryD.
改革进程 4 一. 企业登记处的目标 7
11A.
A. Purposes of the business registry企业登记处的目的
117
B. Simple and predictable system of laws permitting registrationB. 允许办理登记的简单、可预测法律体系 7
12C.
C. Key features of a business registry企业登记处的关键特征
138
II.二.
Establishment and functions of the business registry企业登记处的设立和职能 11
16A.
A. Responsible authority负责的主管机构
1611
B. Appointment and accountability of the registrarB. 登记官的任命和问责 11
17C.
C. Transparency in the operation of the business registry企业登记处运作的透明度
1812
D. Use of standard registration formsD. 使用标准登记表格 12
19E.
E. Capacity-building for registry staff登记处工作人员的能力建设
2013
F. Core functions of business registriesF. 企业登记处的核心职能 13
21G.
G. Storage of information and access to it throughout   the business registry整个企业登记处信息的储存和获取
2515
III.三.
Operation of the business registry企业登记处的运作
2617
A. Electronic, paper-based or mixed registryA. 电子、纸介或混合型登记处 17
26B.
B. Features of an electronic registry电子登记处的特征
2818
C. Phased approach to the implementation of an electronic registryC. 采取分阶段办法实施电子登记处 19
30D.
D. Other registration-related services supported by ICT solutions得到信通技术解决方案支持的其他登记相关服务
3320
E. Electronic communications and electronic   authentication methodsE. 电子通信和电子认证方法 21
34F.
F. A one-stop shop for business registration and registration with   other authorities企业登记与向其他主管机构登记的一站式服务处
3521
viG.
G. Use of unique identifers使用独一识别码 24
40H.
H. Sharing of protected data between public authorities公共主管机构之间共享受保护数据
4627
IV.四.
Registration of a business企业登记
4729
A. Scope of examination by the registryA. 登记处审查的范围 29
47B.
B. Accessibility of information on how to register关于如何办理登记的信息的可获取性
4829
C. Businesses permitted or required to registerC. 允许或要求办理登记的企业 30
49D.
D. Minimum information required for registration登记所要求的最低限信息
5030
E. Language in which information is to be submittedE. 提交信息所用的语文
32 F. 登记通知 32
53G.
F. Notice of registration登记通知的内容
5433
G. Content of notice of registrationH. 登记的有效期 33
54I.
H. Period of effectiveness of registration登记的时间和生效
5534
I. Time and effectiveness of registrationJ. 拒绝登记申请 34
56K.
J. Rejection of an application for registration分支机构办理登记
5735
K. Registration of branches五.
60登记后
V. Post-registration37
62A.
A. Information required atfer registration登记之后所要求的信息
6237
B. Maintaining a current registryB. 登记处保持更新 38
63C.
C. Making amendments to registered information对已登记信息的修订
6538
VI.六.
Accessibility and information-sharing可获取性和信息共享
6741
A. Hours of operation of the business registryA. 企业登记处的营业时间 41
67B.
B. Access to services of the business registry获取企业登记处的服务
6942
C. Equal rights of women to access the registration services  of the business registryC. 妇女获取企业登记处的登记服务的平等权利 42
70D.
D. Public availability of information向公众提供信息
7243
E. Where information is not made publicE. 信息不予公开的情况 44
74F.
F. Direct electronic access to registry services登记处服务的直接电子访问
7545
G. Facilitating access to informationG. 为获取信息提供便利 45
76H.
H. Cross-border access to publicly available registered information跨境获取可公开获得的已登记信息
7947
VII.七.
Fees费用
8149
A. Fees charged for business registry servicesA. 企业登记处服务收取的费用 49
81B.
B. Fees charged for information收取的信息费
8350
viiC.
C. Publication of fee amounts and methods of payment公布费用金额和支付方法
8450
D. Electronic paymentsD. 电子支付
8450
VIII.八.
Liability and sanctions赔偿责任和制裁 53
86A.
A. Liability for misleading, false or deceptive information提交误导性、虚假或欺骗性信息的赔偿责任
53 B. 制裁 53
86C.
B. Sanctions企业登记处的赔偿责任
8754
C. Liability of the business registry九.
88注销
IX.55
Deregistration.A.
90注销
A. Deregistration55
90B.
B. Process of deregistration and time of effectiveness of deregistration 92注销程序及注销的时间和生效
56 C. 恢复登记 56 十.
C. Reinstatement of registration记录的保存
9357
X. Preservation of recordsA.
94记录的保存
A. Preservation of records57
94B.
B. Alteration or deletion of information修改或删除信息
9557
C. Protection against loss of or damage to the business registry record 95C.
D. Safeguard from accidental destruction保护企业登记处记录免遭损失或损害
9657
XI.D.
Underlying legal reforms防止意外毁坏
9858
A. Changes to underlying laws十一.
98基础性法律改革
B. Clarity of the law59
98A.
C. Flexible legal forms对基础性法律的修改
9959
D. Legislative approach to accommodate the evolution of technologyB.
100法律的清晰度
Annexes.59
103C.
I. Recommendations灵活的法律形式
10359
II.D.
Decision of the United Nations Commission on International   Trade Law顾及技术演变的立法办法
60 附件 61 一. 建议
.11761
1二.
Introduction联合国国际贸易法委员会的决定
1. hTe Legislative Guide on Key Principles of a Business Registry (the “Guide” or  the “Legislative Guide”) has been prepared on the understanding that, in order to  create a sound business environment, it is in the interests of States and of micro,  small and medium-sized enterprises (MSMEs) that such businesses operate in the  formal economy. hTis Guide is also intended to relfect the idea that entrepreneurs  that have not yet commenced a business may be persuaded to do so in the formal  economy if the requirements for formally starting their business are not considered  overly burdensome, and if the advantages for doing so outweigh their interest in  operating in the informal economy. 2. hTis Legislative Guide recognizes that in many States, MSMEs, especially micro  and small businesses, depending on their legal forms, are not required to register  with the business registry in order to operate in the formal economy, but they may  be required to register with other relevant authorities such as taxation and social  security authorities. hTe operation of a business in the formal economy refers to  a business that has complied with all mandatory registration and other requirements of the jurisdiction in which it is doing business. 3. Depending on the jurisdiction in which the business is operating and the legal  form of the business, registration with the business registry may be one of the  mandatory registration requirements for doing business in that jurisdiction. However, this Guide recommends that even States that do not require mandatory  business registration should consider permitting, but not necessarily requiring,  businesses of all sizes and legal forms to register in the business registry. hTis  permissive approach could signifcantly enhance the advantages for businesses  operating in the formal economy.
4.71
In order to encourage entrepreneurs to operate their business in the formal  economy – particularly when business registration is a requirement for them to do  so – States may wish to take steps to rationalize and streamline their system of  business registration. Faster and simpler procedures to register a business could be  expected to assist in business formation of all sizes and types of businesses, not  only MSMEs. For these reasons, simplifcation and streamlining of business registration has become one of the most pursued reforms by States in all regions and 2 UNCITARL Legislative Guide on Key Principles of a Business Registry at all levels of development. hTis trend has generated several good practices, whose  features are shared among the best performing economies. In order to assist States  wishing to reform their business registration procedures so as to take into consideration the particular needs of MSMEs, or simply to adopt additional good practices to streamline existing procedures, this Guide sets out key principles and good  practices in respect of business registration, and how to achieve the necessary  reforms.
A. Purpose of the Legislative Guide导言 贸易法委员会企业登记处关键原则立法指南
5.导言
Business registries (see para. 12 below) are systems established by law that  facilitate the interaction of new and existing businesses that are operating in the  jurisdiction of the registry with the State, other businesses and the public, both  when those businesses are established and throughout the course of their lifespan.  hTe business registry not only enables such businesses to comply with their obligations under the domestic law applicable to them, but it empowers them to participate fully in the formal economy when registration is required for that purpose,  and otherwise enables them to benefit from legal, financial and policy support  services that are more readily available to registered businesses. Moreover, when  information is appropriately maintained and shared by the registry (see para. 52 (b)  below), it allows the public to access business information, and thus may facilitate  the search for potential business partners, clients or sources of fnance and reducing  risk when entering into business partnerships. In performing its functions, the registry can thus play a role in the economic development of a State. In addition, since  businesses, including MSMEs, are increasingly expanding their activities beyond  national borders, registries eifciently performing their functions can play an important role in a cross-border context by facilitating access to business information by  interested users from foreign jurisdictions (see also paras. 196 and 197 below),  which greatly reduces the risks of transacting and contracting.
6.1.
Business registration systems vary greatly across States and regions, but a  thread common to all is that the obligation to register can apply to businesses of  all sizes depending on the legal requirements applicable to them under domestic  law.《企业登记处关键原则立法指南》(《指南》或《立法指南》)是在这样一项谅解的基础上编写的,即微型、小型和中型企业(中小微企业)在正规经济中经营有利于营造良好的营商环境,因而,既符合国家的利益,也符合这类企业的利益。 此外,本《指南》还意在反映这样一种想法,即如果正式创办企业的要求据认为并非过于繁琐,并且正式创办企业的益处超出在非正规经济中经营可以获得的利益,则尚未创办企业的潜在企业主可能有动力在正规经济中创办企业。 2.
Approaches to business registration reforms are most otfen “neutral” in that  they aim at improving the functioning of the registries without differentiating  between large-scale business activities and much smaller business entities.本《立法指南》认识到,在许多国家,中小微企业特别是小微企业不需要在企业登记处办理登记即可在正规经济中经营,视其法律形式而定,但可能需要向其他相关主管机构如税务和社会保障主管机构登记。 企业在正规经济中经营意指企业遵守开展业务所在法域的所有强制性登记要求和其他要求。 3.
Evidence  suggests, however, that when business registries are structured and function in  accordance with certain features, they are likely to facilitate the registration of  MSMEs, as well as operating more eifciently for businesses of all sizes. hTese  features are relfected as recommendations in this Legislative Guide. Introduction 3依企业运营所在的法域和企业的法律形式而定,在企业登记处办理登记可能是在该法域开展业务的强制性登记要求之一。 但是,本《指南》建议,即使不强制要求办理企业登记的国家,也应当考虑允许但不一定要求所有规模和法律形式的企业在企业登记处办理登记。 这种通融性做法可以大大增强在正规经济中经营的企业可获得的益处。
7. hTis Legislative Guide draws on the lessons learned through the wave of business registration reforms implemented since 2000 by States in various geographic  regions. hTrough this approach, the Guide intends to facilitate not only eifcient  domestic business registration, but also cooperation among registries in different  national jurisdictions, with a view to facilitating cross-border access to registries  by all interested users. Promoting the cross-border dimension of business registration contributes to transparency and legal certainty in the economy and signifcantly reduces the cost of businesses operating beyond their national borders (see  also paras. 196 and 197 and rec. 40 below). 8. hTe Legislative Guide supports the view that transitioning to an electronic or  mixed registry (i.e. electronic and paper-based) greatly contributes to promoting  the registration of MSMEs. hTe Guide recognizes that adoption of modern technology has not progressed equally among or within States, and it recommends that  any reform towards electronic business registration should be tailored to the State’s  technological and socioeconomic capacity. hTis may include phasing in implementation, particularly if the technology that is adopted requires a complete reengineering of registration processes (see paras. 72 to 80 below). It should be noted that  reference to electronic or online registration is not intended to recommend the  use of any particular technology, but rather describes the performance of the business registry’s functions through electronically operated devices. In keeping with  that approach, this Guide has been dratfed with the aim of accommodating the use  of existing information and communications technology (ICT) as well as any  emerging technology, such as distributed ledger technology, that States may consider appropriate when reforming their registration systems.
9.4.
Other features that encourage the registration of MSMEs include providing  registration and post-registration services at no cost or at low cost, and collecting  and maintaining good quality and reliable information on registered businesses.为鼓励企业主在正规经济中经营企业——尤其是企业要在正规经济中经营必须办理企业登记时——各国不妨采取步骤理顺其企业登记系统,并使之合理化。 较为快捷和简便的企业登记程序预期有助于组建所有规模和类别的企业,而不仅仅是中小微企业。 由于这些原因,简化并理顺企业登记已成为所有区域和各种发展水平的国家实行最多的改革之一。
Importantly, establishing a one-stop shop for business registration and registration  with other relevant authorities that are involved in establishing a business, such as  taxation and social security authorities, greatly facilitates such registration, particularly in the case of MSMEs.这一趋势产生了一些良好做法,这些良好做法的特征是表现最佳的经济体所共有的。 为协助想要改革企业登记程序的国家,使之顾及中小微企业的特殊需要,或者仅仅是采用更多的良好做法以理顺现有程序,本《指南》阐明企业登记方面的关键原则和良好做法,以及如何实现必要的改革。 A.
A one-stop shop adopts a user-centric approach that  is driven by the needs of the businesses, thus providing services that respond to  their expectations in terms of cost eifciency, delivery time and engagement of the  service providers. For this reason, the Guide supports the view that one-stop shops  are a key means to improve institutional interoperability among relevant public  authorities and that States should use one-stop shops to establish integrated registration procedures for the establishment of a business (see paras. 94 and 95 and  rec. 14 below). In this regard, it should be noted that the terms “business registry”  and “one-stop shop” as used in this Guide are not intended to be interchangeable  (see para. 12 below). 10. hTese materials have benefted from various tools prepared by international  organizations that have supported such reform processes in numerous regions  around the world. Data made available through the activity of international networks of business registries that, among other activities, survey and compare the  practices of their aifliates in various States around the world have also been referenced. hTe main sources used in the preparation of this Legislative Guide include  publications and online resources from various institutions and organizations,  including, but not limited to: the Association of Registers of Latin America and the  Caribbean, the Corporate Registers Forum, the Companies House of the United  Kingdom of Great Britain and Northern Ireland, the European Commerce Registers’  Forum, the European Union, the International Anti-Corruption Academy, the International Association of Commercial Administrators, the Ministry of Service of  Alberta (Canada), the Québec Registraire des enterprises (Canada), the World Bank  Group and the United Nations Conference on Trade and Development.
Moreover  legislation enacted in several jurisdictions, of different legal traditions, around the  world has provided guidance on all aspects of business registration.《立法指南》的宗旨 5. 企业登记处(见下文第12段)是依法设立的、便利在登记处所在法域运营的新企业和现有企业不管是在企业设立之时还是在其整个存续期间与国家、其他企业和公众互动的系统。
11. hTis Legislative Guide is addressed to States interested in the reform or  improvement of their business registries, and to all stakeholders in the State that  are interested in or actively involved in the design and implementation of business  registries, as well as to those that may be affected by or interested in the establishment and operation of a business registry.企业登记处不仅使此类企业能够遵守依国内法规定对其适用的义务,在参与正规经济必须办理登记的情况,还使它们能够充分参与正规经济,在非必须办理登记的情况下,使它们能够受益于已登记企业更容易获得的法律、金融和政策支持服务。 此外,如果登记处适当地维护和共享信息(见下文第52(b)段),公众就可以查阅企业信息,登记处因而可为寻找潜在商业伙伴、客户或资金来源提供便利,并降低建立商业伙伴关系的风险。
B. Terminology因此,登记处通过履行职能,可在国家的经济发展中发挥作用。
12. hTe meaning and use of certain expressions that appear frequently in this Legislative Guide is explained in this paragraph.此外,由于企业包括中小微企业越来越多地将活动扩展至国境以外,高效履行职能的登记处可在跨境背景下发挥重要作用,因为它们为外国法域感兴趣的用户查阅企业信息提供了便利(另见下文第196和197段),从而大大降低了交易风险和订约风险。 6.
It is to be noted that whenever  terms such as annual accounts, periodic returns, documents, forms (such as search  forms, registration forms or other forms to request registry services), notices, notifcations and written materials are used, reference is intended to include both their  electronic and paper versions unless otherwise indicated in the text.各国和各区域的企业登记系统差别很大,但都有一个共同思路,就是登记义务可适用于所有规模的企业,视国内法中适用于企业的法律要求而定。 因此,企业登记改革办法往往是“中性”的,因为其目的是改进登记处的运作,而不区分大型企业活动和小得多的企业实体。 但有证据表明,企业登记处如果按照某些特征来组织和运作,可能会便利中小微企业办理登记,同时对所有规模的企业而言运作也更加高效。
Frequently  used expressions include the following:这些特征作为建议反映在本《立法指南》中。
Annual accounts: “Annual accounts” means fnancial information on a business’s activities prepared at the end of a fnancial year of the business (cf.  “periodic returns”).7. 本《立法指南》借鉴了从不同地理区域的各个国家2000年以来实行的企业登记改革浪潮中汲取的经验教训。 由此,本《指南》意在不仅促进高效的国内企业登记,而且促进不同国家法域的登记处之间的合作,以便利所有感兴趣的用户跨境访问登记处。
Branch: “branch” means an establishment that depends on a main business  and carries on the same commercial activity in a separate location (whether  foreign or domestic).促进企业登记的跨境层面增进经济的透明度和法律的确定性,并大大降低在国境外经营的企业的成本(另见下文第196和197段以及建议40)。 8. 《立法指南》支持以下观点,即过渡到电子或混合型登记处(即电子和纸介),大大有助于推动中小微企业办理登记。
A branch is not a subsidiary and does not have a  separate legal personality from the original or main business.《指南》认识到现代技术的采用在各国之间或各国内部并非进展相同,建议旨在实施电子企业登记的任何改革都要与国家的技术和社会经济能力相符。
Business name: “Business name” means a name registered on behalf of a  business, or a name used or planned to be used by a business.这可能包括分阶段实施,特别是在所采用的技术要求彻底重新设计登记程序的情况下(见下文第72至80段)。
Business registry: “Business registry” means the State’s mechanism for  receiving, storing and making accessible to the public certain information  about businesses, as required by domestic law.应当指出,提及电子或网上登记无意推荐使用任何特定技术,而是在描述如何通过以电子方式运作的装置履行企业登记处的职能。 本《指南》是按照这一思路编写的,目的是兼顾利用国家在改革其登记系统时可能认为合适的现有信息和通信技术(信通技术)以及任何新出现的技术,如分布式账本技术。
19.
Deregistration: “Deregistration” means indicating in the registry that a business is no longer registered.鼓励中小微企业办理登记的其他特征包括免费或低成本提供登记和登记后服务,收集和维护有关已登记企业的质量上乘并且可靠的信息。
Electronic signature: “Electronic signature” means data in electronic form in,  aifxed to or logically associated with a data message, which may be used  to identify the signatory in relation to the data message and to indicate the  signatory’s approval of the information contained in the data message.重要的是,建立企业登记和向设立企业所涉其他相关主管机构如税务和社会保障主管机构办理登记的一站式服务处,也给特别是中小微企业办理登记带来很大便利。 一站式服务处采取由企业需求驱动的以用户为核心的办法,因而提供的服务响应企业在成本效益、交付时间和雇用服务提供者方面的预期。
Good quality and reliable: A business registry and the information it contains is “good quality and reliable” when the registered information is kept  as current and accurate as possible and the system may be considered positively in terms of performance and security. hTe term “good quality and  reliable” does not refer to whether the information is legally binding on the  registry, the registrant, the registered business, or third parties. ICT: “ICT” means information and communications technology. Information products: “Information products” means information that is  processed or published by the business registry (in electronic or paper  form) to convey data requested by users. Information services: “Information services” means the system established  by the business registry through which it supplies information products to  users. Law: “Law” means the applicable law in the enacting State and is intended  to include both the specifc rules adopted to establish the business registry  (whether such rules are found in legislation or in administrative regulations  or guidelines) and the broader body of domestic law that may be relevant  to issues related to the business registry, but are found outside of the specifc rules establishing the business registry.
Micro, small and medium-sized enterprises (MSMEs): “MSMEs” means  micro, small and medium-sized enterprises as they are defned according  to the criteria established by the State undertaking the business registration  reforms.因此,《指南》支持以下观点,即一站式服务处是改进相关公共主管机构之间的机构互操作性的关键手段,各国应当利用一站式服务处来确立关于设立企业的综合登记程序(见下文第94和95段及建议14)。 在这方面,应当指出,本《指南》草案中使用的术语“企业登记处”和“一站式服务处”不可互换(见下文第12段)。
One-stop shop: “One-stop shop” means a physical oifce, a single interface  on an electronic platform or an organization that carries out more than one  function relating to the registration of a business with at least the business  registry, as well as taxation and social security authorities necessary for the 1 hTe business registry may also function as a one-stop shop to support mandatory registration with other relevant authorities (e.g., taxation and social security authorities).10. 本材料受益于为世界许多区域的此类改革进程提供支持的各国际组织开发的各种工具,还参考了通过一些企业登记处国际网络的活动而得到的数据,此类活动除其他外包括调查和比较位于世界各国的各附属机构的做法。 编写本《立法指南》使用的主要资料来源包括各机构和组织的出版物和网上资源,这些组织和机构包括但不限于:拉丁美洲和加勒比登记官协会、公司登记处论坛、大不列颠及北爱尔兰联合王国公司登记局、欧洲商业登记处论坛、欧洲联盟、国际反腐败学院、国际商业管理者协会、艾伯塔省服务部(加拿大)、魁北克省企业登记处(加拿大)、世界银行集团和联合国贸易和发展会议。
See paragraph 57 of the Guide for further  discussion.此外,世界各地不同法律传统的几个法域颁布的立法为企业登记的所有方面提供了指导。 11.
2 See UNCITARL Model Law on Electronic Signatures (2001), article 2.本《立法指南》面向有意改革或改进其企业登记处的各国,一国有志于或积极参与企业登记处设计和实施的所有利益攸关方,以及可能因企业登记处的建立和运作而受影响的人或对此有兴趣的人。
B. 术语 12.
business to operate in the formal economy.本段解释本《立法指南》中频繁出现的某些用语的含义和用法。
A one-stop shop should ensure  the interoperability of all relevant authorities with which a business is  required to register, and allow for the sharing of information on the business among those authorities, as well as the use of a single integrated application form for registration with, and payment to, those authorities.应当指出,每当使用年度决算、定期报告书、文件、表格(如查询表格、登记表格或请求提供登记处服务的其他表格)、通知、通知书和书面材料等术语时,相关提法意在既包括电子版,也包括纸面版,除非案文另有说明。 频繁使用的用语包括下述用语: 年度决算:“年度决算”是指在企业财政年度终了时编制的关于企业活动的财务信息(参见“定期报告书”)。
Periodic returns: “Periodic returns” means a statement provided annually or  at other prescribed intervals which gives essential information about a business’s composition, activities, and fnancial status, and which, subject to  applicable law, registered businesses may be required to fle with an appropriate authority (cf. “annual accounts”).分支机构:“分支机构”是指依赖于主要企业并在不同地点(国外或国内)开展相同商业活动的营业所。 分支机构并非子公司,并且没有独立于原企业或主企业的法律人格。 企业名称:“企业名称”是指代表企业所登记的名称,或企业使用或计划使用的名称。
Protected data: “Protected data” means all information that must be kept  confdential pursuant to the applicable law of the enacting State.企业登记处:“企业登记处”是指一国按照国内法要求负责接收、储存和提供公众查询关于企业的某些信息的机制。 {§1} 注销:“注销”是指在登记处注明企业不再是已登记企业。
Registered business: “Registered business” means a business that, further to  fling an application for registration, has been oifcially registered in the  business registry.电子签名:“电子签名”是指数据电文所含、所附或在逻辑上与数据电文有联系的电子形式数据,它可用于鉴别与数据电文相关的签字人和表明签字人认可数据电文所含信息。
Registered information: “Registered information” means information regarding a business that is registered in the business registry, including protected  data and publicly available information.{§2} 质量上乘并且可靠:如果已登记信息尽可能保持更新并且准确无误,并且系统的性能和安全性可以得到正面评价,则企业登记处及其所收录信息即为“质量上乘并且可靠”。
Registrant: “Registrant” means the natural or legal person that submits the  prescribed application form and any additional documents to a business  registry.“质量上乘并且可靠”一语非指信息对登记处、登记人、被登记企业或第三方是否有法律约束力。 信通技术:“信通技术”是指信息和通信技术。
Registrar: “Registrar” means the natural or legal person appointed pursuant  to domestic law to supervise and administer the operation of the business  registry.信息产品:“信息产品”是指企业登记处为传递用户请求提供的数据而处理或公布的信息。 信息服务:“信息服务”是指企业登记处建立的用来向用户提供信息产品的系统。
Unique identiifer: “Unique identifer” means a single unique business identifcation number that is allocated only once to a business and that is used  consistently by the public authorities of a State.法律:“法律”是指颁布国的适用法律,意在既包括为建立企业登记处而通过的具体规则(不管这些规则见于立法中,还是行政条例或准则中),也包括可能涉及未见于设立企业登记处具体规则的与企业登记处相关问题的更广泛的国内法。
C. Legislative drafting considerations微型、小型和中型企业(中小微企业):“中小微企业”是指按照进行企业登记改革的国家确立的标准定义的微型、小型和中型企业。
13. States implementing the principles contained in this Legislative Guide should  consider how to include them in their legislation and ensure consistency with it.  hTis Legislative Guide does not recommend the choice of any particular legislative  methods and uses neutral legal terminology so that its recommendations can be  adapted easily to the diverse legal traditions and dratfing styles of different States.  hTe Legislative Guide also takes a lfexible approach, which will allow its recommendations to be implemented in accordance with local dratfing conventions and  legislative policies of the States.一站式服务处:“一站式服务处”是指履行与企业至少是在企业登记处以及税务主管机构和社会保障主管机构办理必要登记以使企业能够在正规经济中经营有关的不止一项职能的一个实体办公点、电子平台上一个单一界面或一个组织。 一站式服务处应当确保企业必须向其登记的所有相关主管机构之间具有互操作性,并允许在这些主管机构之间共享关于企业的信息,以及使用单一的综合申请表向这些主管机构登记和付款。 定期报告书:“定期报告书”是指每年或按其他规定的间隔提供的报表,提供关于企业的构成、活动和财务状况的基本信息,依适用法律而定,已登记企业可能必须向相关主管机构提交(参见“年度决算”)。
D. The reform process受保护数据:“受保护数据”是指按照颁布国的适用法律必须予以保密的所有信息。
14. Streamlining business registration to meet the key objective of simplifying  the registration process and making it time and cost eifcient, as well as user friendly  (both for registrants and users searching the registry), usually requires undertaking  reforms that address the enacting State’s legal and institutional framework.已登记企业:“已登记企业”是指提交登记申请后企业登记处予以正式登记的企业。 已登记信息:“已登记信息”是指在企业登记处登记的关于企业的信息,包括受保护数据和可公开获得的信息。 登记人:“登记人”是指向企业登记处提交规定的申请表和任何其他文件的自然人或法人。
It may  also be necessary to reform the business processes that support the registration  system.登记官:“登记官”是指按照国内法律被任命负责监督和管理企业登记处运作的自然人或法人。 独一识别码:“独一识别码”是指一次性分配给一个企业并由一国公共主管机构一致使用的单一的独一企业识别码。
C. 立法起草方面的考虑因素 13.
Sometimes reforms are needed in all of these areas. hTe approach taken in  these reforms may vary considerably among States as the design and features of a  registration system are inlfuenced by the State’s level of development, priorities  and laws. hTere are, however, several common issues that States should consider  and several similar recommended steps for reform regardless of jurisdictional  differences that may exist. hTese issues are examined below.执行本《立法指南》所载各项原则的国家应当考虑如何将这些原则纳入本国立法并确保这些原则与其立法相一致。 本《立法指南》草案并未建议选择任何特定的立法方法,并且使用中性的法律术语,以使其建议能够轻易地适应不同国家多种多样的法律传统和起草风格。 《立法指南》还采用了一种灵活办法,使其各项建议的落实可以合乎当地的起草惯例和各国的立法政策。
1.D.
The reform catalysts改革进程
15.14.
Business registration reform is a multifaceted reform process that addresses  various aspects of the State apparatus;要理顺企业登记以实现简化登记程序,并使之节省时间和费用并且方便用户(既包括登记人,也包括在登记处进行查询的用户)这一主要目标,通常需要对颁布国的法律和制度框架进行改革。
its implementation requires the participation  of a broad range of stakeholders and a thorough understanding of the State’s legal  and economic conditions, as well as of the practical needs of registry personnel  and the intended users of the registry. To be successful, the reform must be driven  by the need to improve private sector development and, for this reason, it is advisable that the reform be part of a larger private sector development or public sector  modernization programme. It is thus essential to gain an understanding of the  importance of business registration in relation to other business environment challenges and of its relationship to other potential reforms. hTis analysis will require,  as crucial preliminary steps, ensuring that domestic circumstances are amenable to  a business registration reform programme, that incentives for such a reform exist  and that there is support for such initiatives in the Government and in the private  sector prior to embarking on any reform effort. (a) Relevance of a reform advocate 16. Support or even leadership from the highest levels of the State’s Government  is of key importance for the success of the reform process. hTe engagement of  relevant government ministries and political leadership in the reform effort facili tate the achievement of consensus on the steps required. hTis can be particularly  important to facilitate access to fnancial resources, to make and implement decisions, or when it is necessary to move business registry functions from one branch  of government to another or to outsource them.
(b) The steering committee 17.还可能必须改革支持登记系统的业务程序。
In order to oversee the day-to-day progress of the reform and to manage  diifculties as they may arise, it is advisable that a steering committee be established  to assist the State representative or body leading the reform.有时所有这些领域都需要改革。 各国在这些改革中采取的办法可能差别很大,因为登记系统的设计和特点受一国发展水平、优先事项和法律的影响。 不过,无论各法域之间存在哪些差异,有一些共同问题是各国应当考虑的,推荐的改革步骤也有一些是类似的。
下文将探讨这些问题。 1. 改革的催化剂 15.
In addition to experts  with technological, legal and administrative expertise, this committee should be  composed of representatives of the public and private sector and should include a  wide range of stakeholders, including those who can represent the perspectives of  intended users.企业登记系统改革是一个多方面改革进程,涉及国家机器的各个方面; 改革的实施需要广大利益攸关方的参与,还需要透彻了解国家的法律和经济状况,了解登记处人员和登记处目标用户的实际需要。 改革要想成功,必须以改进私营部门发展这一需要为驱动力,也由于这个原因,改革应当是更广泛的私营部门发展或公共部门现代化方案的组成部分。
It may not always be necessary to create such a committee, since  it may be possible to use existing mechanisms;因此,必须理解企业登记相对于其他营商环境难题的重要性,并理解企业登记与其他潜在改革之间的关系。
in any event, a proliferation of  committees is to be avoided, as their overall impact will be weakened.作为关键的初步步骤,这种分析将要求,在开始任何改革努力之前,确保国内环境有利于开展企业登记改革方案,具备开展此种改革的动机,政府和私营部门对此类举措给予支持。 (a) 改革倡导者的重要性
18. hTe steering committee should have clearly defned functions and accountability;16. 国家政府最高层的支持甚至领导对于改革进程的成功至关重要。 相关政府部委和政治领导层参与改革工作有助于就必要的步骤达成共识。
it is advisable that its initial set-up be small and that it should grow progressively as momentum and stakeholder support increase.这些对于便利获取财政资源、作出并执行各种决定而言或在必须将企业登记处职能从一个政府部门转到另一政府部门或者将这些职能外包时可能尤其重要。 (b)
Although linked to the  high-level government body spearheading and advocating for the reform, the committee should operate transparently and independently from the executive branch.指导委员会 17. 为了监督每日的改革进度并处理可能出现的难题,最好成立一个指导委员会,协助负责领导改革工作的国家代表或机构。
In certain jurisdictions, regulatory reform bodies have later been transformed into  more permanent institutions that drive ongoing work on regulatory governance  and regulatory impact analysis.该委员会的成员除了具备技术、法律和行政专长的专家之外,还应包括公共和私营部门的代表,并包括范围广泛的利益攸关方,其中包含能够代表目标用户的观点的人。 有时或许有现成的机制可用,不一定总是需要设立这种委员会;
19. hTe steering committee must nurture the reform process and consider how  to address concerns raised in respect of it.无论如何,应当避免设立过多的委员会,因为这会削弱此类委员会的总体影响。 18. 指导委员会应当有明确界定的职能和责任;
Concerns could include those arising  from bureaucratic inertia, or fears that registry employees may lose their jobs if  their ICT skills are weak or if technology replaces human capital. hTus, it is likely  to be important for the body overseeing the reform to be able to consider diverse  interests and fully inform potential benefciaries and political supporters.起初规模最好小一点,以后可随着势头和利益攸关方支持的增强而逐渐扩大。 委员会虽然与带头和倡导改革的高级政府机构有联系,但其运作应当透明,并独立于行政部门。 在某些法域,监管型改革机构后来转型为常设机构,负责推动在监管治理和监管影响分析方面持续开展工作。
(c) The project team 20.19.
In collaboration with the steering committee, it is advisable that a project  team be assigned the task of designing a reform programme tailored to an enacting  State’s circumstances and providing technical expertise to implement the reforms. A successful reform will require a team of international and local specialists, with  expertise and experience in business registration reform, in legal and institutional  reform, and in a variety of technology matters (for example, sotfware design, hard ware, database and web specialists). (d) Awareness-raising strategies 21. States embarking on a reform process should consider appropriate communication strategies aimed at familiarizing businesses and other potential registry  users with the operation of the registry and of the legal and economic signifcance  of business registration. hTis effort should include informing businesses of the benefts of registration with the business registry and mandatory registration with  other relevant authorities (e.g. taxation and social security), and of participation  in the formal economy (e.g. visibility to the public, the market and improved access  to the banking system). Awareness should also be increased of the incentives that  the State may offer businesses to operate in the formal economy (see para. 23  below), including the opportunity to participate in public procurement;
legal validation of the business;指导委员会必须推动改革进程,并考虑如何处理在这方面提出的关切。
access to lfexible legal business forms and asset partitioning;这些关切可包括官僚主义惰性产生的问题,或担忧登记处雇员因信通技术能力差或因技术取代人力资本而失业。
the possibility of protecting the business’s unique name and other intangible assets;因此,负责监督改革的机构能够考虑各种利益并向潜在受益方和政治支持者提供充分的信息,这一点可能非常重要。
(c) 项目小组 20.
opportunities for the business to grow and to have access to a specialized labour  force and access to government assistance programmes. hTe awareness-raising  strategy should also ensure that clear information is readily accessible on compliance with the law, fulflment of the obligations taken on by registering (e.g. the  payment of taxes) and potential penalties for non-compliance.最好有一个项目小组与指导委员会协作,负责按照颁布国的情况设计改革方案,并提供实施改革所需要的技术专长。 成功的改革需要一个由国际专家和当地专家组成的小组,这些专家应当具备以下方面的专长和经验:企业登记改革、法律和机构改革以及各种技术事项(例如软件设计、硬件、数据库和网络专家)。 (d)
22.提高认识战略
Effective communication may also be expected to encourage the development of new businesses and to encourage existing businesses to comply with mandatory registrations, as well as to provide signals to potential investors about the  enacting State’s efforts to improve the business environment.21. 启动改革进程的国家应当考虑采取适当的宣传战略,目的是使企业和登记处其他潜在用户熟悉登记处的运作并了解企业登记的法律和经济意义。 这项工作应包括告知企业向企业登记处办理登记和向其他相关主管机构(如税务和社会保障)办理强制性登记以及参与正规经济的益处(例如为公众和市场所知,有更多机会获得银行系统的服务)。
Awareness-raising  strategies should commence early in the reform process and should be maintained  throughout it, including atfer the enactment of the legal infrastructure and implementation of the new business registry. In coordination with the steering committee, the project team should determine which cost-effective media can best be used:  these can include private-public dialogues, press conferences, seminars and workshops, television and radio programmes, newspapers, advertisements, and the  preparation of detailed instructions on submitting registration information and  obtaining information from the business registry. In order to raise MSME awareness of the reforms to the business registry, it may be advisable to consider communication strategies tailored specifcally to that audience. (e) Incentives for businesses to register 23. In addition to an eifcient awareness-raising campaign, States should consider  adding incentives for MSMEs and other businesses to comply with mandatory  registration with the relevant authorities through the provision of ancillary services  for businesses that are in compliance. hTe types of incentives will vary according  to the specifc economic, business and regulatory context, and may include: promoting access to credit for registered businesses;
offering accountancy training and  services as well as assistance in the preparation of a business plan;还应当提高对于国家可能向在正规经济中经营的企业提供的激励措施的认识(见下文第23段),其中包括参加公共采购的机会;
providing credits  for training costs;企业得到法律确认;
establishing lower and simplifed taxation rates and tax mediation  services;可以采用灵活的企业法律形式和可以分割资产; 保护企业的独一名称和其他无形资产的可能性;
providing business counselling services;企业成长和获得专业劳动力的机会以及享受政府援助方案的机会。
providing monetary compensation, government subsidies or programmes to foster MSME growth and providing  low-cost technological infrastructure.提高认识战略还应当确保有关遵守法律、履行登记所承担的义务(例如缴纳税款)和可能的违规处罚的明确信息容易查取。 22. 有效的宣传预计还会促进新企业发展,鼓励现有企业遵守强制性登记要求,同时向潜在投资人发出信号,表明颁布国为改善营商环境所做的努力。
10 UNCITARL Legislative Guide on Key Principles of a Business Registry提高认识战略应在改革进程的早期就开始,并应贯穿整个改革进程,包括在颁布新的法律架构和实行新的企业登记处之后。
2. Phased reform process 24. hTe duration of a reform process can vary considerably, depending on the  types of reforms implemented and on other circumstances relevant to the particular  economy.项目小组应当与指导委员会协调,决定采用哪一种具有成本效益的媒介最好:这些媒介可包括公私对话、记者招待会、研讨会和讲习班、电视和广播节目、报纸、广告,以及编写关于提交登记信息和从登记处获取信息的详细说明。 为使中小微企业更多了解企业登记处改革,最好考虑采用为相关受众量身定制的宣传战略。
While the most comprehensive approach may entail a complete reform  of the business registry and the law establishing it, this may not be realistic in all  cases and enacting States may wish to consider a phased implementation of their  reform. In States with a large number of unregistered businesses, a reform process  that adopts a “think small” approach at the outset might be more effective than a  reform with a broader focus, which could be introduced at a later stage. For example, if the main objective is initially to promote the registration of MSMEs, simple  solutions addressing their needs at the local level may be more successful than  introducing sophisticated automated systems that require high-level technological  infrastructure, and changes in the legal and institutional framework, and that may  be more appropriate to larger businesses or businesses operating in the international market. Even when the reform is carried out in jurisdictions with more  advanced business registries, it may be advisable to “start small” and pilot the  reforms at a local level (for example, in a district or the capital) before extending  them throughout the State. Success in a pilot stage can have a strong demonstration  effect, and is likely to build support for continued reform.
11(e)
I. Objectives of a business registry激励企业登记的措施 23.
25. hTe focus of the Legislative Guide is primarily the business registry of a State  and the adoption of best practices in order to optimize the operation of the business registry for its users so that it is simple, eifcient and cost-effective.除了开展有效的提高认识运动,各国应当考虑通过向已在相关主管机构办理强制性登记的企业提供辅助服务的方式,增加对中小微企业和其他企业办理登记的激励措施。 激励措施的类型可因具体的经济、企业和监管环境而不同,可以包括下述措施:促进已登记企业获得信贷;
However,  in most States, in order for a business to participate in the formal economy, it must  usually register not only with the business registry but also with various additional  authorities (see also para. 57 below). In addition to the business registry, these  authorities otfen include taxation and social security authorities. States wishing to  facilitate the entry of businesses into the formal economy should thus assess the  multiple authorities with which a business must register and consider ways to  reduce the burden on businesses by streamlining those requirements. As examined  in greater detail in this Legislative Guide (see paras. 86 to 97 and rec. 14 below),  one of the best ways to accomplish that goal would be for a State to establish a  one-stop shop for business registration and for registration, at a minimum, with  taxation and social security authorities. Recommendation 1: Objectives of the business registry hTe law should ensure the establishment of a business registry that facilitates the  operation of businesses in the formal economy as part of the system of all registra tions that may be required of a business and may include registration with business  registry, taxation and social security authorities, as well as with other authorities.
A. Purposes of the business registry提供会计培训和服务以及协助制定企业计划; 提供培训费用信贷;
26. hTe law should set out explicitly the purpose of a system for the registration  of businesses (see also paras. 51 to 59 with regard to the core functions of the  business registry).确定较低和简化税率和提供税务中介服务; 提供企业咨询服务; 提供货币补偿、政府补贴或旨在促进中小微企业增长的方案,以及提供低成本的技术基础设施。
2. 分阶段的改革进程 24.
In addition, it should determine which business forms are  required to register with the business registry and which additional conditions  those businesses may have to fulfl as part of that requirement.改革进程的持续时间可长可短,取决于所实行改革的类型以及与特定经济体有关的其他情形。 虽然最全面的办法可能需要彻底改革企业登记处和设立登记处的法律,但在所有情况下都这样做是不现实的,颁布国不妨考虑分阶段实施改革。
Currently, many  States require only businesses of a certain legal form to register, otfen focusing on  those that have limited liability status.在有大量未登记企业的国家,开始时采用“从小处着眼”的办法,可能比聚焦范围更广的改革更为有效,可在稍后阶段扩大聚焦范围。
Requiring such businesses to register puts  third parties dealing with them on notice of their limited liability status, as well as  providing additional information in respect of the business.例如,如果最初主要目标是促进中小微企业登记,那么在当地满足这些企业需要的简单解决办法,与引进复杂的自动化系统相比,可能会更为成功,因为后者需要先进的技术基础设施、需要改变法律和制度框架,可能更适合规模较大的企业或在国际市场上经营的企业。
States may wish to permit (but not necessarily to require) all businesses, irrespective of size or form,  to register in the business registry, provided that fees are low.即使是在有较先进企业登记处的法域开展改革,或许也最好“从小处着手”,在地方一级(例如在一个区或者首都)进行改革试点,然后在全国范围推广。
Permitting voluntary  registration of a range of different legal forms of business may encourage the reg istration of MSMEs, assisting them in their growth in addition to facilitating their  operation in the formal economy.试点阶段的成功会产生很强的示范效应,有可能使接下来的改革得到支持。 第一章.企业登记处的目标 贸易法委员会企业登记处关键原则立法指南
一. 企业登记处的目标 25.
Registered businesses may become more visible  not only in the marketplace, but also to States, who may then be able to more  easily identify MSMEs in need of support, and design appropriate programmes for  those purposes. hTrough registration, a business receives a commercial identity,  recognized by the State, that enables the business to interact with its business partners, the public and the State (see also para. 52 (h) below).《立法指南》的重点主要是一国的企业登记处,以及为了用户的利益采取最佳做法,优化企业登记处的运作,使之简单、高效并具有成本效益。 不过,在多数国家,企业要参与正规经济,通常必须不仅在企业登记处登记,还要向其他各种主管机构登记(另见下文第57段)。 除企业登记处之外,这些主管机构往往包括税务和社会保障主管机构。
In addition to the  visibility of the business, in some States, the registered information has an erga  omnes legal effect.因此,希望便利企业进入正规经济的国家应对企业必须办理登记的多个主管机构进行评估,并考虑如何通过理顺相关要求来减轻企业的负担。
27. hTe following overarching principles should govern an effective system of  business registration: (a) enabling businesses of all sizes and legal forms to be  visible in the marketplace and to operate effectively in the formal economy;如同本《立法指南》所详细审查的那样(见下文第86至97段和建议14),实现此目标的最佳办法之一是由国家建立办理企业登记和至少包括向税务和社会保障主管机构登记的一站式服务处。
and (b) enabling MSMEs to increase their business opportunities and to improve the  proftability of their businesses. Recommendation 2: Purposes of the business registry hTe law should provide that the business registry is established for the purposes of:建议1:企业登记处的目标 法律应当确保建立便利企业在正规经济中经营的企业登记处,将该登记处作为可能要求企业办理的所有登记,其中可能包括向企业登记处、税务和社会保障主管机构以及其他主管机构办理登记的系统的组成部分。 A.
(a) Providing to a business an identity that is recognized by the enacting  State; and企业登记处的目的 26. 法律应当明确阐述企业登记系统的目的(另见关于企业登记处的核心职能的第51至59段)。
(b) Receiving, storing and making information in respect of registered businesses accessible to the public.此外,法律应当确定哪些企业形式必须向企业登记处办理登记,以及作为该要求的组成部分,这些企业可能还必须满足哪些条件。
B. Simple and predictable system of laws permitting registration目前,许多国家只要求某种法律形式的企业办理登记,往往侧重于享有有限责任地位的企业。
28. In order to foster transparent and reliable business registration, with clear  accountability of the registrar (see also paras. 41, 43 and rec. 6 (b) below), the law  setting the foundations of the business registry should be simple and straightforward.要求此类企业办理登记使与之打交道的第三方注意到其有限责任地位,并提供企业的额外信息。 国家似宜允许(但不一定要求)所有企业向企业登记处办理登记,而不管规模或形式如何,前提是费用要低廉。 允许多种不同法律形式的企业自愿办理登记可能会鼓励中小微企业登记,除便利其在正规经济中经营外,还有助于其成长。
Care should be taken to limit or avoid any unnecessary use of discretionary  power, and to provide appropriate safeguards against its arbitrary use.已登记企业不仅更为市场所知,也更为国家所知,因此国家就能够更容易确定需要支持的中小微企业,并为此设计适当的方案。 通过登记,企业取得为国家承认的商业身份,这种身份使企业能够与商业伙伴、公众和国家互动(另见下文第52(h)段)。
However,  some discretion should be permitted to the registrar in order to ensure the smooth  functioning of the system (see paras. 147 and 231 below).除了企业的知名度外,在有些国家,所登记的信息具有普遍适用的法律效力。 27. 有效的企业登记系统应当遵循以下总括原则:(a)使所有规模和法律形式的企业能够为市场所知,并切实在正规经济中经营;
29. hTe law governing registration with the business registry and other relevant  authorities (including taxation and social security authorities) should also provide Chapter I. Objectives of a business registry 13和(b)使中小微企业能够增加业务机会,并增加业务的可盈利性。 建议2:企业登记处的目的 法律应当规定,设立企业登记处的目的是:
(a) 向企业提供颁布国认可的身份; (b) 接收、储存并提供公众查询已登记企业的信息。 B.
for simplifed registration and post-registration procedures in order to promote  registration of MSMEs. hTe goal should be for States to establish procedures with  only the minimum necessary requirements for MSMEs and other businesses to  register in order to operate in the formal economy.允许办理登记的简单、可预测法律体系 28. 为了促进登记官负有明确责任的透明、可靠的企业登记(另见下文第41和43段以及建议6(b)),为企业登记处奠定基础的法律应当简单、明了。
Of course, businesses with more  complex legal forms could be subject to additional information requirements under  the law of the enacting State as a consequence of their particular legal form or type  of business.应注意限制或避免任何不必要地使用裁量权的做法,并规定适当的保护措施来防止任意使用这种裁量权。 但是,应当允许登记官享有某些裁量权,以确保该系统的顺利运作(另见下文第147和231段)。
30.29.
Further, regardless of the approach chosen to maintain updated information  in the business registry, it would be advisable to make updating the records of  MSMEs as simple as possible. hTis could involve a number of different approaches  examined in greater detail below, such as extending the period of time for such  businesses to declare a change;关于在企业登记处和其他相关主管机构(包括税务和社会保障主管机构)办理登记的法律还应提供简化的登记和登记后程序,以推动中小微企业办理登记。 目标应是各国制定的程序能够使中小微企业和其他企业只要满足最低限度的必要要求就可办理登记,以便在正规经济中运营。 当然,更复杂法律形式的企业因其特定法律形式或企业类别可能必须满足颁布国法律规定的额外信息要求。
harmonizing the information needed when the  same information is repeatedly required;30. 另外,无论选择哪种办法使企业登记处的信息保持更新,更新中小微企业记录最好尽可能简单。
or exempting MSMEs from certain obligations in specifc cases (see also paras. 157 to 161 and rec. 30 below).这可能涉及下文详细探讨的许多不同办法,如延长此类企业申明变更的时期;
Recommendation 3: Simple and predictable system of laws permitting registration hTe law governing the business registry should:在一再要求提供相同信息时对需要的信息予以协调统一; 或者在特定情况下免除中小微企业的某些义务(另见下文第157到161段和建议30)。
(a) Be simple in structure and avoid the unnecessary use of exceptions or  granting of discretionary power;建议3:允许办理登记的简单、可预测法律体系 关于企业登记处的法律应当:
and(a)
(b) Ensure that micro, small and medium-sized enterprises (MSMEs) that are  required or permitted to register are subject to the minimum procedures necessary.采用简单的结构,避免不必要地使用除外情形或赋予裁量权; (b) 确保要求或允许办理登记的微型、小型和中型企业(中小微企业)服从最低限必要程序。
C. Key features of a business registryC. 企业登记处的关键特征
31.31.
To be effective in registering businesses of all sizes, States should ensure that,  to the extent possible, the registration process is simple, time and cost eifcient,  user-friendly and publicly accessible.为了有效登记所有规模的企业,国家应当确保,登记程序在可能的程度上简单、节省时间和费用、方便用户、可供公众访问。 此外,应注意确保可公开获得的企业已登记信息便于查询和检索,收集和维护所登记信息的程序及登记处系统尽可能保持更新、可靠和安全。 32.
Moreover, care should be taken to ensure that  the publicly available registered information on businesses is easily searchable and  retrievable, and that the process through which the registered information is collected and maintained as well as the registry system are kept as current, reliable  and secure as possible.企业登记处及其所收录信息质量上乘并且可靠是本《指南》中经常出现的主题。 按照上文第12段中的定义,应当注意“质量上乘并且可靠”一语指的不是一国用来确保这种可靠性的方法,本《立法指南》留待每个颁布国确定如何根据本国的情形和法律传统最佳地确保企业登记处及其所收录信息质量上乘并且可靠。 本《指南》中“质量上乘并且可靠”指的不是颁布国对其企业登记处采取申报制还是审批制。
32. hTe good quality and reliability of the business registry and the information  contained therein is a recurring theme in the Guide.不过,登记处的信息在多大程度上具有法律约束力,以及国家采取申报制还是审批制(见下文第115至117段),这些都是颁布国应当在其法律中加以明确并在企业登记处予以提供的方面。 33.
In keeping with the defnition  in paragraph 12 above, it should be noted that the phrase “good quality and reliable” does not refer to the method that a State uses to ensure that reliability, and  this Legislative Guide leaves it to each enacting State to determine how best to ensure the good quality and reliability of its business registry and the information  it contains in light of its own context and legal tradition. “Good quality and reliable” in this Guide does not refer to whether the enacting State uses a declaratory  approach or an approval approach in respect of its business registry. However, the  extent to which information in the registry is legally binding and whether the State  adopts a declaratory system or an approval system (see paras. 115 to 117 below)  are aspects that should be made clear by the enacting State in its law and made  available in the business registry. 33. Regardless of which registration system is adopted, maintaining good quality  and reliable information is imperative for the business registry in order to make  the information useful for the registry users and to establish confdence in business  registry services. hTis applies not only to the information provided when applying  to register a business, but also to the information that is submitted to the registry  during the lifetime of the business.
It is thus important that the information meet  certain requirements in the way it is submitted to the registry and then made available to the public (see, for example, paras. 34 and 35 below).不论采取哪种登记系统,信息保持质量上乘并且可靠对企业登记处而言是势在必行的,以使信息对登记处用户有用,并建立对企业登记处服务的信任。 这不仅适用于在申请办理企业登记时提供的信息,也适用于在企业寿命周期内向登记处提交的信息。 因此,信息如何提交给登记处,然后再如何提供给公众,都必须满足某些要求(例如,见下文第34和35段)。
For these reasons,  States should devise provisions that allow the registry to operate according to principles of transparency and eifciency in the way information is collected, maintained and disclosed.出于这些原因,各国应制定条款,使登记处的运作能够依循收集、维护和披露信息应当透明和高效的原则。 34. 登记处可以实施某些程序,确保登记处维护的信息质量上乘并且可靠。
34. hTe registry can implement certain procedures in order to ensure that the  information maintained in the registry is of good quality and reliable. hTose procedures, which will be further discussed below, can be grouped into two broad  categories.下文将进一步讨论这些程序,这些程序可分为两大类。 一类包括通过防止盗用公司身份{§3} 或对于向企业登记处提供信息者采用身份认证方法来保护企业的身份和完整性的措施。 在这方面可以采取多种措施,如使用监测系统,或者规定使用用户名或密码或者生物识别验证(例如指纹)进行访问,以防止盗用公司身份;
One group comprises those measures aimed at protecting the identity  and integrity of a business through the prevention of corporate identity thetf或者使用电子签名或电子证书,验证向登记处提供信息者的身份; 或者采用通知系统,有变更时或每当有关于其企业记录的文件提交时即提醒已登记企业。 企业登记处通常采取不止一种措施。
3 or the adoption of identity verifcation methods for those who provide information  to the business registry.35. 登记处为确保所登记信息质量上乘并且可靠可能采取的另一类措施涉及登记处收集和维护信息的方式以及更新信息的频率(见下文第155至161段及建议29和30)。 确保登记处记录定期更新至关重要。
A wide range of measures can be implemented in this  regard, such as the use of monitoring systems or establishing access through the  use of user names and passwords or biometric verifcations (e.g. fngerprints) to  prevent corporate identity thetf;在电子登记系统中,软件通常使得能够在企业提交修订时自动定期更新。 然而,登记处使用纸介系统或混合型系统时,或以电子方式提交的某些信息仍然必须输入企业登记处记录时(见下文第187和213段),登记官必须确保尽可能迅速地输入对登记处记录的更新,如果可能,实时输入,或至少是每天输入。 为加强这些措施,各国应当建立有效的执行机制,以便在企业未能提供准确和完整的信息时登记处可以依赖这些机制(见下文第206至211段及建议45和46)。
or the use of electronic signatures and electronic  certifcates to verify the identity of those who submit information to the registry;36. 此外,为进一步使所登记信息质量上乘并且可靠,颁布国应维护登记处记录本身的完整性和安全性。 实现这些目标的措施包括:(a)要求登记处请求提供和维护登记人的身份;
or the adoption of notifcation systems that alert the registered business about  changes of whenever documents are fled on their business record.(b)规定登记处有义务及时向企业通知登记情况和已登记信息的任何变更情况; (c)取消登记官修改向登记处提交的信息的任何裁量权。 建议4:企业登记处的关键特征
Business registries usually adopt more than one type of measure.法律应当确保企业登记处具有如下关键特征: (a) 登记可供公众访问、简单、方便用户、节省时间和费用;
(b) 登记程序适合中小微企业的需要; (c) 可公开获得的企业已登记信息便于查询和检索;
35.(d)
Another group of measures that registries can implement to ensure the good  quality and reliability of the registered information pertains to the way information登记处系统和所登记信息质量上乘并且可靠,并通过定期更新和系统验证而加以维护。 贸易法委员会企业登记处关键原则立法指南 第二章.企业登记处的设立和职能
贸易法委员会企业登记处关键原则立法指南 二. 企业登记处的设立和职能 37.
3 Corporate identity thetf can occur through the thetf or misuse of key business identifers and credentials, manipulation or falsifcation of business flings and records, and other related criminal activities.建立有效的企业登记系统可采取若干不同方法,但在此类系统的某些关键目标上有着广泛的共识。 不管企业登记处的运作方式有何差异,在登记新企业或记录现有企业可能发生的变更时,高效的企业登记处采用的结构相似,并履行类似职能。 A.
Despite the use  of the term “corporate”, corporations are not the only business entities that are victimized by this crime.负责的主管机构 38. 在设立或改革企业登记处时,颁布国必须决定如何组织和运作企业登记处。
Any type  of business or organization of any size or legal structure, including sole proprietorships, partnerships and limited  liability companies can be targets of business identity thetf.可就其形式采取不同办法,最常用的办法是以政府监督为基础。 在这些国家,运作企业登记处的是公务员组成的、通常是在某一政府部门或部委管辖下建立的政府部门或机构。 企业登记处的另一种组织类型是企业登记处受司法机构的行政监督。
Chapter I. Objectives of a business registry 15is collected and maintained in the registry and the frequency with which it is  updated (see paras. 155 to 161 and recs. 29 and 30 below).在这种情形下,登记机构可能是法院或司法登记处,其职能通常会在适用的商业法典中具体规定,该机构关心的是核实企业是否满足登记的前提条件,但不要求寻求登记的企业事先获得司法批准。 39.
Ensuring that the  registry record is regularly updated is of key importance.各国还可决定通过合同安排或其他法律安排将部分或所有登记处业务外包,这些安排可能涉及公私伙伴关系或私营部门。
In electronic registry  systems, the sotfware will usually provide for automated periodic updating as  amendments are submitted by businesses.外包给私营部门的登记仍然是一项政府职能,只是将系统的日常运作委托给私有公司。 例如,在一个国家,外包的方式是,依法指定一家私营公司作为完全有权履行登记职能的辅助登记官。
However, when registries use paperbased or mixed systems, or when certain information submitted electronically must  nonetheless be entered into the business registry record (see paras. 187 and 213  below), the registrar must ensure that updates to the registry record are entered as  soon as practicable, and if possible, in real time or at least once daily.但是,通过公私伙伴关系或私营部门公司运作登记处似乎尚未像政府机构运作登记处那样普遍。 {§4} 国家也可决定组建具有独立法律人格的实体,如商会,以便管理和建设企业登记处,或者依法将登记处设为自治或准自治机构,这种机构可以有自己的业务往来账户,并依据管辖公共主管机构的适用条例运作。 例如,在一个国家,企业登记处是独立的法人,在司法部监督下行事,而在另一个国家,登记处是政府部门的执行机构,在行政上独立于该部门,但没有独立的法律地位。
To underpin  these measures, it is important for States to establish effective enforcement mecha nisms upon which registries can rely when a business fails to provide accurate and  complete information (see paras. 206 to 211 and recs. 45 and 46 below).在决定采用哪种组织形式时,各国必须考虑本国具体的国内情况,评估各种组织形式的挑战和利弊,然后确定哪一种最适合本国的优先事项并且可以在其人力资源、技术资源和财政资源限制范围内实现。
36.40.
Moreover, in order to enhance the good quality and reliability of the registered information, enacting States should preserve the integrity and security of the  registry record itself.登记处的日常运作可以委托给私营部门公司,但颁布国应当始终保留确保登记处按照适用的法律运作的责任。 为了建立公众对企业登记处的信任,并防止未经许可将登记处记录中的信息商业化或以欺诈性手段使用,颁布国应当保留对登记处记录的权限。
Steps to achieve those goals include: (a) requiring the registry  to request and maintain the identity of the registrant;另外,国家还应确保,无论企业登记处的日常运作或结构如何,国家保留控制所登记信息的获取和使用的权利。 建议5:负责的主管机构
(b) obligating the registry  to notify promptly the business about the registration and any changes made to  the registered information;法律应当规定: (a) 企业登记处应当由国家或国家指定的一个实体运作;
(b) 国家保留对企业登记处的权限。 B. 登记官的任命和问责 41.
and (c) eliminating any discretion on the part of the  registrar to modify information that has been submitted to the registry.国家的法律应当列明任命和罢免登记官的程序、登记官的职责,以及获授权监督登记官履行职责情况的主管机构。 42. 按照一些国家的做法,应当指出,登记官的任命意在包括可以挑选登记官的所有办法,包括选举办法。
Recommendation 4: Key features of a business registry hTe law should ensure that the business registry includes the following key features:此外,各国可允许登记官将其权力委托给给被指定协助登记官履行职责的人。 43. 此外,颁布国的法律应当明确规定登记官的职责,以确保登记官对登记处的运作负责,并最大限度地降低滥用权力的可能性。
(a) Registration is publicly accessible, simple, user-friendly and time- and  cost-eifcient;在这方面,颁布国的适用法律应当确立登记官问责制的原则,以确保在管理登记处方面行为适当(登记处的潜在赔偿责任在第212至217段以及建议47中论及)。 建议6:登记官的任命和问责 法律应当:
(b) hTe registration procedures are suited to the needs of MSMEs;(a) 规定得到颁布国或颁布国法律授权的人或实体有权任命和罢免登记官,并监督登记官履职; (b)
(c) hTe publicly available registered information on businesses is easily  searchable and retrievable;确定登记官的权力和义务,以及这些权力和义务是否和在多大程度上可以委托他人。 C. 企业登记处运作的透明度
and44.
(d) hTe registry system and the registered information are of good quality and reliable and are maintained that way through periodic updates and system  verifcation.促进企业登记系统透明和可靠运作的法律具有诸多特点。 这些法律应当允许登记作为一个简化程序在有限几个步骤内完成,法律应当限制与登记处主管机构的互动次数,规定较短和具体的周转时间,降低费用,规定登记长期或无限期有效、可在整个法域适用以及使申请人能够很容易进行登记。
II.45.
Establishment and functions of the business registry  37.登记处还应制定“服务标准”,以界定用户有权享有和可以期望获得的服务,同时也为登记处提供其应当努力实现的绩效目标。
Several different approaches may be taken in establishing an effective business  registration system, but there is broad agreement on certain key objectives of such  systems.这种服务标准可以包括,例如关于纠正差错的规则(见上文第28段,以及下文第147和231段)、关于可能无法使用登记处的最长时限的规则(例如对于电子服务),并就任何预期停机时间提前发出通知。
Regardless of differences in the way business registries may operate, eifcient business registries have a similar structure and perform similar functions  when carrying out the registration of a new business or in recording the changes  that may occur in respect of an existing business.服务标准有助于确保增强登记处管理工作的透明度和问责制,因为这些标准提供了监测所提供服务的质量和登记处工作人员绩效的基准。 建议7:企业登记处运作的透明度 法律应当确保为企业登记处运作制定的规则、程序和服务标准公诸于众,以确保登记程序的透明度。
A. Responsible authorityD. 使用标准登记表格
38.46.
In establishing or reforming a business registry, enacting States will have to  decide how the business registry will be organized and operated.经常用来提高企业登记处运作的透明度和可靠性的另一种办法是使用标准的登记表格,同时就如何填写表格向登记人提供明确的指导意见。 企业可以很容易地填写此种表格,不需要寻求中介的协助,从而降低了成本,并且事实上也有助于促进中小微企业办理企业登记。
Different  approaches can be taken regarding its form, the most common of which is based  on oversight by the Government.这些表格也有助于防止企业登记处工作人员录入数据时出现差错,从而加快整个程序。 在有些法域,采用标准化登记表格有助于简化登记要求,弃用不必要的文件。
In such States, a government department or  agency, staffed by civil servants, and usually established under the authority of a  particular government department or ministry, operates the business registry.此外,在加强了设立企业所涉主管机构(例如,企业登记处、税务和社会保障主管机构)之间的互操作性的法域,采用单一的标准化登记表格,将此类主管机构要求一个企业提供的所有信息合并在一起,将减少重复要求提供信息的现象,并有助于简化向多个主管机构办理登记的程序。
Another type of organization of a business registry is one that is subject to administrative oversight by the judiciary.还应当指出,使用标准登记表格不应当排除企业向登记官提交适用法律要求或允许的组建企业方面的其他材料和文件。 建议8:使用标准登记表格 法律应当规定使用简单的标准登记表格办理企业登记,登记官应当确保登记人可得到关于如何填写这些表格的指导。
E. 登记处工作人员的能力建设 47.
In such contexts, the registration body might be  a court or a judicial registry whose function, usually specifed in the applicable  commercial code, is concerned with verifying the business requisites for registration  but does not require prior judicial approval of a business seeking to register.一旦启动企业登记改革,该进程的一个重要方面是对负责企业登记职能的人员进行能力培养。 服务差往往影响登记系统的效率,并且可能导致出现差错或使用户不得不多次前往登记处。 对登记处工作人员的能力培养不仅可以侧重于提高其绩效和增加其关于新的登记流程、信通技术解决方案和客户导向的知识,还可以就改进企业登记服务的新方式对工作人员进行培训。
39.48.
States may also decide to outsource some or all of the registry operations  through a contractual or other legal arrangement that may involve public-private  partnerships or the private sector.能力建设可以采取不同办法,包括以授课和课堂活动为基础的较传统培训方法以及因引入新的企业登记系统而需要采取的更具创新性的方式。 在有些法域,采用了团队建设活动和角色扮演并且取得一定成功,因为改革往往会打破政府各部门之间的障碍,要求改进它们之间的信息流动,而且还需要了解登记处具体工作人员可能并不熟悉的一些程序的不同方面。
When registration is outsourced to the private  sector, it remains a function of the Government, but the day-to-day operation of  the system is entrusted to privately owned companies.在另一些个案中,各国也选择制定附有年度目标的行动计划,以便实现与全球最佳做法和趋势相一致的绩效标准,并将工作人员的升职和奖金与行动计划目标的实现情况挂钩。 在另外一些个案中,各国决定引入新的机构价值观,以加强包括企业登记在内的公共服务系统。
In one State, for example,  such an outsourcing was accomplished by way of appointing a private company, in  accordance with the law, as the assistant registrar with full authority to run the  registration function.尽管相关政府主管机构通常会在组织登记处工作人员能力培养方案中发挥带头作用,但也可以利用地方法律和企业界的技术专长来提供帮助。 49. 同行学习和建立国家和国际网络也是培养运营登记处能力的有效办法。
However, operating the registry through public-private partnerships or private sector companies does not yet appear to be as common as the Chapter II.这些手段使登记处工作人员能够对拥有高效和有效企业登记处的其他法域和国家进行访问。 为了最大限度发挥这种访问的作用,他们必须前往正进行改革的法域所熟悉的法域。
Establishment and functions of the business registry 17正在进行企业登记改革的几个法域采取了这种办法,并且取得了成功。
operation of the registry by a government agency.国际论坛和国际网络也为世界各地登记处的人员就实施企业登记改革共享知识和交流r看法提供了平台。 50.
4 States may also decide to form entities with a separate legal personality, such as chambers of commerce, with the  object of managing and developing the business registry, or to establish by law registries as autonomous or quasi-autonomous agencies, which can have their own  business accounts and operate in accordance with the applicable regulations governing public authorities.在办理企业登记需要中介服务的国家,为了便利企业登记,同样需要建设这些专业人员的能力(例如,见下文第116和117、169、186和187段)。 建议9:登记处工作人员的能力建设 法律应当确保制定适当的方案,以培养和加强登记处工作人员关于企业登记程序、服务标准和电子登记处运作的知识和技能,以及登记处工作人员提供所请求的服务的能力。
F. 企业登记处的核心职能 51.
In one State, for example, the business registry is a separate  legal person that acts under the supervision of the Ministry of Justice, while in  another State the registry is an administratively separate executive agency of a government department, but does not have separate legal status.建立企业登记处或理顺现有的登记处并无标准办法:组织模式和复杂程度可能有很大差别,取决于国家的发展水平、优先事项和立法。 但无论登记处的结构和组织形式如何,某些核心职能可以说是所有登记处共有的。
In deciding which form  of organization to adopt, States will have to consider their specifc domestic circumstances, evaluate the challenges and trade-offs of the various forms of organization  and then determine which one best meets the State’s priorities and can be achieved  within the limits of its human, technological and fnancial resources.52. 在不违背颁布国法律和体制结构的前提下,除下述核心职能外,企业登记处也可以添加一些核心职能。 但是,按照有关有效企业登记的总括原则(见上文第27段),企业登记处的核心职能和预期目标至少包括:
40.(a)
While the day-to-day operation of the registry may be delegated to a private  sector frm, the enacting State should always retain the responsibility for ensuring  that the registry is operated in accordance with the applicable law.在企业满足颁布国法律确立的必要条件时办理企业登记,这可能包括赋予企业以法律存在并记录这种地位; (b) 公布并提供查询关于拟登记企业的质量上乘并且可靠的信息,便利企业伙伴、公众和国家之间的贸易与互动,包括跨境背景下的这类互动;
For the purposes  of establishing public trust in the business registry and preventing the unauthorized  commercialization or fraudulent use of information in the registry record, the  enacting State should retain its competence over the registry record.(c) 赋予企业以独一识别码,以便利企业和国家之间交流信息(另见下文第100至107段); (d)
Furthermore,  the State should also ensure that, regardless of the daily operation or the structure  of the business registry, the State retains the right to control the access to and use  of the registered information.在相关主管机构之间共享已登记企业的信息,以促进和便利此类主管机构之间的协调; (e) 确保已登记企业的信息尽可能保持更新和准确,以便此类信息对登记处所有用户有价值(另见上文第32和35段以及建议4,下文第157至161段以及建议30);
Recommendation 5: Responsible authority hTe law should provide that:(f) 保护企业记录的完整性,以保护已登记企业的身份和完整性(另见第233和234段以及建议54); (g)
(a) hTe business registry should be operated by the State or by an entity  appointed by that State;提供关于设立企业的信息,包括已登记企业的任何相关义务和责任,以及企业登记处所维护信息的法律效力;
and(h)
(b) hTe State retains its competence over the business registry.法律要求时协助企业搜寻和预留企业名称,以便企业可以确立其商业身份。 53.
B. Appointment and accountability of the registrar在标准登记流程中,企业主与企业登记处打交道的起点,可能是帮助他们为拟设立的新企业选择一个独一无二的名称。
41. hTe law of the State should set out the procedure to appoint and dismiss the  registrar, as well as the duties of the registrar, and the authority empowered to  supervise the registrar in the performance of those duties.在登记时,通常要求企业具有必须足可与本法域内其他企业名称相区别的名称,以便通过名称即可识别和确定该企业。 颁布国可能制定自己的标准,以确定如何决定企业名称是否足可与其他企业名称相区别。
4 Arrangements involving contracting with the private sector to provide business registration services require careful consideration of several legal and policy issues, such as the responsibilities of the Government and the  private provider, the form of the arrangements, the allocation of risk, and dispute resolution.在这一阶段,企业登记处通常以一种任择或强制性的程序帮助企业主,也可能作为一种信息服务提供企业名称查询。 在新企业登记之前,登记处也可以提供名称预留服务,这样其他企业就不能使用该名称。 这种名称预留服务既可以是一项独立的程序(这项程序也可以是任择或强制性的),也可以是纳入整个企业登记程序的一项服务。
42.54.
In keeping with the practice of some States, it should be noted that the  appointment of a registrar is intended to include all methods by which a registrar  can be selected, including through election.企业登记处为准备登记的申请材料和其他必要文件的企业主提供表格和各种类型的指导。 申请材料提交后,登记处进行一系列检查和控制程序,确保所有必要信息和文件都包含在申请材料之内。 特别是,登记处要核实国家适用法律中规定的任何登记要求,如企业主经营企业的法定资格。
Further, States may permit the registrar  to delegate its powers to persons appointed to assist the registrar in the performance of its duties.一些法律传统可能要求登记处履行简单的控制程序(如确定企业名称足可相区别),这意味着,如果符合所有基本的行政要求,登记处就必须接受所提交的信息并记录在案。 还有的法律传统可能要求对所提交的信息进行更彻底的核实。
43.55.
In addition, the laws of the enacting State should clearly set out the functions  of the registrar in order to ensure the registrar’s accountability in the operation of  the registry and the minimization of any potential for abuse of authority.通常必须在登记完成之前支付任何登记费(见下文第198和199段以及建议41)。 一俟完成企业登记,登记处即签发证书,该证书确认登记事宜,并载明企业的相关信息。 由于许多已登记信息应当向相关各方披露,登记处通过各种手段将已登记信息的公共部分公诸于众,包括在网站公布,或在国家公报或报纸等出版物上公布。
In this  regard, the applicable law of the enacting State should establish principles for the  accountability of the registrar to ensure appropriate conduct in administering the  business registry (the potential liability of the registry is addressed in paras. 212  to 217 and rec. 47 below).如果基础设施允许,登记处还可作为非强制性的附加服务,提供订阅特定类型新的登记的公告这项服务。 56. 按照颁布国的适用法律,向公众提供的已登记信息可包括关于企业结构的具体信息,如谁有权代表企业签字或者谁担任企业的法定代理人。
Recommendation 6: Appointment and accountability of the registrar hTe law should:企业的基本信息也可以公布,如企业的名称、电话号码、指定电子地址{§5} 和邮政地址(除被视为企业可接收信函的地址外),但公布此类细节可能需经企业同意。
(a) Provide that the person or entity authorized by the enacting State or by  the law of the enacting State has the authority to appoint and dismiss the registrar and  to monitor the registrar’s performance;在企业登记处收集在自愿基础上提交的依性别或可能引起隐私问题的其他指标分列的关于登记人或企业关联人的分类信息时(例如与族裔群体或语言群体的关系),法律应当规定这类信息可否以及在什么条件下可以公诸于众(见下文第176至179段以及建议35段)。 在一些国家,公众可免费在企业登记处获取企业的某些信息(关于信息的收费,见下文第202段和建议42)。
and57.
(b) Determine the registrar’s powers and duties and if and to what extent  those powers and duties may be delegated.新企业通常必须向许多公共主管机构登记,如税务和社会保障主管机构,这些主管机构要求提供的信息往往与企业登记处收集的信息相同。
C. Transparency in the operation of the business registry在某些国家,企业登记处向企业主提供信息说明其他相关主管机构的必要要求,并介绍他们前往这些主管机构。
44. Laws that foster the transparent and reliable operation of the system for business registration have a number of features. hTey should allow registration to occur  as a simplifed process with a limited number of steps, and they should limit interaction with registry authorities, as well as provide short and specifed turnaround  times, be inexpensive, result in registration of a long-term or unlimited duration,  apply throughout the jurisdiction and make registration easily accessible for  registrants.在登记系统较为发达的国家,可能向企业分配一个登记号,该登记号也用作各个公共主管机构认可的独一识别码(见下文第100至107段),可在企业与这些主管机构、其他企业和银行的所有互动中使用。 这样做大大简化了企业设立过程,因为企业登记处得以更简便地与设立企业所涉其他主管机构交换信息。 在一些已经改革了登记系统的国家,企业登记处发挥一站式服务处的作用,支持向其他主管机构登记。
45. Registries should also establish “service standards” that would defne the services to which users are entitled and may expect to receive, while at the same time  providing the registry with performance goals that the registry should aim to achieve.此种服务点办理的服务可能包括办理任何必要的许可证,或者可能仅仅提供信息说明需要办理哪些手续才能获得此种许可证,并介绍企业主到相关机构办理。 如上文所述(见上文第9和25段),本《立法指南》认为,为至少是向企业登记处、税务和社会保障主管机构办理登记建立这种一站式服务处,并加强对所有此类主管机构的登记程序的整合,对希望优化本国企业登记系统的国家来说是最佳办法(见下文第86至97段以及建议14)。 58.
Such service standards could include, for example, rules on the correction of errors  (see paras. 28 above, and 147 and 231 below), rules governing the maximum length Chapter II.各国在建立或改革企业登记处时应当考虑的一个重要方面,是登记处是否应按要求记录影响企业地位的一些程序,如破产、合并或清理等。 处理这种地位变化的方法在各国有所不同。 例如,在一些国家,登记处往往还受托登记破产案例。
Establishment and functions of the business registry 19of time for which a registry may be unavailable (such as for electronic servicing)  and providing advance notice of any expected down time.而在另一些国家,登记处往往不履行这项职能。 在某些法域,登记处也负责登记企业的合并、清理和清算事宜。 在任何情况下,企业登记处通常还通过注销企业,记录任何已经永久停止营业的企业的寿命终结(见下文第218至225段以及建议48、49和50)。
Service standards contribute to ensuring further transparency and accountability in the administration of  the registry, as such standards provide benchmarks to monitor the quality of the  services provided and the performance of the registry staff.59. 有关企业登记的法律的起始条款可以包括一个清单,列明登记处的各种职能,同时参引法律中详细述及这些职能的相关条款。 这种办法的优点是清楚而透明地提示法律随后详细阐述的问题的性质和范围。
Recommendation 7: Transparency in the operation of the business registry hTe law should ensure that the rules, procedures and service standards that are developed for the operation of the business registry are made public to ensure transparency of the registration procedures.可能存在的缺点是,这种清单可能不够全面,或者可能被解读为对所参引的法律详细条款加以限制,虽然并无意这样做。 因此,实行这一办法时,需要特别谨慎,避免有任何疏漏或不一致,允许本登记处与法域内其他相关主管机构实现互操作性,并且允许获取本登记处维护的信息。 建议10:企业登记处的核心职能
D. Use of standard registration forms法律应当规定企业登记处的核心职能,其中包括:
46.(a)
Another approach that is otfen used to promote transparency and reliability  in the operation of the business registry is the use of simple standard registration  forms paired with clear guidance to the registrant on how to complete them.在企业满足法律确立的必要条件时对企业予以登记; (b) 允许获取可公开获得的已登记信息;
(c) 向被登记企业分配一个独一识别码; (d) 在必要的公共主管机构之间共享信息; (e)
Such  forms can easily be completed by businesses without the need to seek the assistance  of an intermediary, thus reducing the cost and de facto contributing to the promotion of business registration among MSMEs. hTese forms also help prevent errors  in data entry by business registry staff, thus speeding up the overall process. In  some jurisdictions, the adoption of standardized registration forms has been instrumental in streamlining the registration requirements and disposing of unnecessary  documents. Moreover, in jurisdictions with enhanced interoperability between the  authorities involved in the establishment of a business (e.g. the business registry,  taxation and social security authorities), the adoption of a single standardized registration form that consolidates all of the information required of a business by  such authorities has reduced duplication of information requests and has enabled  the streamlining of registration procedures with multiple authorities. It should be  noted that the use of standard registration forms should not preclude a business  from submitting to the registrar additional materials and documents required or  allowed by applicable law for the creation of the business. Recommendation 8: Use of standard registration forms hTe law should provide that simple standard registration forms are introduced to  enable the registration of a business and the registrar should ensure that guidance is  available to registrants on how to complete those forms.
E. Capacity-building for registry staff使登记处的信息尽可能保持更新; (f) 保护登记处记录中信息的完整性;
47.(g)
Once business registration reform has been initiated, an important aspect of  the process is developing the capacity of the personnel entrusted with business  registration functions.提供关于设立企业的信息,包括企业的义务和责任,以及可在企业登记处公开获得的信息的法律效力; (h)
Poor service otfen affects the eifciency of the system and  can result in errors or necessitate multiple visits to the registry by users.法律要求时协助企业搜寻和预留企业名称。 G. 整个企业登记处信息的储存和获取
Capacity  development of registry staff could not only focus on enhancing their performance  and improving their knowledge of the new registration processes, ICT solutions  and client orientation, but staff could also be trained in new ways of improving  business registration services.60. 在就如何储存企业登记处所收录信息作出安排时,各国应以效率、透明和可获取性这些目标为指导。 不管一国决定整个登记处系统如何储存并确保提供信息,目标都应当是实现已登记企业的身份识别和分类的一致性,以及高效率、不重复地收集有关这些企业的信息。
48.61.
Different approaches to capacity-building can be followed, from the more tra ditional training methods based on lectures and classroom activities, to more innovative ways that can be driven by the introduction of new business registration  systems.为实现这些目标,重要的是一国所有的企业登记办公点、分支办公点和登记处信息存放处实现相互连通,不管其实际位于何处。 为了高效运作,应通过将所有这些服务点连在一起并允许技术互操作性的一个电子界面建立这种相互连通(见下文第70(c)段)。
In some jurisdictions, team-building activities and role-playing have been  used with some success, since reforms otfen break barriers between various government departments and require the improvement of the lfow of information among  them, as well as an understanding of different aspects of the procedures with which  specifc registry staff may not be familiar.通过这些手段,在系统任何地方收集或储存的所有信息都能够被及时处理或查询,而不管这类信息是如何(以电子格式还是纸质格式)或在何处收集、储存或提交登记处的。 确保整个企业登记处系统以电子方式相互连通将允许其所收录的所有信息以数字形式储存和提供查询,并允许在整个登记处系统内尽可能实时地分享这类信息,同时向多个访问点提供,而不考虑其地理位置如何(包括登记处分支办公点、终端或使用网上技术)。 对企业登记处储存的所有信息的获取还应当便利其与其他公共主管机构的整合,以便允许也与这些主管机构交换信息(见下文第93段和建议14)。
In other cases, States have also opted for  developing action plans with annual targets in order to meet standards of performance consistent with global best practices and trends, and they have linked promotions and bonuses for staff to the achievement of the action plan’s goals.这种做法将加强此类公共主管机构之间的机构互操作性,以便不仅简化向企业登记处办理登记的程序,而且理顺企业设立时可能必须办理的所有登记(见上文建议1)。 建议11:整个登记处信息的储存和获取 法律应当规定,企业登记处各办公点在存储和获取由登记人和被登记企业提供或由登记处工作人员输入的信息方面相互连通。
第三章.企业登记处的运作 三. 企业登记处的运作 62.
In other  cases, States have decided to introduce new corporate values in order to enhance  the public service system, including business registration.如上文所指出(例如,见第38至40段),企业登记可通过因法域而异的多种组织手段予以实施。 启动改革进程以简化登记程序的国家必须考虑到当时的国内条件,找到最恰当和最高效的解决办法来提供这项服务。
Although the relevant  governmental authority will usually take the lead in organizing capacity development programmes for the registry staff, the expertise of local legal and business  communities could also be enlisted to assist.不管国家选择什么办法,都应该仔细考虑影响企业登记的一般法律和体制框架、获授权运营登记系统的实体的法律依据和责任以及这些实体所需的预算等问题。 改革工作在不同程度上取决于一套核心工具,其中包括:使用技术;
49.建立一站式服务处;
Peer-to-peer learning and the establishment of national and international  networks are also effective approaches to build capacity to operate the registry.  hTese tools enable registry staff to visit other jurisdictions and States with eifcient  and effective business registries.以及登记程序所涉不同主管机构相互连通(可能采用独一识别码)。 各国还应确保其改革工作不会无意中将采用可能会进一步改进企业登记处运作的新兴技术(例如,使用分布式账本技术)排除在外。
A. 电子、纸介或混合型登记处 63.
In order to maximize the impact of such visits, it  is important that they occur in jurisdictions familiar to the jurisdiction undergoing  the reform. hTis approach has been followed with success in several jurisdictions  engaging in business registration reform.在改革企业登记处时,要考虑的一个重要方面是登记申请以何种形式提交,以及登记处收录的信息以何种形式储存。 纸介登记需要通过邮件或亲手将(通常是手写填写的)文件送交登记处以供人工处理。 亲手交付和人工处理在许多法域并不少见,因为那里缺乏先进的技术基础设施。
International forums and networks also  provide platforms for sharing knowledge and exchanging ideas for implementing  business registration reform among registry personnel from around the world.在这些国家,企业主可能必须亲自造访企业登记处办公点,这些办公点可能位于城市地区,许多中小微企业特别是农村地区中小微企业的企业主去一趟并不容易。
50. In order to facilitate business registration, it may be equally important to  build capacity on the part of intermediaries in States where the services of those  professionals are required to register a business (see, for example, paras. 116 and  117, 169, 186 and 187 below).此外,所需的文件副本通常也必须以纸质提供。 纸介登记处系统可便利登记人和登记处进行面对面交流,因而有机会澄清登记要求的各个方面。 这种程序的劳动力密集性通常会导致手续耗时长、费用高(例如可能需要不止一次造访企业登记处),对登记处和用户来说都是如此,还很容易造成数据输入差错。
Recommendation 9: Capacity-building for registry staff hTe law should ensure that appropriate programmes are established to develop and  strengthen the knowledge and skills of the registry staff on business registration procedures, service standards and the operation of electronic registries, as well as the  ability of registry staff to deliver requested services.另外,纸介登记处需要很大的储存空间,因为载有已登记信息的文件可能必须作为硬拷贝储存(虽然一些使用混合形式的国家也可扫描文件,然后在保存文件的任何最低法定期限届满之后销毁文件; 见下文第227至230段以及建议52)。 最后一点,通过纸张或传真提交登记请求还会发生迟延,因为登记人必须等待登记处工作人员手工进行企业登记,开出登记证明。
F. Core functions of business registries64. 相比之下,网上登记便利提高登记处的效率和提供更方便用户的服务。
51. hTere is no standard approach to establishing a business registry or to streamlining an existing one: models of organization and levels of complexity can vary  greatly depending on a State’s level of development, its priorities and its legislation.这种办法最低限度要求将登记人提供的信息以电子形式储存在计算机数据库中; 而最先进的电子登记系统允许用户通过互联网或通过直接联网系统,直接以电子形式提交企业登记申请和相关信息(以及查询登记处),无需提交纸质材料。 采用这种系统可增强数据完整性、信息安全性、登记的透明度和对企业遵守登记要求情况的核实,这种核实有助于避免储存不必要的或多余的信息。
However, regardless of the structure and organization of the registry, certain core  functions can be said to be common to all registries.另外,如果允许以电子形式提交申请,企业登记处就可制作更加易懂并因而更容易正确填写的标准表格。 尽管使用信通技术解决办法可能存在软件出错的风险,但电子系统通过提供自动检错和其他适当解决办法,更能降低这种风险。 此类技术还有助于开发综合登记系统和实施独一识别码。
52.65.
Subject to the enacting State’s legal and institutional organization, core functions in addition to those listed below may be added to the business registry.除上述特点之外,以电子方式办理企业登记和访问企业登记处还有下列优势: (a) 增加了远离登记处办公点经营的较小型企业的便利程度;
But,  in keeping with the overarching principles governing effective business registration  (see para. 27 above), the core functions and intended goals of business registries  are, at a minimum, to:(b) 大大减少企业主办理各种登记手续所需的时间和费用,从而大大减少了企业成功登记所需的时间和费用,并大大降低了登记处的日常运作费用; (c)
(a) Register a business when it fulfls the necessary conditions established by  the law of the enacting State, which may include conferring legal existence on the  business and recording that status;能够更好地处理其他公共主管机构日益增多的索取公司信息的要求; (d) 减少登记处工作人员欺诈行为或不当行为的机会;
(b) Publish and make accessible good quality and reliable information on the  business to be registered so as to facilitate trade and interactions between business  partners, the public and the State, including when such interactions take place in a  cross-border context;(e) 降低登记处对用户的潜在赔偿责任,在不使用电子方式的情况下,用户可能因为登记处工作人员未能准确输入登记信息而蒙受损失(另见下文第187和213段); (f)
(c) Assign a unique identifer to the business to facilitate information exchange  between the business and the State (see also paras. 100 to 107 below);用户可在正常办公时间之外办理登记和获取信息服务; (g) 一些企业和金融机构搜寻关于潜在贸易对手和借款方的公司信息,这可能为登记处带来创收机会。
(d) Share information on the registered business among relevant authorities to  promote and facilitate coordination among such authorities;66. 不过,采用电子登记程序通常需要对提供服务的方式进行深入的改造,除涉及技术基础设施的水平之外,还可能涉及国家治理制度的若干核心方面,包括:财政能力、组织和人力资源能力、立法框架(如商法典和公司法)和机构设置。
(e) Ensure the information on a registered business is as current and accurate  as possible, so that such information is of value for all users of the registry (see also  paras. 32 and 35 and rec. 4 above and paras. 157 to 161 and rec. 30 below);因此,建议要启动改革进程以期实现企业登记处自动化的国家认真评估法律、体制和程序方面(如授权电子签名的立法或信息安全法律,或建立综合性电子政务平台或其他信通技术基础设施),以确定哪些领域需要改革,并采用最适合本国当前需要和能力的技术解决方案(另见下文第244和245段及建议58)。
(f) Protect the integrity of the registry record to protect the identity and integrity of the businesses that are registered (see also paras. 233 and 234 and rec. 54);在几个国家,目前网上仅提供与企业登记有关的信息,功能完善的电子登记处尚未实施。 与建立电子登记处相比,以电子方式提供信息肯定费用更低且更加容易,不需要任何立法改革或专门技术。
(g) Provide information concerning the establishment of a business, including  any associated obligations and responsibilities of the registered business, as well as  the legal effects of information maintained in the business registry;因此,虽然采用将电子处理和基于纸质的人工提交和处理相结合的混合登记形式可能是一种适当的临时解决办法,但这种登记系统需要较高的维持费用,一国的最终目标应始终是逐步建立完全电子化的登记形式(见下文第72至80段以及建议12)。 B.
and电子登记处的特征
(h) Provide assistance to the business in searching and reserving a business  name when required by the law so that the business can establish its commercial  identity. 53.67. 如果企业登记处记录实现计算机化,硬件和软件规格说明应当稳定持久,并用到一些特征,以最大限度减少数据损坏、技术误差和安全漏洞风险。 即使在纸介登记处,也应采取措施确保登记处记录的安全性和完整性,但如果登记处记录采用电子形式,则能更高效且更容易地实现这一目标。
In a standard registration process, the entry point for entrepreneurs to the  business registry may be the support provided to them in choosing a unique name  for the new business that they wish to establish.(不管登记处如何运作,都必须实施减轻风险措施:见下文第233和234段以及建议54)。 除了数据库控制程序,还必须开发软件,用于管理用户通信、用户账户、任何必要费用的支付、财务会计、计算机对计算机通信、内部工作流程和统计数据收集等方面。
When registering, a business is  usually required to have a name that must be suifciently distinguishable from other  business names within that jurisdiction so that the business will be recognized and  identifable under that name.支持数据收集的软件应用程序还将有助于登记处做出循证决策,从而有助于系统的高效管理(例如,收集有关登记处用户较频繁请求的数据,就能循证决定如何最佳地分配登记处资源)。 {§6} 尽管如此,如果国家的技术基础设施不够先进,无法落实上述特征,就应当使用足够灵活的软件,以便在将来较为可行时容纳新的、更复杂的特征。 68.
Enacting States are likely to establish their own criteria for determining how to decide whether a business name is suifciently distinguishable from other business names.要落实企业网上登记处,需要确定网上系统的技术标准,认真评估企业登记处的硬件和软件需要,以便在全国的技术基础设施背景下使用这些标准,还需要决定在内部开发必要的硬件和软件是否可行,或者是否必须向私营供应商采购。 在作出上述决定时,关键是要调查是否存在易于变通以适应国家需要的现成产品。
Business registries usually assist entrepreneurs  at this stage with a procedure that can be optional or mandatory, or they may  provide business name searches as an information service.如果硬件和软件的供应商不同,则软件开发商或供应商必须了解要使用的硬件的规格,反之亦然。 69. 由于最近取得的技术进步,各国似宜考虑一种备选办法,即是依赖传统软件还是转而使用较复杂的应用,如云计算,云计算是一种基于互联网的系统,可用于通过互联网向某个组织的计算机提供各种服务(如数据储存和处理)。
Registries may also offer  a name reservation service prior to registering a new business, so that no other  business can use that name.使用云计算可大大减少电子登记系统运作所需的资源,因为登记处不必维持自己的技术基础设施。 不过,如果采用这种系统,数据和信息安全可能会成问题,国家在建立仅以云应用为基础的系统之前,最好进行细致的风险分析。 70.
Such a name reservation service may be provided  either as a separate procedure (which again can be optional or mandatory), or as  a service integrated into the overall business registration procedure.国家在采用网上登记处时应当考虑的其他方面包括: (a) 扩容能力:登记处的信通技术基础设施应当能够处理不断增加的用户量以及可能偶尔出现的流量高峰;
54.(b)
Business registries also provide forms and various types of guidance to entrepreneurs preparing the application and other necessary documents for registration.灵活性:登记处的信通技术基础设施应当能够容易地适应新的用户要求和系统要求,将数据从一种技术迁移到另一种技术可能需要数据清理方面的工作; (c)
Once the application is submitted, the registry performs a series of checks and  control procedures to ensure that all the necessary information and documents are  included in the application.互操作性:登记处应设计为允许(即使在稍后阶段)与其他自动系统整合,如在本法域内运作的其他政府主管机构以及网上或移动支付门户; (d) 费用:信通技术基础设施在初始费用和运营费用方面应当是财政上可持续的;
In particular, the registry verifes any requirements for  registration that have been established in the State’s applicable law, such as the legal  capacity of the entrepreneur to operate the business.(e) 知识产权:为了避免可能影响到所用技术的知识产权所有人的不利情形(例如,如果该所有人停止经营或被禁止与政府交易)所产生的风险,国家始终应当要么获得系统的所有权,要么获得源代码的无限制使用许可。
Some legal traditions may  require the registry to perform simple control procedures (such as establishing that  the name of the business is suifciently distinguishable), which means that if all of  the basic administrative requirements are met, the registry must accept the information as fled and record it.71. 在信通技术基础设施的成本方面,必须认真探讨电子登记系统所需的安全级别及其相关成本。 尤其应当使具体互动(登记处与企业之间或登记处与其他公共主管机构之间)所附带的风险与确保此种互动安全所需的成本和行政管理保持一致。
Other legal traditions may require more thorough  verifcation of the information fled.安全级别不高可能会打消当事人使用电子服务的念头(除非是强制使用),但成本高昂的安全措施可能也会产生同样的后果。
55.C.
Payment of a registration fee, if any (see paras. 198 and 199 and rec. 41  below), must usually be made before the registration is complete.采取分阶段办法实施电子登记处 72. 用于建立电子登记处系统的方法应该与所需要的改革保持一致,因为它们能够决定该举措的成败。
Once a business  registration is complete, the registry issues a certifcate that confrms the registration and contains information about the business.在很多情况下,在重新设计企业登记处的程序之前直接迈向完全的网上解决方案将是一个错误,因为所设计的解决方案将无法发挥这种技术的全部好处。
Since much of the registered  information should be disclosed to interested parties, registries make their public  components available through various means, including through publication on a  website, or in publications such as the national gazette or newspapers.此外,根据实施国家的发展水平,在采用网上登记处之前,应当认真考虑基础设施是否具备和基础设施的质量以及目标用户的识字率(包括计算机知识水平)。 例如,一些国家可能必须处理信通技术基础设施不存在或薄弱、缺乏可依赖的电力供应和互联网连通以及识字率较低等问题,后者可能对妇女和农村地区的企业产生过大影响(另见下文第172段)。
Where the  infrastructure permits, registries may offer, as an additional non-mandatory service,  subscriptions to announcements of specifc types of new registrations.在这些情况下,可能需要由国际组织协调的技术援助和能力建设援助方案,以便向建立全面自动化电子登记处的目标前进。
56.73.
In accordance with the applicable law of the enacting State, registered information that is made available to the public can include specifc information on the business structure, such as who is authorized to sign on behalf of the business or  who serves as the business’s legal representative.在数字接入还不太普及的地方,采用分阶段做法可能是一种适当的推进办法。 自动化首先从使用简单的数据库和工作流程应用程序进行基本操作开始,比如,检索名称或与其他公共主管机构共享信息,然后再发展到使用户能够完全通过网络在登记处办理业务的较复杂网上系统。 对于远离登记处经营的较小型企业而言,这些网上系统可能十分便利,只要这些企业主能够访问该系统即可。
Basic information about the business, such as the name of the business, its telephone number, designated electronic  address这一方法的最后阶段是在企业登记所涉各主管机构之间实现信通技术互操作性。 74. 对于刚开始在这一领域开展活动的国家来说,最简单的办法是开发一个内容丰富的网站,其中汇集各种登记信息,提供可供下载的表格,并使用户能够提交反馈意见。
5 and postal address (in addition to the addresses at which the business is deemed to receive correspondence) can also be made public, but the publication  of such details may be subject to the agreement of the business.这种简单的资源将使用户能够从一个地方获得信息和表格,且提高登记处的效率,让用户在前往登记处办公点递交所填表格之前,能够通过指定电子地址提交问询。 因为这种解决方案不需要稳定的互联网连接,所以可能对互联网接入能力有限的国家有吸引力。 75.
When business  registries collect disaggregated information submitted on a voluntary basis on the  registrant or the persons associated with the business according to gender or other  indicators that could raise privacy issues (e.g. association with an ethnic or language  group), the law should establish whether and subject to which conditions that  information can be made available to the public (see paras. 176 to 179 and rec. 35  below).如果只有有限的互联网带宽可供使用,在迈向网上登记之前使前后台操作自动化将是一种适当的办法。 如果登记处在其主要所在地之外(例如,在农村地区)拥有分支办公点,则需要与这些分支办公点建立专用的互联网连接(见上文第61段)。 这种做法需要企业主亲自造访登记处,但将为登记处随后能够建设一个更复杂的网络平台奠定基础。
In some States, public access to certain information in the business registry  is provided free of charge (in respect of fees for information, see para. 203 and rec.  42 below).对于系统来说,在这个基础阶段,能够将登记处的历史记录数字化并获取登记处保存的企业成员或所有人和董事的姓名等关键信息,将是一个关键因素。
57.76.
A new business must usually register with many public authorities, such as  taxation and social security authorities, which otfen require the same information  as that gathered by the business registry. In certain States, the business registry  provides to entrepreneurs information on the necessary requirements of other relevant authorities and refers them to such authorities. In States with more developed  registration systems, businesses may be assigned a registration number that also  functions as a unique identifer across public authorities (see paras. 100 to 107  below) and can then be used in all of the interactions that the business has with  those authorities, other businesses and banks. hTis greatly simplifes the establishment of a business since it allows the business registry to exchange information  more easily with the other authorities involved in the establishment of a business. In several States that have reformed their registration systems, business registries  function as one-stop shops to support registration with other authorities. hTe services operated by such outlets may include providing any necessary licensing, or  they may simply provide information on the procedures to obtain such licences  and refer the entrepreneur to the relevant agency. As noted above (see paras. 9  and 25), this Legislative Guide takes the view that establishing such one-stop shops  for registration with at least the business registry, taxation and social security  authorities, and enhancement of the integration of the registration procedures of  all such authorities is the best approach for States wishing to optimize their business registration system (see paras. 86 to 97 and rec. 14 below).
58. One important aspect that States should take into account when establishing  or reforming the business registry is whether the registry should also be required一旦国家的技术能力和数字接入率允许,则可以开发平台,使企业能够网上申请登记,支付登记费用,以及提交年度决算和在业务变更时更新登记详情。 关于网上支付登记费用问题,应该指出的是,信通技术支持的解决方案取决于一个国家可用的支付方法,并取决于确立公共主管机构可接受的支付方法的监管框架。
5 hTe Explanatory Note by the UNCITARL secretariat on the United Nations Convention on the Use of Electronic Communications in International Contracts (paras. 185 to 192) provides further information on the  term “electronic address” and the difference between “designated” and “non-designated” electronic addresses.如果法域已经颁布法律允许网上支付,最高效的备选方案是将提交电子申请与支付费用合并为一个步骤。 包含这一功能的信通技术系统应该包含纠错,从而使申请能够在付费完成之后再提交,登记处官员可以看到与申请附在一起的支付信息。 如果需要在企业登记之前付费,付费将成为一个单独的程序步骤,为方便用户使用而采用的信通技术解决方案将需要理顺提交申请和付费的程序(另见上文第70(c)段)。
to record certain procedures that affect the status of the business, for example  insolvency, merger or winding-up. hTe approach to such changes in status appears  to vary from State to State.在一些国家,使用移动支付系统可能允许以更便利、更有效的办法支付登记费用和其他相关费用。 在此情况下,应当适用确立网上支付所涉及的相同考虑因素(例如,颁布适当法律,以及设计将移动支付与提交登记文件合并在一起的高效备选方案),以制定适合使用移动技术的高效解决方案。 77.
For example, in some States, registries are otfen also  entrusted with the registration of insolvency cases, while in other States, they tend  not to perform this function. In certain jurisdictions, registries are also given the  task of registering mergers as well as the winding-up and liquidation of businesses. In any event, business registries naturally also record the end of the life span of  any business that has permanently ceased to do business by deregistering it (see  paras. 218 to 225 and recs. 48, 49 and 50 below). 59. hTe opening provisions of the law governing business registration may  include a list of the various functions of the registry, with cross references to the  relevant provisions of the law in which those functions are addressed in detail. hTe  advantage of this approach is clarity and transparency as to the nature and scope  of the issues that are dealt with in detail later in the law. hTe possible disadvantage  is that the list may not be comprehensive or may be read as placing unintended  limitations on the detailed provisions of the law to which cross reference is made. Accordingly, implementation of this approach requires special care to avoid any  omissions or inconsistencies as well as to allow for the registry’s interoperability  with other relevant authorities in the jurisdiction, and for access to the information  maintained in the registry.
Recommendation 10: Core functions of business registries hTe law should establish the core functions of the business registry, including:正如上文指出的那样(见第66段),在引入电子登记处时,尽管只有在登记程序所涉及的各种利益攸关方(包括登记人、公共主管机构以及其他相关主管机构)准备遵守时才应该考虑使用电子解决方案的义务问题,但国家应该通过立法为实施这些解决方案提供便利。
(a) Registering the business when it fulfls the necessary conditions established by the law;另外,在制定此种法律时,各国还应该考虑到,虽然可以通过电子方式对某些法律要求进行核对,但这一程序中一些最复杂的方面需要由登记处官员来处理。 78.
(b) Providing access to publicly available registered information;颁布国还应当认识到,建立一个电子企业登记处需要有设计完善、促进简易性和灵活性并尽最大可能避免裁量权和除外情况的法律体系(见上文第28段和下文第147和231段)。
(c) Assigning a unique identifer to the registered business;例如,要求解释文件内容以及收集各种信息的条款难以适合电子处理;
(d) Sharing information among the requisite public authorities;同样的情况也适用于赋予登记官确定登记处服务费用的权力以及确立结构复杂的规则和除外情形。
(e) Keeping the information in the business registry as current as possible; (f) Protecting the integrity of the information in the registry record;79. 在一个国家已发展实现企业登记处完全自动化所需要的信通技术基础设施时,可将其与税务、社会保障和其他方面的其他网上登记程序整合在一起(以便在公共主管机构之间共享受保护数据,见下文第114段)。
(g) Providing information on the establishment of the business, including the  obligations and responsibilities of the business and the legal effects of the informa tion publicly available on the business registry;即使系统内没有设置与其他公共主管机构要求的登记的整合程序,各国最好也要实施数据交换能力,以便能够在各公共主管机构之间共享相关的企业信息(见上文第70(c)段和下文第93段)。 最终改进是建立起能够向所有相关各方传播增值的企业信息产品的机制; 此类产品可大大增进登记处的财务可持续性(见下文第190和191及195段)。
and80.
(h) Assisting businesses in searching and reserving a business name when  required by the law.当网上登记处能够提供成熟的电子服务时,可能出现的一个问题是:是废除提交纸介信息的做法,还是同时保留网上登记和纸介登记的做法。
G. Storage of information and access to it throughout the business registry在很多法域,登记处选择采用混合解决方案,电子文件和纸质文件兼收,或在个案处理期间将电子处理与手工处理相结合。
60. When organizing the storage of the information contained in the business  registry, States should be guided by the goals of eifciency, transparency and accessibility.这种做法可能导致登记处成本很高,因为这两种系统需要不同的工具和程序。 另外,如果选择这种方法,则必须制定规则以确定登记时间以电子材料提交时间为准还是以纸介材料提交时间为准。
Regardless of how a State decides to store and ensure the availability of  the information throughout its registry system, its goal should be to achieve consistency in the identifcation and classifcation of registered businesses, as well as  the eifcient, non-duplicative collection of information on those businesses. 61.最后,在任何情况下,都必须处理纸介申请,以便纸介文件中所包含的信息能够转换成可以通过电子方式处理的数据; 这一点可以通过扫描纸介登记申请的方式来实现(可能使用光学字符识别技术,以使扫描的文件可以电子查询)。 不过,为了确保通过扫描方式制作的记录能够正确地代表纸质申请,登记处很可能不得不雇用工作人员来核对该记录,从而增加了一个步骤,导致成本增加,减少了使用网上系统的好处。
To achieve these goals, it is important that all business registration oifces,  sub-oifces and repositories of registry information in a State be interconnected  regardless of their physical location. In order to function eifciently, such interconnection should be established through an electronic interface linking all such outlets and allowing their technical interoperability (see para. 70 (c) below). hTrough  these means, all information collected or stored anywhere in the system can be  processed or accessed in a timely fashion regardless of how (whether in electronic  or paper format) or where it is collected, stored by or submitted to the registry. Ensuring the electronic interconnection of the entire business registry system  would permit all information contained in it to be stored and made accessible in  digital format and would permit the sharing of such information, possibly in real  time, throughout the entire registry system, providing it simultaneously to multiple  access points without regard to their geographic location (including business registry sub-oifces, terminals, or using online technology). Further, access to the  entirety of the information stored in the business registry should facilitate its integration with other public authorities in order to permit information exchange with  those authorities as well (see para. 93 below and rec. 14). hTis approach will  strengthen the institutional interoperability among such public authorities in order  not only to simplify the process of registration with the business registry, but also  to streamline all registrations that may be required of a business at its establishment  (see rec. 1 above). Recommendation 11: Storage of information and access to it throughout the registry hTe law should establish the interconnection of business registry oifces with regard  to storage of and access to information received from registrants and registered businesses or entered by registry staff.
III.D.
Operation of the business registry得到信通技术解决方案支持的其他登记相关服务
62.81.
As noted above (see for example paras. 38 to 40), business registration can  be implemented through many different organizational tools that vary according  to jurisdiction.除了处理申请之外,自动化还应使登记处能够执行其他职能。 例如,如果国家要求使用户能够方便地以电子方式提交材料和使用预填表格,{§7} 则可协助企业依法提交定期报告书和年度决算。
States embarking on a reform process to simplify registration will  have to identify the most appropriate and eifcient solutions to deliver the service,  given the prevailing domestic conditions.以电子方式提交材料和自动核对也有助于缩短登记处的处理时间。 82. 电子技术支持的登记也可以协助登记处办理注销程序(见下文第223至225段以及建议50)。
Regardless of the approach chosen by  the State, aspects such as the general legal and institutional framework affecting  business registration, the legal foundation and accountability of the entities mandated to operate the system and the budget needed by such entities should be  carefully taken into account.这类程序通常要求发布某企业即将注销的官方公告。 使用信通技术能够实现此种公告的自动化,包括从启动程序到生成标准通知整个过程,从而帮助登记处确保企业在任何时限过去之前不被注销,并且缩短处理时间。 不过,为了能够充分发挥效力,采用电子登记处还需要理顺相关程序,以便能够以简化和快速的方式注销企业。
Reform efforts rely to different extents on a core set  of tools, including: the use of technology;83. 此外,采用信通技术的解决方案可用于协助以机器可读格式(例如可扩展商业报告语言或XBRL)提交财务信息。
the establishment of a one-stop shop;例如,可以提供一个平台,协助将纸质财务报表转换为XBRL格式。
and interconnectivity between the different authorities involved in the registration  process (with the possible adoption of a unique identifer).机器可读的财务数据有助于对财务信息进行汇总和分析,这对登记处的用户可能具有重要价值。 84. 使用信通技术的解决方案也可以在企业未遵守登记要求时支持企业登记处的后续行动和强制执行程序。
States should also  ensure that their reform efforts do not inadvertently exclude the adoption of emerg ing technologies that might further improve the operation of the business registry  (e.g. the use of distributed ledger technology).例如,在一个法域,登记处的后台系统对企业的各种记录进行监测,并发现是否有某些情形表明该企业未遵守法定要求。 然后,系统会自动向企业发出一份通知,以便企业能够对这种情况加以补救。 如果企业未能在法定期限内予以补救,信通技术解决方案启动一个新的程序,以便将该案提交区法院,区法院可就该企业的强制清算问题作出裁决。
A. Electronic, paper-based or mixed registry在下达强制清算的命令之后,区法院通知登记处,然后登记处将该企业注销。
63.建议12:企业登记处的操作媒介
An important aspect to consider when reforming a business registry is the  form in which the application for registration should be fled and the form in which  information contained in the registry should be stored.法律应当规定一个高效的企业登记处的最佳操作媒介是电子媒介。 如果完全采用电子服务尚不可能,也应当在颁布国当前技术基础设施及其体制框架和法律所允许的最大限度内实施此种做法,并随着此类基础设施的改进而加以扩展。 E.
Paper-based registration  requires sending documents (usually completed in handwritten form) by mail or  delivering them by hand to the registry for manual processing.电子通信和电子认证方法 85. 如上文所指出(例如,见第66和76段),高效的电子企业登记处系统应允许用户以电子方式提交和接收文件,在向登记处发送信息或请求时以电子方式签名,并在网上为企业登记处服务付费(另见下文第205段和建议44)。
Hand delivery and  manual processing are not unusual in many jurisdictions due to the lack of an  advanced technological infrastructure.因此,作为初步的步骤,应当有适当的国内法规范所有这些事项(另见上文第77和78段)。
In such States, entrepreneurs may have to  attend business registry oifces in person and these oifces may be located in municipal areas that may not be easily reachable for many MSME entrepreneurs, particularly for those in rural areas.颁布电子通信、电子签名或其他身份识别和认证手段法律制度的国家不妨考虑贸易法委员会为规范电子交易而编拟的立法案文。 {§8} 这类案文确立了技术中性和功能等同原则(另见下文第244和245段),这些原则是确保电子通信和纸介通信受到平等待遇所需要的;
In addition, any copies of the documents required  must usually be provided on paper.这类案文还广泛涉及涵盖电子通信和电子签名的法律效力、{§9} 认证以及电子信息的发送和接收的时间和地点等问题的条款。
Paper-based registries can facilitate in-person  communication between the registrant and the registry, and thus may offer an  opportunity to clarify aspects of the requirements for registration.{§10} 考虑到这些案文以及贸易法委员会其他立法案文的谈判和通过方式,它们为各种不同的法律传统和处于不同经济发展阶段的国家提供了适合的解决方案。 此外,基于贸易法委员会电子商务案文的国内立法将极大地便利电子通信和电子签名的跨境承认。 建议13:电子通信和电子认证方法
法律应当: (a)
However, the  labour-intensive nature of this procedure normally results in a time-consuming and  expensive process (for example, it may require more than one visit to the business  registry), both for the registry and for users, and it can easily lead to data entry Chapter III.允许并鼓励使用电子通信以及电子签名和其他身份识别方法; (b) 根据下述原则对此种使用作出规范:电子通信和电子签名在功能上等同于相应的纸质形式,不得仅以电子文件和电子签名采用电子形式而否定其律有效性或可执行性。
Operation of the business registry 27F. 企业登记与向其他主管机构登记的一站式服务处
errors.86.
Furthermore, paper-based registries require considerable storage space as  the documents with the registered information may have to be stored as hard  copies (although some States using a mixed format may also scan documents and  then destroy the paper versions atfer the expiry of any minimum legal period for  their preservation;如以上所讨论的(见第3、25和57段),一家企业要在正规经济中经营,除了向企业登记处登记外,通常需要向若干不同公共主管机构登记。 这些其他主管机构需要的信息往往与企业登记处已经收集的信息相同。 企业主经常必须亲自造访每一个主管机构,并且填写多个表格。
see paras. 227 to 230 and rec. 52 below).这个过程通常会涉及税务和社会保障主管机构;
Finally, registration  requests transmitted by paper or fax also give rise to delays, since registrants must  wait until registry staff manually carry out and certify the business registration.也可能涉及每个法域特有的其他行政部门和机构。 这往往导致受不同法律管辖的多个程序、信息重复以及所涉主管机构缺乏自主权或无法充分控制登记程序。 而且,整个登记程序可能需要几周的时间,甚至几个月的时间。
64.87.
In comparison, online registration facilitates improved eifciency of the  registry and more user-friendly services. hTis approach requires, at a minimum,  that the information provided by the registrant be stored in electronic form in a  computer database;因此,建立一站式服务处已成为最近几年简化企业登记程序的最普遍改革之一。 一站式服务处使企业主能够通过单一服务点得到其完成设立企业的各种必要程序所需要的所有信息和表格(可能得到向参与一站式服务处的所有主管机构办理登记和进行付款的综合性表格),而没有必要造访若干不同的公共主管机构。 88.
the most advanced electronic registration systems, however,  permit the direct electronic submission of business registration applications and  relevant information (as well as searches of the registry) over the Internet or via  direct networking systems as an alternative to paper-based submissions. hTe adoption of such systems enhances data integrity, information security, registration  transparency, and verifcation of business compliance registration requirements,  which helps avoid unnecessary or redundant information storage.除了这个一般性描述之外,一站式服务处的范围可能会随着所提供服务的不同而不同。 常见的一项职能是向企业登记处和税务主管机构登记,尽管也有负责社会保障登记和统计登记以及处理从市级和其他主管机构获取必要执照的一站式服务处的例子。 在一些情况下,一站式服务处不仅协助企业主办理营业执照和许可,还就投资、私有化程序、官方日志和日刊、知识产权登记处和进出口登记处、旅游相关问题和国有财产管理向他们提供帮助,还可能提供利用公共设施和银行服务的机会。
Furthermore,  when electronic submission of applications is allowed, business registries can  produce standard forms that are easier to understand and therefore easier to  complete correctly.89. 一站式服务处的职能可通过实体办公点或电子平台实施。 实体办公地,若设在农村地区,则特别适合到市中心不太方便的企业;
Although the use of ICT solutions can carry the risk of sotfware  errors, electronic systems do more to reduce that risk by providing automated error  checks and other appropriate solutions.移动办公点也是如此,特别是在非常偏远、国家无法设立实体办公地的地方。 除实体办公地以外,也可以提供网上企业登记服务,作为办理企业登记可用的一种选择。
Such technology is also instrumental in  the development of integrated registration systems and the implementation of  unique identifcation numbers.网上一站式服务处利用信通技术支持的各种解决方案,因为使用了专用软件,所以能够迅速办完若干手续。 此种网上门户可提供一种完全连通的系统,或者针对某些要求例如税务服务仍然需要单独登记。
65.90.
In addition to these features, electronic business registration and access to  the business registry also offer the following advantages:在建立一站式服务处时,特别是建立在企业登记以外还履行其他职能的服务处时,各国可选择不同的方法。
(a) Improved access for smaller businesses that operate at a distance from the  registry oifces;一种形式的一站式服务处是所谓的“一个窗口”或“一张桌子”版本,这种一站式服务处在参与企业设立的不同主管机构之间实现高度整合。
(b) A very signifcant reduction in the time and cost required of the entrepreneur to perform the various registration steps, and consequently in the time and cost  required before successful registration of a business, as well as in the day-to-day cost  of operating the registry;在此情况下,一站式服务处将办理企业登记和向税务和社会保障等公共主管机构办理其他登记的程序与必要时在国家公报或报纸上公布登记情况等其他安排结合在一起。 所有相关文件都要向获得授权且经过适当培训以代表所涉各公共主管机构接收文件的一站式服务处管理人提交。 然后以电子或面呈或信使方式将文件发送到主管机构进行处理。
(c) Improved handling of increasing demands for company information from  other public authorities;这类一站式服务处需要不同公共主管机构之间进行详细的协调,这些政府主管机构必须修改其程序,以确保信息的有效流动。
(d) A reduction in the opportunity for fraudulent or improper conduct on the  part of registry staff;为了确立共享企业信息的条款,参与的关键主管机构之间可能需要达成一项谅解备忘录。 在有些情况下,采用这种方法可能还需要修改立法。 91.
(e) A reduction in the potential liability of the registry to users who otherwise  might suffer loss due to the failure of registry staff to enter accurately registration  information (see also paras. 187 and 213 below);另一种形式的一站式服务处是“一个门”方法。 在“一个门”方法中,参与登记工作的不同公共主管机构的代表集中到一个实体场所,但登记人必须单独与每一位代表(例如,负责企业名称审批的企业登记处人员、负责核对文件的办事人员、税务人员)打交道,尽管不同主管机构相互之间保持联络。
(f) User access to registration and information services outside of normal business hours;显而易见,这种解决方案不是那么复杂,通常不需要修改法律或部委职责,只要求不同政府部委之间建立有效的合作。
and (g) Possible revenue opportunities for the registry from other businesses and  fnancial institutions that seek company information on potential trading counterparties and borrowers. 66.在选择这种方法时,各国应该考虑的一个问题是每个公共主管机构的代表应拥有多大权限; 例如,他们拥有现场处理登记表格的酌处权,还是仅仅代表其所在主管机构行事且必须将文件带回其所在主管机构进一步处理。 同样,还需要考虑如何说明来自不同主管机构的各位代表与一站式服务处管理人之间的问责关系。
Introducing electronic registration processes, however, otfen requires an indepth re-engineering of the way in which the service is delivered, which may  involve several core aspects of the State’s governance systems in addition to its level  of technological infrastructure, including: fnancial capability, organization and  human resources capacity, legislative framework (e.g. commercial code and company law) and institutional setting. hTerefore, States launching a reform process  aiming at the automation of the business registry would be advised to carry out a  careful assessment of the legal, institutional and procedural dimensions (such as  legislation authorizing electronic signatures or information security laws, or establishing complex e-government platforms or other ICT infrastructure) in order to  identify those areas where reforms are needed and to adopt those technology solutions that are most appropriate to their current needs and capabilities (see also  paras. 244 and 245 and rec. 58 below). In several States, only information about  registering a business is currently available online, and a functioning electronic  registry has not yet been implemented. Making information electronically available  is certainly less expensive and less diifcult than establishing an electronic registry,  and does not require any legislative reform or specialized technology. While the  adoption of a mixed registration format that combines electronic processing and  paper-based manual submission and processing might thus be an appropriate  interim solution, it does involve higher maintenance costs, and the ultimate goal  of a State should remain the progressive development of fully electronic registration  formats (see paras. 72 to 80 and rec. 12 below). B. Features of an electronic registry
67.92.
When the business registry record is computerized, the hardware and sotfware specifcations should be robust and should employ features that minimize the  risk of data corruption, technical error and security breaches.第三种方法,是一种不太常见的方法,基于设立一个单独的实体来协调企业登记职能和处理企业主必须满足的其他要求,例如,税务申报、获得必要执照以及向社会保障主管机构登记。
Even in a paper-based  registry, measures should be taken to ensure the security and integrity of the registry record, but this is more eifciently and easily accomplished if the registry  record is electronic (regardless of its method of operation, it is important for the  registry to have risk-mitigation measures in place: see paras. 233 and 234 and rec.  54 below.) In addition to database control programs, sotfware must also be developed to manage aspects such as user communications, user accounts, payment of  any required fees, fnancial accounting, computer-to-computer communication, internal worklfow and the gathering of statistical data. Sotfware applications enabling data collection would also assist the registry in making evidence-based decisions which would facilitate eifcient administration of the system (for example,  the collection of data on more frequent requests by registry users would enable  evidence-based decisions on how best to allocate registry resources). 6 When the State’s technological infrastructure is not suifciently advanced to allow the features  mentioned above to be implemented, it is nevertheless important that the sotfware  put in place be lfexible enough to accommodate additional and more sophisticated  features as they become more feasible in the future. 68. Implementing an online business registry will require defning the technical  standards of the online system, carefully evaluating the hardware and sotfware  needs of the business registry to make those standards operational in the context  of the national technological infrastructure, and deciding whether it is feasible to  develop the necessary hardware and sotfware in-house or whether it must be purchased from private suppliers.
In making that determination, it will be key to investigate whether a ready-made product is available that can easily be adapted to the  needs of the State.按照这种模式,企业主将在向企业登记处登记之后向负责协调的实体提出申请,以便在企业开始营业之前办理其他各方面的必要手续。 尽管这种方法导致增加了一个步骤,但可能对一些国家有帮助,因为这样就不必对主要负责企业登记的机构进行改组。
If different suppliers are used for the hardware and the sotfware,  it is important that the sotfware developer or provider be aware of the specifcations of the hardware to be supplied, and vice versa.另一方面,采用这种结构也可能会增加行政职能的成本,而且,只有在允许先后履行各种职能或使一站式服务处的参与者能够与其他主管机构联网以加快业务办理速度的情况下,才能缩短所需时间。 不过,从用户的角度来看,能够与单一组织打交道这种做法的优势依然存在。
69.93.
Following more recent technological advances, one option States may want  to consider is whether to rely on traditional sotfware or to move to more sophisticated applications such as cloud computing, which is an Internet-based system  that allows the delivery of different services (such as storing and processing of  data) to an organization’s computers through the Internet. hTe use of cloud computing allows for a considerable reduction in the resources needed to operate an  electronic registration system, since the registry does not have to maintain its own  technological infrastructure.不管选择用哪一种实施办法,必须强调一站式服务处并不要求设立可以监督与一站式服务处有关的所有其他主管机构的单一公共主管机构,而是需要指定由哪一个公共主管机构对单一一体化窗口享有监督权,参与一站式服务处的所有公共主管机构则保留职能上的自主权。 为了增强建立一站式服务处产生的益处,各国似宜促进参与一站式服务处的各公共主管机构之间改进技术和制度上的互操作性。 因此,可能需要理顺技术标准和规格,以便所收集和共享的信息具有类似质量并做到标准化。
However, data and information security can represent  an issue when introducing such a system and it would be advisable for States to  conduct a careful risk analysis before establishing a system exclusively based on  cloud applications.这将包括:制定适当程序,以处理各信息收集点和存放处之间的信息交流和差错通报,而不管它们位于该国的什么位置; 提供最低信息安全标准以至少确保数据交流使用安全频道(例如,使用“https”协议); 并确保数据在交换时的完整性。
70.94.
Additional aspects that States should consider when adopting an online registry include:每个企业使用独一识别码(见下文第98至105段以及建议15)、使用单一表格向每个主管机构登记和付费(另见上文第9和25段),也将有助于参与一站式服务处的各主管机构之间的互操作性。
(a) Scalability: the ICT infrastructure should be capable of handling an increasing volume of users over time, as well as traifc peaks that may occasionally arise;例如,几个法域采用了综合网上登记系统。 在这些系统中,提交的企业登记申请包括企业登记处、税务、社会保障以及可能还有其他主管机构所需的全部信息。
6 For example, “application programming interfaces” (APIs) may be adopted.一旦填写完毕,综合申请中的信息将由企业登记处传送给所有相关主管机构。
APIs have a wide variety of possible uses, such as enabling the submission of applications to the registry through simplifed procedures, for  example by pre-flling certain felds by default, or allowing users and equipping systems with the proper sotfware  to connect directly to the registry and retrieve information automatically.然后,来自其他主管机构的信息及所有必要审批被传回登记处,登记处立即将这些信息和审批发给企业。 虽然这种做法对所有企业都有利,不管其规模大小,但对中小微企业尤为可贵,因为它们可能没有必要资源应对设立企业所需满足的多个公共主管机构的合规要求。 95.
(b) Flexibility: the ICT infrastructure of the registry should be easily adaptable  to new user and system requirements, and the migration of data from one technology  to another may require data-cleansing aspects;在拥有发达的信通技术基础设施的国家,登记所涉各主管机构的职能可用一个共用电子平台实现完全整合,该电子平台由参与这项工作的某个主管机构运营,为以下各种目的提供同步登记服务,即企业登记、税务、社会保障等。
(c) Interoperability: the registry should be designed to allow (even at a later  stage) integration with other automated systems, such as other governmental authorities operating in the jurisdiction and online or mobile payment portals;在有些法域,由某个主管机构(如税务管理部门)负责企业登记,或者为履行向所有相关主管机构同步登记的职能而专门设立实体。 在另一些法域,参与登记进程的不同主管机构之间先进的互操作性已促使它们采用一种合并电子登记表格,可连同来自不同相关机构的信息预填此表格。
(d) Costs: the ICT infrastructure should be fnancially sustainable both in terms  of initial and operating costs;{§11} 在已经采用这种做法的法域,各主管机构定期进行文件传输以更新电子平台及各自的记录; 它们可直接访问共用平台并使用相同的后台系统来更新该平台;
and (e) Intellectual property rights: in order to avoid risks deriving from adverse  circumstances that might affect an owner of intellectual property rights in the technology used (for example, if the owner ceases to operate or is prohibited from  doing business with the Government), the State should always either be granted  ownership of the system or an unrestricted licence to the source code.所登记的信息由各主管机构可靠的工作人员定期进行核实。 各相关主管机构之间这种强有力的协调往往以就这些主管机构的作用和职责作出规定的监管条款为依据。 此外,在某些法域,这种集中实施和管理向相关主管机构办理登记进程的做法采用电子平台的形式,这种平台允许设立企业所涉其他主管机构与平台联网和共享关于企业的信息。
71.96.
In terms of the cost of the ICT infrastructure, the level of security needed  by an electronic registry and its cost must be carefully addressed.国家在建立一站式服务处时应当考虑的一个问题是一站式服务处的位置。
In particular, it  is important to align the risk attached to a specifc interaction (between the registry  and the business or the registry and other public authorities) with the costs and  administration required to make that interaction secure.在通常情况下,一站式服务处最好能直接与企业登记处办公点联系在一起,或者将一站式服务处设在企业登记处办公点内部,或者将登记处作为一站式服务处的组成部分。 因此,负责一站式服务处的组织与监督企业登记程序的组织可以是同一组织。
Low security may deter  parties from using electronic services (unless it is mandatory), but costly highsecurity measures could have the same effect.这一方法应考虑到此种组织是否有能力管理一站式服务处。 各法域的例子表明,如果是由行政机构等主管机构负责企业登记,则它们也拥有履行一站式服务处职能的技能。
C. Phased approach to the implementation of an electronic registry商会、政府委员会和监管机构也可以说具备这种能力。
72. hTe methods used to establish the electronic registry system should be consistent with the reforms required as they can determine the success or the failure  of the initiative.有些国家的企业登记由司法机构实施行政监督,也有这些国家采用一站式服务处办法的例子。 97. 尽管一站式服务处未必需要修改国内立法,但这些机制的运行必须具有法律效力,这可能需要修改现行法律以适应这种新的结构和处理方法。
Moving directly to a full online solution before re-engineering  business registry processes would be a mistake in many cases, as the solutions  designed would not be able to capture the technology’s full benefts.例如,一站式服务处的有效运作可能需要关于公共主管机构收集信息以及这些主管机构之间交流信息的条款。 因此,需作修改的程度随着各国的不同需要以及向设立企业必须涉及的公共主管机构办理登记的系统的结构而各不相同。
Moreover,  subject to the level of development of the implementing State, factors such as the  existence and quality of the infrastructure and literacy rates (including computer  literacy) of the intended users should be carefully considered before the adoption  of an online registry.例如,在几个国家,通过一站式服务处增进企业登记处、税务和社会保障主管机构之间的互操作性可能必须考虑到这样的事实,即虽然向税务和社会保障主管机构办理登记通常是强制性的,但向企业登记处办理登记可能是自愿的。 此外,各国应当确定如何为一站式服务处供资:目标应当是确保广大用户可以获得服务,同时使一站式服务处可以保持较低的维护费用和保持财务可持续性。
For example, States may have to deal with a non-existent or  weak ICT infrastructure, lack of dependable electricity supplies and Internet connectivity, and low literacy rates, which may have a disproportionate effect on  women (see also para. 172 below) and businesses in rural areas.最后,应当为一站式服务处配备训练有素的工作人员,并由负责监督的主管机构根据用户反馈情况定期监测其表现。 建议14:企业登记与向其他主管机构登记的一站式服务处 法律应当确立企业登记与向其他公共主管机构登记的一站式服务处,包括指定由哪个公共主管机构监督该单一窗口的运作。
该窗口: (a) 可以由电子平台或实体办公点组成; (b)
In these instances,  technical and capacity-building assistance programmes coordinated by international organizations might be necessary in order to progress towards the goal of a  fully automated electronic registry. 73. In locations where digital access is not extensive, a phased approach may be  an appropriate way forward. Automation would start with the use of simple databases and worklfow applications for basic operations, such as name searches or the  sharing of information with other public authorities, and then would progress to  more sophisticated web-based systems that would enable customers to conduct  business with the registry entirely online. hTese web-based systems could be quite  convenient for smaller businesses operating at a distance from the registry, provided that those entrepreneurs were able to access the system. hTe fnal phase of  the approach would be to accommodate ICT interoperability between those  authorities involved in business registration. 74. hTe simplest approach for States beginning their activity in this area would  be to develop a content-rich website that consolidates registration information,  provides downloadable forms, and enables users to submit feedback. hTis simple  resource would allow users to obtain information and forms in one place and would  make registries more eifcient by enabling users to submit inquiries through designated electronic addresses before going to registry oifces with the completed  forms.
Since this solution does not require a stable Internet connection, it may  appeal to States with limited Internet access.应当确保尽可能多的主管机构的服务相互连通,包括但不限于企业登记处、税务和社会保障主管机构;
75.(c)
If only limited Internet bandwidth is available, automating front-counter and  back-oifce operations prior to moving online would be a suitable approach.应当允许相互连通的主管机构之间共享关于企业的信息,允许使用单一的综合申请表向这些主管机构登记和付款,并允许使用独一识别码。
G. 使用独一识别码 98.
If the  registry has sub-oifces outside its main location (for example, in rural areas), it  would be important to establish a dedicated Internet connection with them (see  para. 61 above). hTis approach would require entrepreneurs to visit the registry,  but it would establish a foundation on which the registry could later develop a  more sophisticated web platform.在企业必须向其登记的公共主管机构各自独立运作的法域,这一程序导致系统、流程和工作重复并非罕见。 这种做法不仅费用昂贵,而且还容易出错。 另外,如果每个主管机构为其所登记企业分配登记编号,该编号的使用和唯一性仅限于分配编号的主管机构,则这些主管机构之间的信息交流需要每个主管机构对其他主管机构采用的不同识别码进行映射操作。
A key factor at this basic stage would be for the  system to be able to digitize historical records and capture key information in the  registry, such as the names of members or owners and directors of the business.99. 希望促进不同主管机构之间高度整合以减少程序重复并便利相关公共主管之间信息交流的国家,不妨考虑最近几年为促进机构间合作而开发了一些工具。 例如,一个国际组织开发的一种网上系统能够在最低程度改变或者完全不改变各参与主管机构内部程序或其计算机系统的情况下,为参与企业登记的各公共主管机构提供互操作性。
76.100.
Platforms that enable businesses to apply and pay for registration online as  well as to fle annual accounts and update registration details as operations change  can be developed once the State’s technological capacity and rate of digital access  allows. With regard to online payment of a registration fee, it should be noted that  ICT-supported solutions would depend on a State’s available methods of payment  and on the regulatory framework that establishes the methods of payment that a  public authority can accept. When the jurisdiction has enacted laws that allow for  online payment, the most eifcient option is to combine the fling of the electronic  application and the fee payment into one step. Error checks should be included in  ICT systems that incorporate this facility, so that applications are not submitted  before payments are completed and registry oifcials can see payment information  along with the application. When fee payment is required before registration of  the business, this constitutes a separate procedural step and the use of ICT solutions in order to be user-friendly would require streamlining the procedures  for fling the application and for payment (see also para. 70 (c) above).
In some  States, the use of mobile payment systems might permit easier and more effective  methods of payment for registration and other related fees.一些国家采用一种更为复杂的做法,从而大大改进了在企业整个寿命周期内的信息交流。 这种做法以所涉主管机构加强技术和体制上的互操作性为基础(例如,不同信通技术基础设施交换和解读数据的能力;
In such cases, the same  considerations involved in establishing online payments (e.g. enacting appropriate  laws, as well as designing eifcient options to combine mobile payments and the  fling of registration documents) should be applied in order to develop eifcient  solutions appropriate to the use of mobile technology.或语义学上的互操作性—见下文第110和111段),需要使用独一识别码,将信息与特定企业联系起来,并允许在企业与企业登记处、税务和社会保障主管机构以及其他主管机构和可能还有私人机构互动时,其身份能够被独一无二地识别出来。
77.101.
As noted above (see para. 66), when introducing electronic registries, States  should adopt legislation that facilitates the implementation of these electronic solutions, although the obligation to use such solutions should be considered only  when the various stakeholders concerned with the registration process (including  the registrant, public authorities, and other relevant authorities) are prepared to  comply.独一识别码由一组字符(数字或字母加数字)构成,将已登记企业彼此区别开来。 在创建独一识别码时,似宜在识别码的结构中保留一些灵活性(例如,允许在稍后阶段向识别码添加新的字符),使得识别码可轻易适应国家或国际范围新系统的要求,或同时适应两者的要求。 独一识别码通常由要求企业向其登记的主管机构分配,并且在该企业存续期间{§12} 或者注销之后不会被重新分配。
Furthermore, when developing such laws, States should take into account  that while certain legal requirements can be checked electronically, the most complex aspects of the process may need to be addressed by a registry oifcial.对该企业,所有公共主管机构(可能还有私人机构)都使用相同的独一识别码,这使得能够共享与该特定已登记企业有关的信息。 另外,独一识别码意在取代任何此类主管机构(和私人机构)用来指代一个企业的所有其他登记号或识别号。 {§13}
78.102.
Enacting States should also be aware that establishing an electronic business  registry requires a well-designed body of law that promotes simplicity and lfexibility and avoids, to the greatest extent possible, discretionary power and the making  of exceptions (see paras. 28 above and 147 and 231 below).已采用独一识别码的国家的经验已经证明了这种工具很有用。 如上文所指出,它们使所有政府主管机构能够轻易地识别新企业和现有企业,核实与这些企业有关的信息。 另外,使用独一识别码还提高了企业登记处所收录和其他相互连通的主管机构的记录中信息的质量,因为识别码确保信息与正确的实体联系起来,即使其身份属性(例如,企业的名称、地址和类别)有所改变。
For example, provisions requiring the interpretation of the content of documents and the collection  of various pieces of information are diifcult to adapt to electronic processing;另外,独一识别码还防止出现故意或非故意为企业分配相同身份的情形; 这一点可能在为法人实体提供经济利益或涉及对第三方的赔偿责任的情况下特别重要。
the  same applies to granting authority to the registrar to establish fees for the services  of the registry and establishing a complex structure of rules and exceptions.还发现独一识别码会为企业带来好处,因为它们会大大简化企业的行政管理程序:企业主不必管理来自不同主管机构的不同识别码,也不需要向不同主管机构提供相同或类似的信息。
79.103.
When a State has developed the ICT infrastructure necessary to achieve full  business registry automation, it could be integrated with other online registration  processes for taxation, social security and other purposes (for sharing of protected  data between public authorities, see para. 114 below).国家在引入独一识别码时可能不得不考虑的一个问题是,个体企业没有独立于其所有人的法律地位。 在这类情况下,税务、社会保障或其他主管机构可能更愿意信赖个人(可能是自然人)的识别码,而不太愿意信赖企业识别码。 不过,国家也可选择为个人独资企业主分配单独的识别码,既作为企业身份,又作为个人身份。
Even if no integration with  registrations required by other public authorities is built into the system, it would  nevertheless be advisable that States implement data interchange capabilities so  that the relevant business information could be shared across public authorities  (see paras. 70 (c) above and 93 below).104. 也可能会出现同一法域内不同主管机构根据企业的特定法律形式而向企业分配识别码的情况。 因此,为了避免出现不同公共主管机构向同一家企业分配多个独一识别码的情况,各国应考虑采取核查制度。
A fnal improvement would be the development of mechanisms for disseminating value-added business information products to interested parties;如果通过法域内单一数据库分配识别码,则大大减少了向同一家企业分配若干识别码或若干企业收到相同识别码的可能性。 105. 彻底采用不需要人工干预的电子解决方案促进了对独一识别码的有效使用。
such products could substantially contribute to the  fnancial sustainability of the registry (see paras. 190 and 191, and 195 below).不过,电子解决方案不是采用独一识别码的强制前提条件,因为独一识别码也能在纸质环境中有效发挥作用。 如果将独一识别码与网上登记系统联系起来,所采用的解决方案必须适合现有技术基础设施。
80.1.
One issue that would likely arise when the online registry is able to offer  fully lfedged electronic services would be whether to abolish any paper-based submission of information or to maintain both online and paper-based registration.独一识别码的分配 106. 使用独一识别码需要所涉各主管机构之间开展持续的合作与协调,并且需要明确界定各自的作用和责任,还需要公共部门与企业部门之间的信任与协作。
In  many jurisdictions, registries choose to have mixed solutions with a combination Chapter III.因为采用独一识别码本身不会妨碍公共主管机构要求企业提供其他主管机构已经收集到的信息,各国应当确保与此有关的任何改革进程都首先从参与这一进程的所有利益攸关方都对改革目标有明确和共同的理解开始。
Operation of the business registry 33of electronic and paper documents or electronic and manual processing during  case handling. hTis approach may result in considerable cost for registries, since  the two systems require different tools and procedures.另外,各国应当确保就改革做出强有力的政治承诺。 理想的情况是,潜在伙伴至少应当包括企业登记处、税务和社会保障主管机构,可能的话还包括统计部门、养老基金和任何其他相关主管机构。 如果这些利益攸关方之间难以达成协议,则至少企业登记处、税务和社会保障主管机构应该参与进来。
Moreover, if this option is  chosen, it is important to establish rules to determine the time of registration  between electronic and paper-based submissions.关于其他主管机构正在使用的以及企业部门内部正在使用的识别码的信息也是改革的前提条件,因为需要进行一次全面评估,以查明所有利益攸关方的需求。 107.
Finally, paper applications must  be processed in any case, so that the information included in a paper document  can be transformed into data that can be processed electronically;为了允许引进独一识别码,法律应该包括有关若干问题的条款,其中包括: (a) 确定负责分配独一识别码的主管机构;
this can be done  by scanning the paper-based application for registration (possibly using optical  character recognition technology so as to make the scanned document electronically searchable).(b) 在向设立企业所涉主管机构进行登记之前或之后马上分配独一识别码; (c)
However, in order to ensure that the record made by scanning  correctly represents the paper application, the registry will likely have to employ  staff to check that record, thus adding a step that increases costs and reduces the  benefts of using an online system.列出与识别码有关的信息,至少包括企业的名称、地址和类型; (d) 各公共主管机构使用独一识别码和相关信息的法律授权以及对要求企业提供信息的任何限制;
D. Other registration-related services supported by ICT solutions(e) 公共主管机构和私人部门对已登记信息的获取;
81.(f)
Automation should enable the registry to perform other functions in addition  to the processing of applications.在所涉公共主管机构之间交流关于企业登记和修订的信息; (g) 交流关于注销已停止运营企业的信息。
2. 独一识别码的实施 108.
Where States require user-friendly electronic fling and pre-populated forms, 7 for example, it can assist businesses in the mandatory fling of periodic returns and annual accounts.采用独一识别码通常需要有一个将企业与所有相关公共主管机构联系起来的中央数据库,而且这些主管机构的信息和通信系统必须能够互操作。
Electronic fling and automated  checks also help reduce processing time by the registry.如果国家的技术基础设施不够先进,这一要求可以是实施方面的主要障碍。
82.109.
Electronically supported registration could also assist the registry with deregistration procedures (see paras. 223 to 225 and rec. 50 below).各国可通过两种方式之一引入独一识别码。 若采取第一种方式,企业登记是第一步,其中包括分配一个独一识别码,向参与登记进程的其他主管机构(例如,税务和社会保障主管机构)提供该识别码,这些主管机构再次使用该识别码。
Such procedures  usually require an oifcial announcement that a business will be deregistered. hTe  use of ICT can provide for the automation of such announcements, from initiating  the process to producing a standard notice, thus helping registries to ensure that  businesses are not deregistered before any time limit has elapsed and to reduce  processing time.若采用第二种方式,分配独一识别码是这一进程的开始。 独一识别码和所有相关信息随后提供给包括企业登记处在内企业登记所涉各主管机构,然后被所有主管机构再次使用。 受托分配独一识别码的主管机构可选择这两种方式中的一种,不管该主管机构为企业登记处、各公共主管机构共用的一个设施,还是税务主管机构。
In order to be fully effective, however, adoption of an electronic  registry needs to be supported by streamlined procedures that enable the deregistration of businesses in a simplifed and quick way.颁布国应确定独一识别码的格式以及哪个主管机构有权分配这一代码。 110. 引入独一识别码通常既要求公共主管机构在信息处理和存档方面作出调整,又要求企业在与公共主管机构或其他企业通信时作出调整。
83.独一识别码要求转换现有识别码;
Further, ICT solutions could be applied to assist in the fling of fnancial  information in machine-readable format (such as extensible Business Reporting  Language, or XBRL).这可通过各种方式来完成。 在设计新的识别码时,往往使用税务识别码作为起点,因为税务主管机构的记录涵盖大多数类型的企业,并且往往保持更新。 也有不引入全新的号码,而是保留税务编号作为企业的独一号码的实例。
For example, a platform could be provided to assist in the  conversion of paper-based fnancial statements to XBRL format.也可根据一国的登记程序,利用其他技术创建新的识别码。 在这种情况下,一旦分配了新的号码,每个企业必须核实相关识别信息,比如,名称、地址和活动类型等。
Machine-readable111.
7 Pre-populated forms allow selected felds to be automatically flled based on information previously provided by the registrant or maintained in their user account.不同主管机构所用的信通技术系统的互操作性可能是引入独一识别码的一个主要障碍。 不过,不同信息技术基础设施交换和解读数据的能力只是各国应该考虑的互操作性的一个方面。
When changes in the registrant’s information occur, the  registrant is not required to fll out the entire form again, but only to enter the relevant changes.另一个问题是语义学上的互操作性问题,这个问题也有可能对所涉主管机构之间以及相关主管机构与私营部门用户之间成功进行信息交换构成严重威胁。
Information  included in the pre-populated form is stored and may be made accessible to and exchangeable with other relevant  authorities.出于这一原因,必须确保在整个进程中理解并保持被交换信息的准确含义,并确保向所涉及的所有利益攸关方提供语义学描述。
fnancial data facilitates the aggregation and analysis of fnancial information, which  could be of signifcant value to users of the registry.因此,用于确保互操作性的措施需要国家在两个层面采取行动:一方面,要商定共用定义和术语; 另一方面,要制定适当的技术标准和格式。 这种做法应该基于参与这一进程的所有各方之间对法律基础、责任和程序的共同理解。
84.3.
Solutions using ICT could also support follow-up and enforcement procedures  of business registries when businesses fail to comply with registration requirements.企业登记处之间跨境交流信息 112. 各国越来越深入地认识到改进登记处之间跨境交流数据和信息的重要性,现在,随着信通技术开发方面的持续进步,已能够处理这方面的问题。
In one jurisdiction, for example, the back-oifce system of the registry monitors the  records of businesses and detects whether certain circumstances suggest that the  business is not in compliance with statutory requirements.{§14} 采用独一企业识别码,使不同公共主管机构能够彼此交换企业相关信息,这不仅在国家一级,而且在国际背景下,都具有重要意义。 独一识别码使得不同国家的企业登记处之间以及不同国家的企业登记处与公共主管机构之间可以开展更加高效的跨境合作。
An automatic notice to  the business is then produced in order for it to remedy the situation.实施跨境数据和信息交流可以为消费者,为现有或潜在商业伙伴,包括提供跨境服务的小型企业,以及为企业的潜在资金来源,提供更可靠的信息(见下文第196和197段及建议40)。
Should the  business fail to do so within the statutory deadline, the ICT solution starts a new  procedure to forward the case to the district court, which may make a decision on  the compulsory liquidation of the business.113. 因此,进行改革以期理顺企业登记的国家不妨考虑采取未来会便利不同法域的登记处之间进行此种信息交流的解决办法,并与已经实施各种办法使得能够进行此种互操作的国家进行磋商。 {§15} 一项此类改革可能包括确定企业前缀系统,使企业的法律形式可以跨越国际和其他边境而立即得到识别。
Upon issuing an order for compulsory  liquidation, the court notifes the registry, which then deregisters the business.建议15:使用独一识别码 法律应当规定向每个被登记企业分配一个独一识别码,独一识别码:
(a) 由一组数字或字母加数字字符构成; (b) 是得到该识别码的企业所独有的; (c)
Recommendation 12: Operation of the business registry hTe law should provide that the optimal operation of an eifcient business registry  is electronic.始终保持不变,在企业被注销之后不被重新分配。 建议16:独一识别码的分配 法律应当明确规定,独一识别码的分配应由企业登记处在对企业进行登记时或由指定的主管机构在登记之前进行。
Should full adoption of electronic services not yet be possible, such an  approach should nonetheless be implemented to as great an extent as permitted by  the current technological infrastructure of the enacting State, as well as its institutional framework and laws, and expanded as that infrastructure improves.在任一种情况下,独一识别码随后应向参与企业登记并共享与该识别码相关联信息的所有其他公共主管机构提供,并应在有关该企业的所有官方通信中使用。 建议17:独一识别码的实施 法律应当确保,采用使用独一识别码的系统时:
E. Electronic communications and electronic authentication methods(a) 企业登记处和共享与该识别码相关联信息的其他公共主管机构的技术基础设施之间具有互操作性;
85.(b)
As noted above (see, for example, paras. 66 and 76), an eifcient electronic  business registry system should allow users to submit and receive documents in  electronic format, to sign electronically when transmitting information or requests  to the registry and to pay online for business registry services (see also para. 205  below and rec. 44). hTerefore, as a preliminary step, appropriate domestic law  should be in place to regulate all such matters (see also paras. 77 and 78 above). States that enact legal regimes on electronic communications, electronic signatures  or other means of identifcation and authentication may wish to consider the legislative texts prepared by UNCITARL to govern electronic transactions. 8 Such texts establish the principles of technological neutrality and functional equivalence (see  also paras. 244 and 245 below) that are needed to ensure equal treatment between 8 Such texts include: the UNCITARL Model Law on Electronic Commerce (1996); the UNCITARL Model Law on Electronic Signatures (2001) and the United Nations Convention on the Use of Electronic Communications in International Contracts (2005).
For further information, see www.uncitral.un.org electronic and paper-based communications;现有的识别码与独一识别码相关联或被独一识别码取代。 H. 公共主管机构之间共享受保护数据
they also deal extensively with provisions covering the issues of legal validity of electronic communications and  signatures, 9 authentication, and the time and place of dispatch and receipt of elec tronic messages.114. 采用独一识别码系统虽然便利公共主管机构之间共享信息,但敏感数据和隐私也必须得到保护。 因此,一个国家要在不同主管机构之间实现互操作性,就应当解决各公共主管机构如何共享与个人和企业有关的受保护数据,以便数据所有者的权利不受侵犯。
10 Because of the way these texts, and other UNCITARL legislative texts, are negotiated and adopted, they offer solutions appropriate to  different legal traditions and to States at different stages of economic development.这样一来,各国应当确保公共主管机构之间所有信息共享符合适用法律,该法律应确立允许此种共享的条件。 此外,法律应当明确确定涉及哪些公共主管机构、所共享的信息和共享的目的,并确定应当通知数据所有者其受保护数据可能在公共主管机构之间共享的目的。
Furthermore, domestic legislation based on the UNCITARL texts on electronic  commerce will greatly facilitate cross-border recognition of electronic communications and signatures.信息共享应以以下原则为基础,即只可以共享实现公共主管机构的目的所必需的最低限信息,并已采取适当措施保护企业的隐私权。
Recommendation 13: Electronic communications and electronic authentication methods在制定关于公共主管机构之间共享受保护数据的适当法律或政策时,各国必须考虑这些公共主管机构之间的互操作性。
(a) Permit and encourage the use of electronic communications as well as of  electronic signatures and other identifcation methods;建议18:公共主管机构之间共享受保护数据 法律应当规定公共主管机构之间根据独一识别码系统共享受保护数据的条件。 贸易法委员会企业登记处关键原则立法指南
第四章.企业登记 四. 企业登记 A. 登记处审查的范围
and115.
(b) Regulate such use pursuant to principles whereby electronic communications and signatures are functionally equivalent to their paper-based counterparts  and cannot be denied legal validity or enforceability for the sole reason that they are  in electronic form.企业登记的方法因国家而异,有些国家倾向于减少监管并依靠规范企业行为的法律,而有些选择事先筛选企业,然后才允许其登记(另见上文第54段)。 在这方面,旨在改革其企业登记处的国家必须首先决定采用哪种办法,以确定登记处需要开展审查的范围。
F. A one-stop shop for business registration and registration with other authorities因此,国家可以选择采用登记处只记录登记人向其提交的信息这样一种系统,也可以选择采用要求登记处开展法律核查并决定企业是否符合登记标准这样一种系统。
86.116.
As discussed above (see paras. 3, 25 and 57), before a business may operate  in the formal economy, it is otfen required to register with several different public  authorities in addition to the business registry. hTese additional authorities otfen  require the same information that has already been gathered by the business  registry.选择事先核查法律要求和授权之后才允许企业登记的国家(称作“审批制”)通常采用司法机构监督下的登记程序,其中公证人和律师等中介发挥关键作用。 另一些国家将其企业登记系统构建为申报制,设立企业不要求获得事先批准,登记是一种行政程序。 在此类申报系统下,登记由一个政府部门或主管机构监督,该部门或主管机构可以选择自行运作企业登记处,或采取其他安排。
Entrepreneurs must otfen personally visit each authority and fll out multiple forms.还有些国家没有明确归于任何一类,核查的程度和类别以及司法监督的程度有所差异。
Taxation and social security authorities are usually involved in this  process;117. 审批制和申报制各有益处。 审批制意在通过在登记前预防错误或遗漏来保护第三方。
other administrative oifces and institutions, specifc to each jurisdiction,  may also be involved. hTis otfen results in multiple procedures governed by法院和中介实施正式审查,并在适当情况下,也对企业登记的前提条件进行实质性审查。 另一方面,据说申报制可以减少裁量权的不当行使;
9 hTe principle of “technological neutrality” means that the provisions of the law are ‘neutral’ and do not depend on or presuppose the use of particular types of technology and can be applied to generation, transmission  or storage of all types of information. hTe principle of “functional equivalence” establishes the criteria under which  electronic communications and electronic signatures may be considered equivalent to paper-based communications  and hand-written signatures.另外,申报制可能会减少登记人的费用,因为不需要雇用中介,而且运营费用似乎更低。 据说一些系统可以兼有申报制和审批制的益处,因为这种系统将设立企业所需满足要求的事先核查与法院和中介发挥较少作用相结合,从而简化了程序,缩短了处理时间。 B.
According to the principle of “legal validity” communications and signatures cannot  be denied legal effect, validity or enforceability on the sole ground that they are in electronic form.关于如何办理登记的信息的可获取性 118. 为使企业登记处能够促进商业伙伴、公众和国家之间的贸易和互动,应当向希望办理登记的企业和希望查询关于企业登记处的信息的感兴趣用户提供访问企业登记处服务的便捷方式。
10 hTis is an aspect that may be relevant due to the time sensitivity of certain submissions, such as establishing the exact time and place at which a business has been registered.119. 许多微型企业可能不了解登记的程序或登记费用:它们常常高估了所需的时间和费用,即使在登记程序已经简化之后。
different laws, duplication of information and lack of ownership or full control of  the process by the authorities involved.应当提供容易检索的登记程序信息(例如,完成登记所需步骤清单; 必要的联系方式; 所需数据和文件;
Moreover, the entire process can require  weeks, if not months.预期结果; 程序所需时间; 提出申诉的方法;
87. hTe establishment of one-stop shops has thus become one of the most popular  reforms to streamline business registration in recent years.以及可能的法律追索),包括关于一站式服务处(如有的话)所带来好处的信息(另见上文第86至97段和建议14)以及相关费用信息。
One-stop shops enable  entrepreneurs to receive all of the information and forms (possibly integrated forms  for registration and payment with all of the authorities in the one-stop shop) they  need in order to complete the necessary procedures to establish their business  through single outlets rather than having to visit several different public authorities.这种做法可以降低合规成本,并使申请结果更具可预测性,从而鼓励企业主办理登记。 另一方面,如果限制对这些信息的获取,则可能需要与登记处官员见面,以获知登记要求,或需要中介参与,以推进登记程序。
88.120.
Beyond this general description, the scope of one-stop shops can vary according to the services offered.在拥有发达的信通技术基础设施的法域,有关登记程序和文件要求的信息应当可以在登记处网站或监督登记程序的公共主管机构的网站上查阅。
A common function is registration with the business  registry and taxation authorities, although there are also examples of one-stop shops  dealing with registration for social security and statistical purposes and with obtaining the required licences from municipal and other authorities.而且,还应当提供通过登记处指定电子地址、电子联系表格或客户服务电话与登记处人员进行直接联系的可能性。 如下文所述(见下文第194和197段),各国应当考虑网站上的信息,除官方语文和当地语文外,是否应当以一种外国语文提供。 拥有一种以上官方语文的国家应当按照国家的语文法(如有的话),以所有官方语文提供信息(另见下文第133至135段)。
In some cases, onestop shops assist entrepreneurs not only with business licences and permits but also  with investment, privatization procedures, oifcial diaries and journals, intellectual  property and import-export registries, tourism-related issues and State-owned property management, and may provide access to utilities and banking services.121. 不过,先进技术的缺乏不应当妨碍信息的获取,因为可以通过其他手段确保信息获取,例如在相关机构的房地上张贴留言或通过公告而传播。 例如,在有些法域内,要求企业登记处办公点在门口设置大型标牌,说明其程序、时间要求和费用。
89. hTe functions of one-stop shops can be carried out through physical oifces  or an electronic platform.在任何情况下,都应当免费向办理登记的企业提供信息。 122. 同样重要的是向登记处的潜在用户提供明确的信息,说明登记的流程,以及向公众提供企业登记处信息的情况。
Physical premises, when located in rural areas, are particularly appropriate for businesses with limited access to municipal centres;例如,这一点可通过传播指引和教程(最好采用印刷本和电子本两种形式)和通过面对面提供信息和提供培训课程来实现。
so,  too, are mobile oifces, particularly in places that are too remote for States to have  physical premises.例如,在一些国家,介绍登记系统的潜在用户利用当地教育机构或专业协会提供的一些课堂或电子学习机会。 建议19:关于如何办理登记的信息的可获取性
In addition to physical premises, online business registration can  be offered as an option available for registering a business.法律应当要求登记官确保关于企业登记程序和任何适用的费用的信息广泛公布、容易检索并可免费获得。 C. 允许或要求办理登记的企业
Online one-stop shops  take advantage of solutions supported by ICT, which allow for the rapid completion of several formalities due to the use of dedicated sotfware.123. 企业登记的主要目标之一是允许所有规模和法律形式的企业都能够更加为市场和公众所知。 这一目标在帮助中小微企业有效地参与经济并利用国家用来帮助这些企业的现有方案方面尤为重要。
Such online portals  may provide a fully interconnected system or may still entail separate registration  in respect of some requirements, for example, for taxation services.各国应当允许所有规模和法律形式的企业在适当的企业登记处办理登记,或是创建一个单一的企业登记处,专门办理各种不同规模和不同法律形式企业的登记。
90.124.
When establishing one-stop shops, in particular those performing functions  in addition to business registration, States can choose among different approaches.各国还必须界定,根据适用法律,哪些特定法律形式的企业必须办理登记。 在一些法律传统中,通常要求所有企业全部办理登记,包括个人独资企业和专业人员; 在另一些法律传统中,某些企业,通常是最小的企业,因为其规模和法律形式而不必办理登记;
One form of one-stop shop is the so-called “one window” or “one table” version,  which offers a high level of integration of the different authorities involved in the  establishment of a business.还有一些法律传统中,只要求公司和类似实体(具备法律人格和承担有限责任)办理登记。 后一种做法可以使类似合伙企业和个人独资企业的企业免于强制性登记。 然而,这些制度也存在差异,一些法域允许本来并非必须办理登记的企业自愿办理登记,如个体商人和专业协会。
In this case, the one-stop shop combines the process  for obtaining business and other registrations with public authorities, such as for  taxation and social security, with other arrangements, like publishing the registration in a national gazette or newspapers, when required.125. 允许本来并非必须在企业登记处办理登记(但可能必须向其他公共主管机构办理强制性登记,如税务和社会保障)的企业向企业登记处登记,使这些企业能够从国家、该登记处和其他实体提供的多种服务中受益,包括保护企业或商号、便利获得信贷、获得更多的增长机会、进一步为公众和市场所知。 无论如何,将个人资产与企业专用资产分离或限制企业所有人的责任总是需要登记的。
All relevant documents  are submitted to the one-stop shop administrator who is authorized, and properly  trained, to accept them on behalf of the various public authorities involved.不过,法律也应当针对自愿在企业登记处办理登记的企业规定登记义务(例如,及时提交定期报告书、更新已登记信息、所提交信息的准确性)以及对违背这些义务的适当处罚,以确保采取的办法与针对必须办理登记的企业规定的制度相一致。
Documents are then dispatched, electronically or by hand or courier, to the competent authority for processing. hTis type of one-stop shop requires detailed coordination  between the different public authorities, which must modify their procedures to  ensure an effective lfow of information.126. 即使企业登记是自愿的,仍可能证明会给中小微企业带来沉重负担,这种负担超出了企业作为已登记企业能够获得的益处,因而妨碍登记。 一些法域进行了改革,通过降低登记费用(见下文第199至201段以及建议41)和消除行政障碍来简化登记程序。
A memorandum of understanding between  the key authorities involved may be needed in order to establish the terms in  respect of the sharing of business information.无论如何,国家应采取特别适合小微企业需要的政策,向它们传达登记的益处,包括专门为中小微企业提供的激励措施,以此鼓励这些企业办理登记。 建议20:允许或要求办理登记的企业
In some cases, taking such an  approach may also require a change in legislation.法律应当明确规定: (a) 要求哪些法律形式的企业办理登记;
91.(b)
Another form of one-stop shop is the “one door” approach, in which representatives of different public authorities involved in registration are brought  together in one physical place, but the registrant must deal separately with each  representative (for example, the business registry oifcial dealing with the approval  of the business name, the clerks checking the documents, and the taxation oifcial),  although the different authorities liaise among themselves. As may be apparent,  this solution is relatively uncomplicated and would normally not require any  change in law or ministerial responsibilities, but it would involve establishing effective cooperation between the different government ministries. One issue States  should consider when opting for this approach would be how much authority the  representatives of each public authority should have; for example, whether they  would have the discretion to process the registration forms on site or simply be  acting on behalf of the authority they represent and be required to take the documents to their home authority for further processing. Similarly, it is also important  to consider clarifying the lines of accountability of the various representatives from  the different authorities to the administrator of the one-stop shop.
92.允许所有规模和法律形式的企业办理登记。
A third approach, which is less common, is based upon the establishment of  a separate entity to coordinate the business registration function and to deal with  other requirements that entrepreneurs must meet, such as making tax declarations,  obtaining the requisite licences, and registering with social security authorities. Pursuant to this model, the entrepreneur would apply to the coordinating entity  atfer having registered with the business registry in order to fulfl the various additional aspects of the procedures necessary prior to commencing business operations. Although this approach results in adding a step, it could be useful in some  States since it avoids having to restructure the bodies with the main liability for  business registration. On the other hand, the adoption of such a structure could  involve an increase in the cost of the administrative functions and may only reduce  time frames to the extent that it allows the various functions to take place successively or enables participants in the one-stop shop to network with the other  authorities to speed up their operations. From the user’s perspective, however, the  advantage of being able to deal with a single organization remains.
93.D.
Regardless of the approach chosen for implementation, it is important to  emphasize that a one-stop shop does not require the establishment of a single  public authority with oversight of all of the other authorities related to the one-stop shop. Instead, it involves designating which public authority has oversight of the  single integrated interface, while all of the public authorities participating in the  one-stop shop retain their functional autonomy. In order to enhance the benefts  deriving from the establishment of a one-stop shop, it would be desirable that  States facilitate improved technical and institutional interoperability among the  public authorities participating in the one-stop shop. It may thus be necessary to  streamline technical standards and specifcations so that the information collected  and shared is of similar quality and of a standardized nature. hTis will include:  establishing appropriate procedures to handle the exchange of information and  communication of errors between the various collection points for and repositories  of the information, regardless of their location within the State; providing minimum information technology security standards to ensure, at least, secure channels  for data exchange (for example, the use of “https” protocols);
and ensuring the  integrity of data while it is being exchanged.登记所要求的最低限信息 127. 企业办理登记必须满足某些信息要求;
94. hTe adoption of a unique identifer for each business (see paras. 98 to 105  and rec. 15 below) and a single form for registration with, and payment of fees to,  each authority (see also paras. 9 and 25 above) will also contribute to interoperability among the authorities participating in the one-stop shop.这些要求由国家确定。 要求的信息通常根据登记企业的法律形式不同而有所不同——例如,个人独资企业和简易企业实体可能需要提交与其业务相关的相对简单的具体信息(如果需要提交的话),而公众有限责任公司和私人有限责任公司等企业需要提供更复杂、更详细的信息,这取决于有关这些类别的企业的法律所规定的要求。
For example, several  jurisdictions have adopted integrated online registration systems in which an application submitted for business registration includes all of the information required  by business registry, taxation, social security and possibly other authorities.虽然根据适用法律,对各种法律形式的企业的登记要求各有不同,但是可以说,大多数国家对许多企业都有一些共同的要求,这些要求既涉及初始登记程序,又贯穿企业的整个寿命周期。 128. 对于登记所有法律形式的企业提出的一般性要求可能包括与企业及其登记人相关的信息,例如:
(a) 企业的名称; (b)
Once  completed, the information in the integrated application is transmitted by the business registry to all relevant authorities.认为企业可以收取信件的地址(这种地址可以是“送达地址”,不一定是登记人或企业管理人的居住地址); (c) 登记人的姓名和具体联系方式;
Information and any necessary approvals  from the other authorities are then communicated back to the registry, which  immediately forwards the information and approvals to the business. While this is  benefcial for all businesses, regardless of their size, it is particularly valuable for  MSMEs, which may not have the resources necessary to cope with the compliance  requirements of multiple public authorities in order to establish their business. 95. In States with developed ICT infrastructures, the functions of the authorities  concerned with registration may be fully integrated through the use of a common  electronic platform which is operated by one of the authorities involved and provides simultaneous registration for various purposes, namely business registration,  taxation, and social security, etc. In some jurisdictions, an authority (such as the  tax administration) is responsible for the registration of businesses, or ad hoc entities have been set up to perform simultaneous registration with all relevant authorities. In other jurisdictions, advanced interoperability among the different authorities  involved in the registration process has resulted in a consolidated electronic registration form that can be pre-populated
11 with information from the different authorities concerned.(d) 获授权代表企业签字或担任企业法定代理人的个人的身份; (e)
In jurisdictions where this approach has been developed,办理登记企业的法律形式,以及如已分配独一识别码的话,企业的独一识别码(见上文第106和107段)。 129.
11 For details on pre-populated forms, see footnote 7, supra. authorities perform regular fle transfers to update the electronic platform as well  as their own records;办理登记可能需要的其他信息,依登记处所在的法域和办理登记的企业的法律形式,可能包括: (a) 企业关联人的姓名和地址,可能包括该企业的管理人、董事和高级职员的姓名和地址;
(b) 规范企业的组织或管理的规则; (c) 与企业资本化有关的信息。 130.
they have direct access to the common platform and use the  same back-oifce systems to update it;企业登记处可以请求提供关于登记人和企业其他关联人的性别认同、族裔或语言群体的信息,但提供此类信息不应作为登记的一项要求。
and the information registered is regularly  verifed by trusted staff of the authorities.不过,应当指出,虽然此类信息可能在统计上具有重要意义,尤其是考虑到可能实施一些国家方案以支持代表性不足的群体,但收集这类信息可能引起隐私问题。
Such strong coordination among the  relevant authorities is otfen based on regulatory provisions that allocate roles and  responsibilities among those authorities.因此,只应请求在自愿基础上提供这类信息,将其作为受保护数据处理,如果对外提供的话,只在统计基础上提供。
Moreover, in certain jurisdictions such  integrated delivery and governance of the registration process with the relevant  authorities takes the form of an electronic platform that allows other authorities  involved in the establishment of a business to connect to the platform and share  information on the business. 96. One issue that States should consider when establishing a one-stop shop is  its location. It is usually advisable for the one-stop shop to be directly connected  to the business registry oifce, either because it is hosted there or because the  registry is part of the one-stop shop. hTe organization responsible for the one-stop  shop could thus be the same as that which oversees the business registration process. hTis approach should take into account whether such organizations are  equipped to administer the one-stop shop. Examples from various jurisdictions  indicate that where authorities such as executive agencies are responsible for business registration, they possess the skills to perform one-stop shop functions as well.  hTe same can be said of chambers of commerce, government commissions, and  regulatory authorities. hTere are examples of adoption of a one-stop shop approach  also in those States where business registration is under the administrative oversight of the judiciary.
97.131.
Although one-stop shops do not necessarily require changes to domestic legislation, it is important that the operation of such mechanisms be legally valid,  which may involve adapting existing law to the new structure and method of proceeding.根据办理登记的企业的法律形式,完成登记程序可能需要其他具体信息。 在一些法域中,股本证明、有关企业从事的商业活动类别的信息(不过,见下文第242和243段),以及非现金财产方面的协议,均是也可能要求某些法律形式的企业提供的信息。
For example, effective functioning of the one-stop shop may require provi sions governing the collection of information by public authorities as well as the  exchange of information among such authorities. hTe extent of the changes required  will thus vary according to the different needs of the State and the structure of its  system of registration with public authorities mandatorily involved in the establishment of a business. For example, in several States, enhanced interoperability  between the business registry, taxation and social security authorities through the  one-stop shop may have to take into consideration the fact that while registration  with taxation and social security authorities is usually mandatory, registration with  the business registry may be on a voluntary basis. In addition, States should determine how to fnance the one-stop shop: the goal should be to ensure wide user  accessibility, while providing for low maintenance cost and fnancial sustainability  of the one-stop shop. Finally, one-stop shops should be staffed with well-trained  personnel, and they should have their performance regularly monitored by the  supervising authority in accordance with user feedback. Recommendation 14: A one-stop shop for business registration and registration with other authorities hTe law should establish a one-stop shop for business registration and registration  with other public authorities, including designating which public authority should  oversee the functioning of the single interface.
Such an interface:此外,在一些法域中,可能要求登记股东的具体信息及其任何变更;
(a) May consist of an electronic platform or physical oifces;在少数情况下,由另外的主管机构登记股东的具体信息。
(b) Should ensure interconnected services of as many authorities as possible,  including, but not limited to, business registry, taxation and social security authorities;不过,各国应注意,要求可能办理登记的企业提交复杂而全面的信息可能导致登记难度增大,从而妨碍中小微企业办理登记。
and132.
(c) Should provide for the sharing of information on the business among the  interconnected authorities and the use of a single, integrated application form for  registration with, and payment to, those authorities, along with a unique identifer.还应当注意到,在有些法域,登记企业所有人的身份被视为一项关键要求; 在另外一些法域中,目前的做法是登记实际所有人的具体信息及其变更,不过企业登记处并不总是受托完成这项任务的主管机构。 {§16} 企业实际所有权方面的透明度可有助于防止滥用公司载体,包括中小微企业,以达到非法目的。
G. Use of unique identiifers{§17} 建议21:登记所要求的最低限信息 法律应当规定企业登记所要求的信息和佐证文件,其中至少包括:
98.(a)
In those jurisdictions where the public authorities with which businesses are  required to register operate in isolation from each other, it is not unusual for this  procedure to result in duplication of systems, processes and efforts. hTis approach  is not only expensive but may cause errors. Moreover, if each authority assigns a  registration number to the business when it registers with that authority, and the  use and uniqueness of that number is restricted to the authority assigning it, information exchange among the authorities requires each authority to map the different  identifcation numbers applied by the other authorities. 99. States wishing to foster advanced integration among different authorities, in  order to minimize duplication of procedures and facilitate exchange of information  among relevant public authorities, may wish to consider that in recent years, tools  have been developed to facilitate inter-agency cooperation. For example, one  international organization has developed an online system that allows for the  interoperability of the various public authorities involved in business registration  with minimal or no change at all in the internal processes of the participating  authorities nor in their computer systems.
100.企业的名称;
Some States have introduced a more sophisticated approach, which considerably improves information exchange throughout the life cycle of a business. hTis  approach, which is based on enhanced technical and institutional interoperability  of the authorities involved (such as the ability of different ICT infrastructures to  exchange and interpret data; or semantic interoperability – see paras. 110 and 111  below), requires the use of a unique identifer, which ties information to a given business and allows the business to be uniquely identifed in its interactions with  the business registry, taxation and social security authorities as well as other public  authorities and possibly private agencies. 101. A unique identifer is structured as a set of characters (numeric or alphanumeric) which distinguish registered businesses from each other. When creating a  unique identifer, it may be advisable to build some lfexibility in the structure of  the identifer (for example, by allowing the addition of new characters to the identifer at a later stage) so that the identifer can be easily adaptable to new system  requirements in a national or international context, or both. hTe unique identifer  is usually allocated by an authority with which the business is required to register  and will not be reallocated during the existence of that business,
12 nor atfer its deregistration. hTe same unique identifer is used for that business by all public  authorities (and possibly private agencies), which permits information about that  particular registered business to be shared.(b) 认为企业可以收取信件的地址,或者,若企业没有标准格式地址,企业地理位置的准确描述; (c)
Moreover, the unique identifer is  intended to replace all other registration or identifcation numbers that any such  authorities (and private agencies) may use in reference to a business.登记人的身份; (d) 获授权代表企业签字或担任企业法定代理人的个人的身份;
102. hTe experience of States that have adopted unique identifers has demonstrated the usefulness of such tools.(e) 办理登记企业的法律形式,以及如已分配独一识别码的话,企业的独一识别码。 E.
As noted above, they permit all public authorities to identify easily new and existing businesses, and to verify information in  respect of them.提交信息所用的语文 133. 在要求为办理企业登记提交信息时,国家需要考虑的一个重要问题是提交所需信息必须使用的语文。
In addition, the use of unique identifers improves the quality of  the information contained in the business registry, and in the records of the other  interconnected authorities, since the identifers ensure that information is linked  to the correct entity even if its identifying attributes (for example name, address,  and type of business) change.语文可能造成障碍,如果需要把文件翻译成登记处使用的语文就可能导致登记拖延。 另一方面,只有在登记处工作人员能够辨认信息内容的前提下,一家企业才能够办理登记。 出于这一原因,鲜有法域允许使用非官方语文提交文件或电子记录。
Moreover, unique identifers prevent the situation  where, intentionally or unintentionally, businesses are assigned the same identifcation;然而,各国可以考虑是否接受此类文件。 还有一些国家允许与企业登记相关的所有或部分信息以非官方语文提交。
this can be especially signifcant where fnancial benefts are granted to legal  entities or where liability to third parties is concerned.如果国家选择采用这一办法,则似宜要求提交的文件或电子记录附有译成登记处官方语文的正式译文,或能够证明在该国使用的文件的真实性的任何其他形式。
Unique identifers have been  found to produce benefts for businesses as well, in that they considerably simplify  business administration procedures: entrepreneurs do not have to manage different  identifers from different authorities, nor are they required to provide the same or  similar information to different authorities.134. 另一个问题是,向企业登记处提交的文件中包含的信息,例如名称和地址,是否使用了一系列与登记处所用语文中的字符不同的字符。 在这种情况下,国家应给出指导意见,说明这些字符应当如何经过调整或音译以符合登记处所用的语文。
103.135.
One issue a State may have to consider when introducing unique identifers  is that of individual businesses that do not possess a separate legal status from their  owners.一些国家有不止一种官方语文或非官方语文。 在这些国家,向企业登记处提交信息所用的语文通常由国家的语文法(如有的话)确定(另见上文第120段)。
In such cases, taxation, social security or other authorities may otfen prefer国家决定可以使用不止一种语文办理登记的,可以采取不同的办法。
12 While the unique identifer does not change throughout the lifetime of a business, if the business changes its legal form, a new unique identifer may be allocated.例如,国家可以要求当事方使用所有官方语文办理登记; 或者允许当事方仅以一种语文提交,但随后要求登记处准备所有官方语文的副本并将其登记在案。
13 In certain cases, authorities may keep their own numbering system in addition to using the unique identifer because of “legacy data”, i.e. an obsolete format of identifying a business that cannot be converted into unique  identifers.然而,这两种方法可能都相当昂贵,并且容易造成差错。 遇有多种官方语文,可以用任意一种官方语文办理登记,一种较有效的处理办法是允许登记人仅以其中一种官方语文办理登记。
In order to access such information, the registry must maintain the old identifcation number for internal  purposes.这一办法也将考虑到中小微企业的财务制约因素和其他情形,如可能的文化水平问题,可能不是所有企业主都能同样流利地使用一国的所有官方语文。
In dealing with the public, however, the public authority should use for all purposes the unique identifer  assigned to the business.不论采用什么办法,各国都必须考虑解决这一问题的办法,从而确保登记和随后的任何变更都能以对登记人和登记处双方而言均具成本效益的方式办理,同时确保登记处的用户能够理解这些信息。
to rely on the identifer for the individual, who may be a natural person, rather  than on the business identifer.建议22:提交信息所用的语文
However, States may also opt to assign a separate  identifer to a sole proprietor in a business capacity and in a personal capacity.法律应当规定,向企业登记处提交的信息和文件必须用指明的一种或多种语文并用企业登记处确定和公布的成套字符表述。
104.F.
Situations may arise in which different authorities in the same jurisdiction  allocate identifers to businesses based on the particular legal form of the business.登记通知 136. 企业登记处应当尽快通知登记人企业登记是否有效,但无论如何不得有不当延误。
States should thus consider adopting a verifcation system to avoid multiple unique  identifers being allocated to the same business by different public authorities.要求登记处立即将登记情况告知登记人,有助于确保登记处记录的完整性和安全性。
If  the identifer is assigned through a single jurisdictional database, the risk of several  identifers being allocated to one business or of several businesses receiving the  same identifer is considerably reduced.在使用网上登记的国家,登记人应当收到一份关于企业登记的网上通知。 建议23:登记通知 法律应当要求企业登记处尽快通知登记人其企业的登记是否有效,但无论如何不得有不当延误。
105. hTe effective use of unique identi fers is enhanced by the complete adoption  of electronic solutions that do not require manual intervention.在网上登记系统中,在办理企业登记的所有要求都得到妥善满足之后,企业登记处应当立即向登记人发送一份网上通知。 G. 登记通知的内容
However, electronic solutions are not a mandatory prerequisite to introducing unique identifers,  as they can also be effective in a paper-based environment.137. 登记通知中应包括与已登记企业相关的最低限必要信息,确凿证明所有登记要求已得到遵守,且根据颁布国法律已将该企业妥善登记。
When unique identifers  are connected to an online registration system, it is important that the solution  adopted ft the existing technology infrastructure.建议24:登记通知的内容 法律应当规定,登记通知可以采用证书、通知或卡片形式,其中应当至少载列以下信息:
1.(a)
Allocation of unique identiifers企业的独一识别码; (b)
登记日期和时间; (c) 企业的名称; (d) 企业的法律形式;
(e) 企业登记所依据的法律。 H. 登记的有效期 138.
106. hTe use of unique identifers requires sustained cooperation and coordination  among the authorities involved, and a clear defnition of their roles and responsibilities, as well as trust and collaboration between the public and business sectors.各国可以采取两种办法中的一种,以确定企业登记的有效期。 在有些国家,企业登记的期限不得超过法律规定的最长期限。 因此,除非办理登记延期,否则企业登记将在登记证书指明之日或企业终止之时失效。
Since  the introduction of a unique identifer does not of itself prevent public authorities  from asking a business for information that has already been collected by other  authorities, States should ensure that any reform process in this respect starts with  a clear and common understanding of the reform objectives among all the stakeholders involved.{§18} 这种办法增加了被登记企业的负担,对于中小微企业来说尤其麻烦,这些企业常常以最少的工作人员运作,且对适用规则的了解有限。 此外,如果需要提供额外信息,但企业没能提供,登记延期也可能被拒绝。 139.
Moreover, States should ensure that there is strong political commitment to the reform.根据第二种办法,不对已登记企业规定最长有效期,登记持续有效,直至企业停止运作并被注销。
Potential partners ideally include the business registry,  taxation and social security authorities, at a minimum, and if possible, the statistics  oifce, the pension fund, and any other relevant authorities.这种办法简化了吸纳程序,既鼓励办理登记,又减轻了所有企业的负担。 不过,选择这种办法的国家应当确保采取适当办法(例如,定期向企业发送提示、为提醒目的开展宣传活动,或者作为最后手段,强制执行程序),以鼓励企业使其已登记信息保持更新(见下文第157至161段和建议30)。 140.
If agreement among  these stakeholders is elusive, at least the business registry, taxation and social security authorities should be involved.在一些情况下,同时采取了两种办法:对于采用不具法律人格的法律形式的已登记企业,可适用一个最长登记期限,但可以办理延期,而对于具有法律人格的企业,可适用无期限登记。
Information on the identifers in use by the other  authorities and within the business sector is also a prerequisite for reform, as is a  comprehensive assessment to identify the needs of all stakeholders.这种双重性办法反映了一个事实,即具有法律人格的企业如果登记过期,后果可能会更加严重,可能影响企业的存在以及向企业所有人提供的有限责任保护。
107.141.
In order to permit the introduction of a unique identifer, the law should  include provisions on a number of issues including:虽然一些法域要求定期办理登记延期,但不设登记最长有效期的做法是一种更为可取的办法,因为这种办法满足企业对简易、快捷程序的需要,同时使它们尤其是中小微企业免除了潜在负担。
(a) Identifcation of the authority charged with allocating the unique  identifer;建议25:登记的有效期
(b) Allocation of the unique identifer before or immediately atfer registration  with the authorities involved in the establishment of a business;法律应当规定,登记的有效期一直持续到企业被注销之时。 I. 登记的时间和生效
(c) Listing of the information that will be related to the identifer, including at  least the name, address and type of business;142. 为了提高企业登记处的透明度和可预测性,各国应当确定企业登记何时生效,或之后对已登记信息的任何变更何时生效。
(d) hTe legal mandate of the public authorities to use the unique identifer and  related information, as well as any restrictions on requesting information from  businesses;各国通常规定,企业登记或任何后继变更在该信息输入登记处记录之时,或是在登记处收到登记申请(或该信息的变更)之时生效。
(e) Access to registered information by public authorities and the private  sector;无论选择哪种办法,最重要的因素是国家要明确登记或变更何时生效。
(f) Communication of business registration and amendments among the public  authorities involved;此外,企业登记或之后对已登记信息的任何变更的生效时间应当在与相关企业有关的登记处记录中指明。
and143.
(g) Communication of deregistration of businesses that cease to operate. 2.在一些法域,企业也可以在登记之前申请保护某些权利。 例如,临时登记拟登记企业的商号,可保护商号免于被其他任何实体使用,直至企业登记生效。
Implementation of unique identiifers在这种情况下,各国应当同样明确地规定此类预登记权利生效的时间及其有效期。
108.144.
Adoption of a unique identifer normally requires a centralized database  linking the business to all relevant public authorities whose information and communication systems must be interoperable. hTis requirement can be a major obstacle to implementation if the technological infrastructure of the State is not  suifciently advanced.如果设计的登记处使用户能够以电子方式提交信息或修订已登记信息,而不用登记处工作人员介入,并且采用网上支付方法办理登记,登记处软件就应当确保信息在传送后立即生效或几乎立即生效。 其结果是,信息的电子传送和企业登记的生效时间之间的任何延迟现象将得以消除。
109.145.
States can introduce the unique identifer in one of two ways.在登记处工作人员必须将信息输入登记处记录的登记处系统中(不论是以电子形式还是以纸质形式收到信息),登记处办公点收到信息的时间和信息输入登记处记录的时间之间难免有一些延迟。
In the frst  approach, business registration is the frst step and includes the allocation of a  unique identifer, which is made available (together with the identifying information) to the other authorities involved in the registration process (for example,  taxation and social security authorities), and which is re-used by those authorities. In the second approach, the allocation of a unique identifer represents the beginning of the process. hTe unique identifer and all relevant information are then  made available to the authorities involved in business registration, including the  business registry, and is then re-used by all authorities. Either of these two  approaches can be followed by the authority entrusted with allocating unique identifers, regardless of whether the authority is the business registry, a facility shared  by public authorities or the taxation authority. hTe enacting State should determine  the format of the unique identifer and which authority would have the authority  to assign it. 110. Introducing a unique identifer usually requires adaptation both by public  authorities in processing and fling information and by businesses in communicating with public authorities or other businesses.
A unique identifer requires the  conversion of existing identifers, which can be accomplished in various ways.在这类情况下,法律应当规定,登记处必须将收到的信息尽快输入登记处记录,也许可以规定一个完成输入的最后期限。
Taxation identifers are otfen used as a starting point in designing a new identifer, since  the records of the taxation authorities cover most types of businesses and are otfen  the most current.在同时允许以电子形式和纸质形式提交信息的混合型登记处系统中,应当提醒选择使用纸质形式的登记人,这种方法可能会导致登记生效时间有所延迟。
Examples also exist in which, rather than introducing a completely new number, the taxation number itself is retained as the unique business  number.最后,企业登记处通常按收到的顺序处理登记申请,不过,有些法域可能允许在收取额外费用的前提下处理加急申请。 建议26:登记的时间和生效
New identifcation numbers can also be created using other techniques  according to a State’s registration procedures.法律应当: (a) 要求企业登记处记录收到登记申请的日期和时间,并按此顺序尽快处理,但无论如何不得有不当延误;
In such a situation, it is important  that each business, once assigned a new number, verify the related identifying information, such as its name, address, and type of activity. 111. hTe interoperability of the ICT systems of different authorities could be a  major obstacle when implementing unique identifers. hTe ability of different infor mation technology infrastructures to exchange and interpret data, however, is only  one aspect of interoperability that States should consider. Another issue is that of  semantic interoperability, which can also pose a serious threat to a successful exchange  of information among the authorities involved as well as between relevant authorities  and users in the private sector. For this reason, it is important to ensure that the  precise meaning of the information exchanged is understood and preserved throughout the process and that semantic descriptions are available to all of the stakeholders  involved. Measures to ensure interoperability would thus require State action on a  dual level: agreement on common defnitions and terminology on the one hand, and  the development of appropriate technology standards and formats on the other. hTis  approach should be based on a mutual understanding of the legal foundation, responsibilities and procedures among all those involved in the process.
3.(b)
Cross-border exchange of information among business registries明确确定企业登记的生效时间; (c) 明确规定此后必须尽快将企业登记输入企业登记处,但无论如何不得有不当延误。
J. 拒绝登记申请 1. 因登记申请中的错误而拒绝
112.146.
States are increasingly aware of the importance of improving the cross-  border exchange of data and information between registries, and sustained progress  in respect of ICT development now allows this aspect to be addressed.需要一系列核对和控制程序来确保为办理企业登记提交必要的信息,然而,此类控制的程度因法域的不同而各异。 在登记处仅履行简单的控制程序的法律制度中,如果适用法律规定的所有基本法律和行政要求得到满足,登记官就必须接受提交的信息,加以记录,并完成企业的登记。
14 Introduc ing unique identifers that enable different public authorities to exchange information about a business could thus be relevant not only at the national level, but also  in an international context.如果法律制度要求对提交的信息进行更加彻底核查,登记处可能必须核对提交的申请和信息内容或任何对此的变更是否满足了法律的强制性规定。 无论选择何种办法,各国都应当在法律中确定提交给登记处的信息必须满足哪些要求。
Unique identifers can allow more eifcient cross-border  cooperation among business registries located in different States, as well as between  business registries and public authorities in different States.某些法域授权登记官就向登记处提交信息的形式、认证和提交方式作出要求。 中小微企业寻求登记时,此类要求应保持在最低限度,使中小微企业的登记程序更加便利。 这将减少行政障碍,有助于促进中小微企业办理企业登记。
Implementation of147.
14 For example, there are some regional examples of cross-border information-sharing on businesses between States, but these are cases where the information-sharing was a component of a broader project involving signifcant  economic integration of the relevant States.要想使中小微企业的登记更加便利,还可以授权登记官接受和登记不完全符合提交形式要求的文件,并修改其中的笔误,包括其自身的偶然性错误,使企业登记处的输入内容与登记人提交的文件一致。
cross-border exchange of data and information can result in more dependable information for consumers and existing or potential business partners, including small  businesses that provide cross-border services, as well as for potential sources of  fnance for the business (see paras. 196 and 197 and rec. 40 below). 113.这将避免因要求登记人重新提交登记申请而带来的有可能昂贵且费时的负担。 如果登记人无法直接访问以便以电子方式提交文件,因而提交这些文件或输入数据需要登记处工作人员介入,则委托登记官履行上述责任或许尤其重要。 在一些国家,登记人可以直接在网上提交登记申请,电子登记系统通常提供自动检查申请中输入的数据的功能。
Accordingly, States implementing reforms to streamline business registration  may wish to consider adopting solutions that will, in future, facilitate such information exchanges between registries from different jurisdictions and to consult with  States that have already implemented approaches that allow for such interoperability.如果授权登记官纠正自己的错误以及为支持企业登记而提交的信息中可能出现的任何偶然性错误,则颁布国的法律应当严格确定在什么条件下可以履行这些责任(另见下文第231和232段以及建议53)。
15 One such reform could include developing a system of business prefxes that would make the legal form of the business immediately recognizable across  international and other borders.这方面的明确规则将确保登记处记录的完整性和安全性,并最大限度地减少登记处工作人员滥用权力或腐败的风险(另见下文第212至217段以及建议47)。
Recommendation 15: Use of unique identiifers hTe law should provide that a unique identifer be allocated to each registered business and:因此,颁布国的法律应当规定,登记处只有事先向登记人发送有关拟改正内容的通知,并收到登记人的同意反馈,才可行使改正错误的裁量权,但由于登记官需要征得登记人的同意,这一办法可能造成企业登记的延迟。
(a) Be structured as a set of numeric or alphanumeric characters;如果企业提供的信息不足以满足登记要求,登记官应当有权要求该企业提交补充信息,以完成登记程序。
(b) Be unique to the business to which it has been allocated;颁布国的法律应当明确规定一个适当的时限,规定登记官应当在此期间提出上述要求。
and148.
(c) Remain unchanged and not be reallocated following any deregistration of  the business.依登记处是电子、纸介还是混合型登记处而定,对拒绝登记申请的处理方式可能有所不同。
Recommendation 16: Allocation of unique identiifers hTe law should specify that the allocation of a unique identifer should be carried out  either by the business registry upon registration of the business, or before registration by the designated authority.在允许登记人以电子方式直接向登记处提交申请和相关信息的登记处系统中,在国家技术基础设施允许的情况下,设计的系统应当能够在提交的申请中有错误时自动要求改正申请,并且自动拒绝不完整或难以辨认的申请的提交,并在登记人的屏幕上显示拒绝的理由。
In either case, the unique identifer should then be  made available to all other public authorities involved in the registration of a business  and in the sharing of the information associated with that identifer, and should be  used in all oifcial communications in respect of that business.若企业登记申请以纸质形式提交,而拒绝申请的理由是申请不完整或难以辨认,从登记处接收申请之时到向登记人发送拒绝申请及其理由的通知之时可能有所延迟。 在既允许以纸质形式也允许以电子形式提交申请的混合型登记处系统中,电子媒介的设计应当包括这样的技术规格,即允许自动要求改正申请或自动拒绝申请。
15 Some States with more integrated economies have developed an application that allows users to carry out si multaneous searches of the registries in both States by using their smartphones or mobile devices.此外,可以选择纸质形式时,若登记人选择使用纸质形式,则应当提醒登记人,这种方法可能导致从登记处收到申请之时到发送拒绝及其理由的通知之时有所延迟。 2. 因不符合法律规定的要求而拒绝申请
Recommendation 17: Implementation of unique identiifers hTe law should ensure that, when adopting a system for the use of a unique identifer:149. 各国应当规定,只有某企业的登记申请不符合国家适用法律规定的要求时,登记处必须拒绝为该企业办理登记。 {§19} 若干法域在实施这种办法,不论其法律传统如何。
(a) hTere is interoperability between the technological infrastructure of the  business registry and of the other public authorities sharing the information associated with the identifer;然而,为了防止任意使用这种权力,登记官必须以书面形式提供拒绝登记申请及其理由的通知,而且,必须给登记人留出就该项决定提出上诉以及重新提交申请的时间。 建议27:拒绝登记申请 法律应当规定,登记官:
and(a)
(b) hTat existing identifers are linked to, or replaced by, the unique identifer.只有在申请不符合法律规定的要求的情况下,必须拒绝企业的登记申请; (b)
H. Sharing of protected data between public authorities需要以书面形式向登记人提出任何此种拒绝的理由;
114.(c)
Although the adoption of a system of unique identifers facilitates information sharing between public authorities, it is important that sensitive data and privacy be protected.有权纠正自己的错误以及为支持企业登记而提交的信息中可能出现的任何偶然性错误,前提是已明确规定登记官在什么条件下可以行使这项权力。 K. 分支机构办理登记
For this reason, when a State introduces interoperability among  different authorities, it should address how public authorities may share protected  data relating to individuals and businesses so that there is no infringement of the  rights of data owners.150. 企业的分支机构办理登记是一种常见做法,虽然一些法域并不要求办理此种登记。 多数国家要求外国企业在本国的分支机构办理登记,以便允许这些分支机构在其法域内运作,并确保保护与这些分支机构交易往来的国内债权人、企业和其他有关各方。
States should thus ensure that all information sharing among  public authorities occurs in accordance with the applicable law, which should establish the conditions under which such sharing is permitted.几个国家也要求或允许本国公司的本国分支机构办理登记。 企业分支机构办理登记的问题,似乎与中小微企业并不直接相关,因为这类企业主要关注的问题更有可能是在不超出自身人力和财力的情况下加强业务。
Moreover, the law  should clearly identify which public authorities are involved, the information  shared and the purpose for sharing, and establish that the owners of the data should  be informed of the purposes for which their protected data may be shared among  public authorities.然而,这一问题与稍大一些的企业有关,因为这些企业具有一定规模,业务量也发展到一定程度,期待扩大业务范围,而不局限于本地或国内市场。 151. 各国对于外国企业运营有着自己的规则,对于允许外国企业的分支机构办理登记的这些国家,在触发分支机构办理登记的义务的因素方面可能存在很大差异。
Information-sharing should be based on the principle that only  the minimum information necessary to achieve the public authority’s purpose may  be shared and that appropriate measures are in place to protect the rights to privacy  of the business.有些办法依据的是对外国机构这一概念的广义解释,比如,这不仅包括分支机构,还包括在一定程度上常设或得到承认的任何机构,如一个在外国的营业地。 另有一些办法更加精确地定义了构成需要登记分支机构的要素,这些要素可能包括存在某种形式的管理、保持独立的银行账户、分支机构和原始或主要企业的关系或要求原始或主要企业已在国外为其总部办理登记。
When devising appropriate law or policy on the sharing of protected data between public authorities, it is important for States to consider the  interoperability of those public authorities.并非所有国家都在其法律中定义了分支机构,或说明在本国设立的一个外国机构在什么情况下必须办理登记:法律可能仅提及外国分支机构的存在。
Recommendation 18: Sharing of protected data between public authorities hTe law should establish the conditions on which protected data can be shared  between public authorities pursuant to a unique identifer system.在这类情况下,登记处可填补这一空白,发布准则以明确在什么条件下应办理此类登记。 如出现这种情况,登记准则就何谓分支机构给出不完整的定义不应该视为立法行为,而应视为一种解释一家企业的分支机构需要具备哪些必要特征才能够办理登记的手段。
IV.152.
Registration of a business在简化或建立企业登记处时,各国应当考虑颁布规范其他法域的企业的分支机构办理登记的条款。
A. Scope of examination by the registry 115. hTe method through which a business is registered varies from State to State,  ranging from those that tend to regulate less and rely on the law that governs business behaviour, to States that opt for ex ante screening of a business before it may  be registered (see also para. 54 above).这些条款应当至少涉及以下问题,如登记时间、披露要求、关于在法律上能够代表分支机构的个人的信息以及登记文件应当以何种语文提交。 在登记外国公司的分支机构时,名称重复可能是一个大问题,而且应当确保企业在不同法域的身份相一致。 在这方面,一个最佳做法或许是企业登记处使用独一识别码,以确保企业的身份在法域内和各法域之间保持一致和明确(见上文第98至105段)。
In this regard, a State aiming at reforming  its business registry must frst decide which approach it will take to determine the  scope of the examination that will have to be carried out by the registry. hTe State  may thus choose to have a system where the registry only records information submitted to it by the registrant or a system where the registry is required to perform  legal verifcations and decide whether the business meets the criteria to register. 116. States opting for ex ante verifcation of legal requirements and authorization  before businesses can register (referred to as an “approval system”) otfen have the  registration process under the oversight of the judiciary in which intermediaries  such as notaries and lawyers perform a key role. Other States structure their business registration as a “declaratory system”, in which no ex ante approval is required  before the establishment of a business and where registration is an administrative  process. In such declaratory systems, registration is under the oversight of a government department or authority, which can choose whether to operate the business  registry itself or to adopt other arrangements. hTere are also States that do not fall  neatly within either category and in which there is a certain variation in the level  and type of verifcation carried out as well as in the level of judiciary oversight.
117.建议28:分支机构办理登记
法律应当规定: (a) 是否要求或允许企业的分支机构办理登记; (b)
Both the approval and the declaratory system have their advantages.用于登记目的的“分支机构”的定义,该定义与法律别处规定的定义相一致; (c)
Approval systems intend to protect third parties by preventing errors or omissions  prior to registration.关于分支机构办理登记的条款,以述及下列问题: ㈠ 披露要求,包括:登记人的姓名和地址;
Courts and intermediaries exercise a formal review and, when  appropriate, a substantive review of the prerequisites for the registration of a business.分支机构的名称和地址; 寻求为分支机构办理登记的原始或主要企业的法律形式; 原始或主要企业登记所在国家或其他法域的主管机构签发的当前有效的该企业的存在证据;
㈡ 关于能够在法律上代表分支机构的人的信息。 第五章.登记后 五. 登记后
On the other hand, declaratory systems are said to reduce the inappropriate  exercise of discretion;153. 企业登记处的关键职能当然是办理企业登记,但登记处通常在企业的整个寿命周期内始终为企业提供支持。
furthermore, they may reduce costs for registrants by negating the need to hire an intermediary and appear to have lower operational costs.一旦企业登记处收集并恰当地记录了企业的信息,就务必保证信息保持更新,使这些信息对登记处的用户而言继续具有价值。 已登记企业和登记处都可为实现这些目标而发挥作用。 154.
Some systems have been said to merge advantages of both the declaratory system  and the approval system by combining ex ante verifcation of the requirements for  establishing a business with a reduced role for the courts and other intermediaries,  thus simplifying procedures and shortening processing times.为使企业保持被登记状态,企业必须在其寿命周期内提供某些信息,要么定期提供要么在已登记信息发生变更时提供,以便登记处能够使有关该企业的信息尽可能保持更新。 登记处也可以在确保其信息尽可能保持更新方面发挥作用,为此可使用各种手段,如下文详细探讨的手段。 这两项职能使登记处能够为用户提供准确的企业信息,从而确保透明度,并向包括潜在商业伙伴和资金来源、公众和国家在内的有关各方提供值得信赖的信息源。
B. Accessibility of information on how to registerA. 登记之后所要求的信息
118.155.
In order for the business registry to facilitate trade and interactions between  business partners, the public and the State, easy access to business registry services  should be provided both to businesses that want to register and to interested users  who want to search the information on the business registry.在许多法域,企业主负有法律义务向登记处告知其企业发生的任何变更,不论是事实变更(例如,地址或电话号码),还是涉及企业结构的变更(例如,企业法律形式的变更)。 相同法域内企业登记处与不同公共主管机构之间的信息交流有助于达到这一目的。 有些情况下,企业登记处发布企业的年度决算、财务报表或定期报告书,对投资人、客户、潜在债权人和公共主管机构来说,这些都是本法域的有用信息来源。
119. Many microbusinesses may not be aware of the process of registration nor  of its costs: they otfen overestimate time and cost, even atfer the registration process has been simplifed.虽然要求公众公司提交和发布详细的财务报表可能是适当的,依其法律形式而定,但中小微企业提交任何财务信息应当是自愿的,而且应当粗略得多。 此外,只有在中小微企业批准之后,登记处才应将这些信息公布于众。 不过,为了促进问责制与透明度以及更好地获得信贷或吸引投资,中小微企业可能希望提交并公布其财务信息。
Easily retrievable information on the registration process  should be made available (e.g. a list of the steps needed to achieve the registration;{§20} 为了鼓励中小微企业这样做,各国应当允许中小微企业每年决定是否选择披露此类信息。 156. 企业为维持被登记状态需要提交的信息可以通过登记处为使登记处的信息保持更新而定期要求提交的定期报告书提交,或者由企业在其已登记信息发生变更时提交。
the necessary contacts;在这方面所要求的信息可能包括: (a)
the data and documents required;建议21规定的企业登记最初或随后所要求信息的变更;
the results to be expected;(b)
how long the process will take;企业关联人的姓名和地址的变更; (c)
methods of lodging complaints;企业的财务信息,取决于其法律形式;
and possible legal  recourse), including on the advantages offered by a one-stop shop (where available) (see also paras. 86 to 97 and rec. 14 above) as well as on the relevant fees.  hTis approach can reduce compliance costs, and make the outcome of the application more predictable, thus encouraging entrepreneurs to register.(d) 关于破产程序、合并或清理的信息(见上文第58段)。 建议29:登记之后所要求的信息
Restricted access  to such information, on the other hand, might require meetings with registry oifcials in order to be apprised of the registration requirements or the involvement  of intermediaries to facilitate the registration process.法律应当明确规定,登记之后,已登记企业必须至少向企业登记处提交关于对建议21规定的企业登记最初所要求信息的任何变更或修订的信息。 B. 登记处保持更新
120.157.
In jurisdictions with developed ICT infrastructures, information on the registration process and documentation requirements should be available on the registry website or the website of the public authority overseeing the process.各国应当颁布条款,使企业登记处能够尽可能保持信息更新。 实现这一目标的常见办法是国家要求已登记企业定期比如每年一次,提交一项声明,声明登记簿所收录的关于企业的某些核心信息仍然准确,或声明应当作出哪些变更。
Moreover, the possibility of establishing direct contact with registry personnel  through a designated electronic address of the registry, electronic contact forms or  client service telephone numbers should also be provided.尽管这些办法作为一种确定哪些公司已永久停止运营或可能被注销的手段而言或许有价值,而且对人力资源充足的大型企业来说可能不是繁重的负担,但对中小微企业来说可能是很高的要求,尤其是会产生相关费用的话。
As discussed below (see  paras. 194 and 197 below), States should consider whether the information  included on the website should be offered in a foreign language in addition to  oifcial and local languages.158. 另一种办法可能对中小微企业而言更加可取,即要求企业在已登记信息发生变更时更新登记处所存信息。 这一办法在很大程度上取决于企业对规则的遵守,其风险是可能推迟提交变更或根本不提交变更。
States with more than one oifcial language should  make the information available in all such languages in accordance with the language laws of the State, if any (see also paras. 133 to 135 below).为了预防这一风险,各国可以采用一个系统,通常以电子方式定期向企业发送提示,要求它们确保已登记信息是最新信息。
121. A lack of advanced technology, however, should not prevent access to information that could be ensured through other means, such as through the posting  of communication notes at the premises of the relevant agency or dissemination  through public notices.为了最大限度地减轻登记处的负担并帮助它们以最有效的方式利用资源,登记处定期发送以提醒企业提交定期报告书的提示,也可以包含更新已登记信息的一般性提醒。
In some jurisdictions, for example, it is a requirement to  have large signs in front of business registry oifces advising of their procedures,  time requirements and fees.如果登记处基于纸介或以混合形式运作,登记处应当确定执行这一任务的最佳手段,因为向每家企业发送纸质提示将耗费时间和资源,而且可能不是一种可持续的办法。
In any event, information for businesses to register  should be made available at no cost.在登记处不是以电子方式运作的一个国家,向企业发出的更新已登记信息的提醒通常在报纸上公布。
122.159.
It is equally important that potential registry users be given clear information on the logistics of registration and on the public availability of information Chapter IV.无论选择哪种办法来提示企业通知登记处其已登记信息发生的任何变更,各国都可以对未履行提交修订的义务的企业采取强制执行措施。
Registration of a business 49on the business registry. hTis may be achieved, for example, through the dissemination of guidelines and tutorials (ideally in both printed and electronic form) and  through the availability of in-person information and training sessions.例如,一国可以采纳这样的条款,即如果变更在法律规定的时间内未向企业登记处报备,一旦定罪,被登记企业就会被处以罚款(见下文第210和211段以及建议46)。 160.
In some  States, for example, prospective users of the system are referred to classroom-based  or e-learning opportunities available through local educational institutions or professional associations.有助于减轻企业登记处收集的信息可能失准现象的一种更普遍方法包括加强企业登记处与税务和社会保障主管机构以及其他公共主管机构之间的相互连通和信息交换。
Recommendation 19: Accessibility of information on how to register hTe law should require the registrar to ensure that information on the business registration process and any applicable fees are widely publicized, readily retrievable, and  available free of charge.企业登记进程所涉主管机构之间采用允许技术互操作性和允许使用独一识别码的综合电子界面可以发挥重要作用(见上文第93、94和98至105段)。
C. Businesses permitted or required to register此外,登记官可以查明有助于登记处记录保持更新的关于已登记企业的信息源。
123.161.
One of the key objectives of business registration is to permit businesses of  all sizes and legal forms to improve their visibility in the marketplace and to the  public. hTis objective is of particular importance in assisting MSMEs to participate  effectively in the economy and to take advantage of State programmes available to  assist them.登记处一旦收到经过更新的信息,即应当确保在无不当延误的情况下将所有修订输入登记处记录。 决定什么行为构成不当延误的可能仍然是登记处的运作方式。 如果登记处允许用户在没有登记处工作人员介入的情况下以电子方式提交信息,则登记处软件应当允许修订立即或几乎立即生效。
States should enable businesses of all sizes and legal forms to register  in an appropriate business registry, or create a single business registry that is tailored to accommodate registration by a range of different sizes and different legal  forms of business.如果登记处系统(不管是电子、纸介或混合型系统)要求登记处工作人员代表企业输入信息,则所有修订应当尽快在登记处得到反映,可以规定实现这项目标的最长期限。 建议30:登记处保持更新 法律应当要求登记官确保企业登记处的信息保持更新,包括通过:
124.(a)
States must also defne which particular legal forms of businesses are required  to register under the applicable law.自动向已登记企业发送请求,提示其报告登记处保持的信息是否仍然准确,或指明应当作出哪些变更;
In some legal traditions, it is common to require  registration of all businesses, including sole proprietorships and professionals;(b) 在登记处办公点和分支办公点展示要求作出哪些更新的通知,并定期在登记处网站和社交媒体上和在国家和地方电子和印刷媒体上发布提醒函; (c)
in  others, certain businesses, usually the smallest, are not required to register due to  their size and legal form;查明有助于登记处保持更新的关于已登记企业的信息源; (d) 在收到对已登记信息的修订之后尽快对登记处信息加以更新,但无论如何不得有不当延误。
in yet other legal traditions, only corporations and similar  entities (with legal personality and limited liability) are required to register. hTis  latter approach can exclude businesses like partnerships and sole proprietorships  from mandatory registration. However, variations on these regimes also exist, and  some jurisdictions permit voluntary registration for businesses that would not otherwise be required to register, such as sole traders and professional associations. 125. Enabling the registration of businesses that would not otherwise be required  to register with the business registry (but may be subject to mandatory registration  with other public authorities, such as taxation and social security) allows such  businesses to beneft from a number of services offered by the State, by the registry  and other entities, including the protection of a business or a trade name, facilitating access to credit, accessing additional opportunities for growth, improving visibility to the public and to markets. In any event, registration is always  required for the separation of personal assets from assets devoted to the business  or for limiting the liability of the owner of the business. hTe law should establish  registration obligations (e.g. timely fling of periodic returns, updating of registered  information, accuracy of information submitted) also for businesses that voluntar ily register with the business registry as well as appropriate sanctions for noncompliance with those obligations, in order to ensure a consistent approach with  the regime established for those businesses that are required to register.
126.C. 对已登记信息的修订
Even when business registration is voluntary, it may still prove burdensome  for MSMEs and outweigh the benefts the business could gain as a registered business, thus discouraging registration.162. 各国还应当确定对已登记信息的变更何时生效,以促进企业登记处的透明度和可预测性。 变更应当在修订通知中的信息输入登记处记录时生效,而不是在登记处收到信息时生效,且变更时间应当在相关企业的登记处记录中指明。
Some jurisdictions have carried out reforms  to simplify the registration process by decreasing its cost (see paras. 199 to 201  and rec. 41 below) and by removing administrative obstacles.为保留企业历史信息,对以前登记信息的修订应添加到登记处记录中,但不删除以前输入的信息。 163. 与企业登记一样,如果登记处允许用户在没有登记处工作人员介入的情况下以电子方式提交信息,修订应当在传送后立即或几乎立即生效。
In any event, States  should encourage micro and small businesses to register by adopting policies especially tailored to the needs of such businesses in order to convey to them the  advantages of registration, including specifc incentives available for MSMEs.如果登记处工作人员必须代表企业将修订输入登记处,收到的修订应当尽快输入登记处记录,可能的话规定一个最长期限。 在同时允许以纸质形式和电子形式提交修订的混合登记处系统中,应当提醒选择使用纸质形式的登记人,这种方法可能会导致修订的生效有所延迟。 建议31:对已登记信息的修订
法律应当: (a) 要求企业登记处: ㈠
Recommendation 20: Businesses permitted or required to register hTe law should specify:按收到的顺序处理对已登记信息的修订; ㈡ 记录修订输入登记处记录的日期和时间;
(a) Which legal forms of businesses are required to register;并 ㈢ 尽快通知已登记企业其登记信息已被修订,但无论如何不得有不当延误;
and(b)
(b) hTat businesses of all sizes and legal forms are permitted to register.规定对已登记信息的修订何时生效。 贸易法委员会企业登记处关键原则立法指南
D. Minimum information required for registration第六章.可获取性和信息共享 六. 可获取性和信息共享
127.A.
Businesses must meet certain information requirements in order to be registered;企业登记处的营业时间 164. 确定登记处的营业日和营业时间取决于登记处的设计是否允许用户以电子方式直接登记或获取信息,还是需要用户亲自造访登记处办公点。
those requirements are determined by the State. hTe information required  usually varies depending on the legal form of business being registered – for example, sole proprietorships and simplifed business entities may be required to submit  relatively simple details (if at all) in respect of their business, while businesses such  as public and private limited liability companies will be required to provide more  complex and detailed information depending on the requirements established by  the law in respect of those types of business.在前一种情况下,电子访问应当持续可用,除了用于进行定期维护的短暂时段; 在后一种情况下,在符合登记处潜在用户需求的可靠和固定时间内,登记处应当营业。 鉴于确保所有用户易于访问企业登记处的重要性,上述标准应当载入颁布国的法律中,或者载入登记处发布的行政指引中,登记处应确保其营业日和营业时间广为人知。
Although the requirements for registration of each legal form of business will vary according to the applicable law,  there are, however, some requirements that can be said to be common for many  businesses in most States, both during the initial registration process and throughout the lifecycle of the business. Chapter IV.165. 如果登记处通过实体办公点提供服务(例如,企业登记、提供信息服务),其营业日和营业时间起码应为国家公共机构的正常营业日和营业时间。 如果登记处要求或允许提交纸质材料,登记处应着眼于确保纸质信息尽快输入登记处记录,并使之可以查询,但最好是在登记处收到该信息的同一个营业日。
Registration of a business 51以纸质形式提交的信息请求同样应当在接收的当日进行处理。
128. General requirements for the registration of all legal forms of business are  likely to include information in respect of the business and its registrant(s), such  as: (a) hTe name of the business;为实现这一目标,提交纸质信息请求的截止时间应当独立于登记处办公点的营业时间。 {§21} 或者,企业登记处可以在全部营业时间内接收纸质材料和信息请求,但应当设定一个“截止”时间,过了截止时间接收的信息将在下一个营业日输入登记处或信息查询将在下一个营业日进行。
(b) hTe address at which the business can be deemed to receive correspondence  (such an address can be a “service address” and need not be the residential address  of the registrants or the managers of the business);第三种办法是登记处保证,在接收申请或信息请求后规定的营业小时数内将信息输入登记处记录或进行信息查询。 166. 法律还可以详尽或指示性地列举,在何种情况下,可能暂时不允许访问企业登记处。
(c) hTe name(s) and contact details of the registrant(s);详尽的清单将提供更大的确定性,但存在可能无法涵盖所有可能的情况的风险。 指示性清单具有更大的灵活性,但确定性会降低。
(d) hTe identity of the person or persons who are authorized to sign on behalf  of the business or who serve as the business’s legal representative(s);有理由暂停登记处服务的情况包括使其提供这些服务变得不可能或不切实际的任何事件(例如,由于火灾、洪水、地震或战争等不可抗力,或者由于互联网或网络连接中断)。 建议32:企业登记处的营业时间 法律应当确保:
and(a)
(e) hTe legal form of the business that is being registered and its unique identifer, if such an identifer has already been assigned (see paras. 106 and 107 above).以电子方式提供获取企业登记处服务的机会的,随时可以获取; (b) 通过实体办公点提供获取企业登记处服务的机会的:
129.
Other information that may be required for registration, depending on the  jurisdiction of the registry and the legal form of the business being registered, can  include:登记处各办公点在颁布国指定的日期和时间内向公众开放; ㈡ 登记处有网站的,将关于登记处任何办公点及其工作日和办公时间的信息在该网站上公布,否则以其他方式广为公布,并在每个办公点张贴登记处各办公点的工作日和办公时间;
(a) hTe names and addresses of the persons associated with the business, which  may include managers, directors and oifcers of the business;(c) 尽管有本建议(a)和(b)小段之规定,但企业登记处可以全部或部分暂停对登记处服务的获取,以便进行维护或对登记处进行修理服务,前提是: ㈠
(b) hTe rules governing the organization or management of the business;登记服务的暂停期限尽可能短暂; ㈡ 广泛公布关于暂停及其预期时段的通知;
and
(c) Information relating to the capitalization of the business.此类通知应当提前提供,不可行情况下,在暂停后合理的实际可行范围内尽早提供。
130.B.
Business registries may request information on the gender identifcation,  ethnicity or language group of the registrant and other persons associated with the  business, but the provision of such information should not be a requirement for  registration.获取企业登记处的服务 167. 法律应当允许所有潜在用户包括潜在登记人获取企业登记处的登记服务,不因种族、肤色、性别、语言、宗教、政治或其他见解、民族或社会出身、财产、出生或其他地位等理由而受到歧视。
It should be noted, however, that while such information can be  important for statistical purposes, particularly in light of State programmes that  may exist to support under-represented groups, its collection could raise privacy  issues.为了促进国内经济增长,有越来越多的国家允许既非本国公民也非本国居民的登记人为企业办理登记,前提是这些登记人符合某些要求,并遵守法律就外国登记人规定的某些程序。 168. 因此,潜在登记人获取企业登记处的登记服务只应以符合最低年龄要求并遵守使用此类服务的程序要求为前提,例如:通过经授权的通信媒介并使用规定的表格提交登记申请;
Such information should thus be requested only on a voluntary basis, should  be treated as protected data and made available, if at all, only on a statistical basis.登记人在表格中提供登记处要求提供的身份(见上文第128和129段以及建议21),并支付要求的任何登记费(见下文第198和199段以及建议41)。
131.169.
Depending on the legal form of the business being registered, other details  may be required in order to fnalize the registration process.登记处应当保留登记人的身份记录。 为了确保登记程序简单和直截了当,要求登记人提供的身份证据应当是颁布国日常商业交易中普遍认为充分的身份证据。
In some jurisdictions,  proof of the share capital, information on the type of commercial activities engaged  in by the business (see however paras. 242 and 243 below), and agreements in  respect of non-cash property constitute information that may also be required in  respect of certain legal forms of business.登记处以电子方式运作,并允许用户直接访问时,潜在登记人应当能够选择在登记处设立一个受保护的用户账户,以向登记处传送信息。 这将便利经常使用企业登记处登记服务的用户的访问(如企业登记中介或代理),因为他们只在最初设立该账户时需要提供必要的身份证据。 170.
In addition, in several jurisdictions, registration of shareholder details and any changes therein may be required;一旦登记人遵守了上文第168段所述关于访问登记处的要求(和国家法律规定的任何其他要求),登记处不得拒绝提供登记处的登记服务。
in a few  cases, registration of shareholder details is carried out by a different authority.在此阶段,登记处可进行的唯一监督(在电子登记处,这项监督是自动进行的)是确保可辨认的信息(即使不完整或不正确)输入企业登记表格。
States should, however, be mindful that requesting a prospective business to submit  complex and extensive information may result in making registration more diifcult  and expensive and thus may discourage MSMEs from registering.如果登记人不符合获取企业登记处登记服务的客观条件,登记处应提供拒绝提供服务的理由(例如,登记人未提供有效的身份),以便登记人处理该问题。 登记处应当尽快提供此类理由(在这方面,见上文第146至149段和建议27)。
132.171.
It should also be noted that in some jurisdictions, registration of the identity  of the business owner(s) is considered a key requirement;登记处设立的“使用条款和条件”也可能涉及与获取企业登记处的登记服务有关的某些规则。 这些可能包括为登记人提供开设账户的机会,以便利其迅速获取登记处的登记服务并支付任何必要的服务费用。
other jurisdictions now  make it a practice to register benefcial ownership details and changes in those  details, although the business registry is not always the authority entrusted with  this task.获取服务的条款和条件也可涉及登记人对其财务和其他信息的安全和保密的关切,或是登记信息未经企业授权而被更改的风险。 为登记人分配一个唯一的用户名和密码,或采用其他现代安全技术,将有助于降低此类风险,要求登记处发现他人对用户账户信息作任何更改就通知登记人也会起到这样的作用。 建议33:获取企业登记处的服务
16 Transparency in the benefcial ownership of businesses can help prevent the misuse of corporate vehicles, including MSMEs, for illicit purposes.法律应当允许访问企业登记处,不因种族、肤色、性别、语言、宗教、政治或其他见解、民族或社会出身、财产、出生或其他地位等任何理由而加以歧视。 C. 妇女获取企业登记处的登记服务的平等权利
17172.
Recommendation 21: Minimum information required for registration hTe law should establish the required information and supporting documents for the  registration of a business, including at least:虽然建议33所载的不歧视原则明确包含各种类别的歧视,包括基于性别的歧视,但本《指南》支持以下观点,即按照联合国的各项目标和决议,{§22} 考虑到妇女在促进可持续发展方面的重要作用以及她们持续经历的社会、经济和政治不平等,增强妇女权能应当成为各个国家和国际组织关心的一项主要内容。 在这方面,应当指出,在世界许多区域,妇女拥有的企业特别是微型和小型企业,在所有中小微企业中占很大比例,在某些国家,这些企业的平均增长率高于男子拥有的企业。
(b) hTe address at which the business can be deemed to receive correspondence or, in cases where the business does not have a standard form address, the precise description of the geographical location of the business;但是,在所有区域,妇女拥有的中小微企业往往在非正规经济中所占比例过大,在许多区域,这类企业在商业活动中遇到更大的障碍。 这些障碍可能包括:获得资金的机会较少(例如妇女取得一笔贷款的可能性较低,或她们借款的条件可能较为不利),法律和监管环境差(如财产权利或法律行为能力较弱),教育差距(如获得教育的机会较少或金融知识较为贫乏),以及社会和文化规范(例如,限制妇女流动或与家庭以外的人交往或限制妇女可以从事的活动的类别)。 173.
(c) hTe identity of the registrant(s);在某些国家,性别不平等甚至可能导致对于想创办企业的妇女提供不同的形式要求或限制,包括对企业登记的要求。
(e) hTe legal form of the business being registered and its unique identifer, if  such an identifer has already been assigned.例如,在这些国家,妇女创办企业可能必须提交更多的文件,或者在没有配偶同意的情况下不被允许办理企业登记。 在另一些国家,即使妇女经济平等的原则已载入基本法律(例如《宪法》),其实际效果可能因为实际障碍、习惯做法或侵犯许多妇女的权利的平行法律制度而受到限制。 174.
16 A “benefcial owner” is the natural person(s) who ultimately owns or controls a legal person or arrangement even when the ownership or control is exercised through a chain of ownership or by means of control other than  direct control. hTese vehicles may include not only corporations, trusts, foundations, and limited partnerships, but  also simplifed business forms, and may involve the creation of a chain of cross-border company law vehicles created  in order to conceal their ownership.旨在改进营商环境的国家应当采取包容性办法,促进创业并解决阻碍所有企业平等、有效参与经济的法律、社会和监管障碍,尤其是将重点放在妇女拥有的中小微企业上。 {§23} 这与各国在国际商定目标和具体目标下作出的在全球、区域和国家级别实现性别平等与增强妇女和女童权能的承诺是一致的。 这些步骤也符合各国在世界人权文书(如《世界人权宣言》)中所作的不歧视承诺以及《联合国消除对妇女一切形式歧视公约》和消除基于性别歧视的其他联合国条约缔约国的保证。
17 It should be noted that the Financial Action Task Force (FATF) Recommendation 24 in respect of trans parency and benefcial ownership of legal persons encourages States to conduct comprehensive risk assessments  of legal persons and to ensure that all companies are registered in a publicly available company registry. hTe basic  information required is: (a) the company name;175.各国还需要制定政策,以在自愿基础上通过企业登记处收集企业登记方面按性别分列的匿名数据(另见上文第56段和下文第190段)。 缺乏按性别分列的数据影响一个国家的能力,使其无法确定建立无性别倾向的企业登记框架面临多大程度的非正式障碍。 建议34:妇女获取企业登记处的登记服务的平等权利
(b) proof of incorporation;法律应当: (a)
(c) legal form and status;规定妇女享有获取企业登记处的登记服务以便创办企业的平等的和可执行的权利;
(d) the address of the registered oifce;(b) 确保企业登记要求不因性别而对潜在登记人有所歧视; (c)
(e) its basic regulating powers;规定采取政策以通过企业登记处收集企业登记方面按性别分列的匿名数据。
and (f) a list of directors.D. 向公众提供信息 176.
In addition, companies are  required to keep a record of their shareholders or members.登记处根据其作为企业相关信息的收集机构和传播机构的职能(另见上文第52(b)段),应当提供关于一家已登记企业的所有公开信息。
(See International Standards on Combating Money  Laundering and the Financing of Terrorism & Proliferation: hTe FATF Recommendations, PartEon Transparency  and Benefcial Ownership of Legal Persons and Arrangements, Recommendation 24 (www.fatf-gaf.org/media/ fatf/documents/recommendations/pdfs/FATF_Recommendations.pdf ).这可使感兴趣的用户能够在较为知情的情况下作出决定,决定他们想要和谁做生意,并为各组织和其他利益攸关方收集商业情报提供便利。 另外,鉴于一般用户获取可公开获得的已登记信息同样增强了登记处运作的确定性和透明度,公众可以获取这种信息的原则应当在颁布国的法律中予以申明。 在多数国家,一般允许公众获取已登记信息。
E. Language in which information is to be submitted不过,需要保护某些已登记信息的机密性。 出于这些原因,建议登记处应当对公众彻底开放,除非已登记信息根据适用法律受到保护。
133.177.
When requiring the submission of information for business registration, one  important issue for the State to consider is the language in which the required  information must be submitted.虽然大多数国家都采用披露可公开获得的已登记信息的办法,但用户获取信息的方式、信息呈现的格式以及可获取信息的类型,均因国家不同而差异巨大。 这种差异不仅取决于一个国家的技术发展,还取决于获取此类信息的框架,例如,可用来查询登记处的不同标准方面的框架。
Language can be a barrier and can cause delays in  registration if documents need to be translated into the language of the registry.178. 不建议各国限制对企业登记处信息的获取,或要求用户阐明请求获取的理由。 这种政策会严重损害登记处的核心职能,即公布和传播关于已登记企业的信息。
On the other hand, a business can be registered only if the content of the information is legible to the registry staff.此外,如果将自由裁量的因素注入是否准许信息请求的过程中,可能会损害公众对登记处所存信息的平等获取,一些潜在用户或许无法获取其他用户可以获取的信息。
For this reason, it is not common for jurisdictions  to allow documents or electronic records to be submitted in a non-oifcial language.179. 访问企业登记处需要遵照一定的程序要求,例如要求用户使用规定的表格提交信息请求,并支付规定的任何费用。
States, however, may consider whether such documents can be accepted. hTere are  some States that allow all or some of the information relating to the business registration to be submitted in a non-oifcial language.如果用户不使用规定的登记处表格或不支付必要的费用,就可以不让用户访问以查询登记处。 如同拒绝办理企业登记那样,登记处有义务尽快说明其拒绝获取信息服务的具体原因,使用户能够纠正这一问题。 180.
Should States opt for this  approach, they may wish to require that the documents or electronic records must  be accompanied by an oifcial translation into the registry’s oifcial language(s) or  any other form of authenticating the documents that is used in the State.与对登记人采取的办法不同,登记处不应当索要和存留用户的身份证明,以此作为其获得企业登记处所存信息的前提条件,因为用户仅仅是从公共登记处记录中检索信息。 因此,只有在为收取任何适用的信息检索费的目的而必须提供身份证明的情况下,才应当要求用户提供身份证明。
134.181.
Another issue is whether the documents submitted to the business registry  include information, such as names and addresses, that uses a set of characters  different from the characters used in the language of the registry.如果用户未能在指定栏以可辨认的方式输入查询标准,登记处也可拒绝该信息请求,但登记处应当尽快说明拒绝的理由,如同处理登记人不遵守登记的客观条件一样(见上文第168和170段)。
In such a situa tion, the State should provide guidance on how the characters are to be adjusted  or transliterated to conform to the language of the registry.在允许用户以电子方式向登记处提交信息请求的登记处系统中,软件的设计应能够自动阻止提交指定栏内有不含可辨认的查询标准的信息请求,并在用户的屏幕上显示拒绝请求的依据。
135.182.
A number of States have more than one oifcial language or no oifcial language.此外,为了促进信息的传播,应鼓励各国取消对获取已登记企业的基本信息的收费,或对此收取最低限度的费用(见下文第203段)。
In these States, the language in which the information is to be submitted to  the business registry is usually determined by the language laws of the State, if any  (see also para. 120 above).电子登记处的发展将大大促进这一办法,这类登记处允许用户以电子方式提出请求或进行查询,而不必依赖登记处人员介入。 这一办法对登记处来说成本也降低许多。
When States decide to accommodate registration in  more than one language, different approaches can be adopted.如果登记系统是纸介系统,用户可能需要亲自造访登记处办公点,并当场进行查询(手动或使用所提供的信通技术设施),或是等待登记处向他们寄送纸质信息。
For example, States  may require parties to make their registration in all oifcial languages;在这两种情况下,登记处工作人员可能都需要协助用户查找信息和为信息披露做准备。
or they may  permit fling in one language only, but then require the registry to prepare and  register duplicate copies in all oifcial languages.此外,获取纸质信息难免拖延、成本高,可能出现错误,获取的信息可能不是最新信息。 183. 最后,国家应当设计一些有效的手段,鼓励使用登记处提供的信息服务。
Both these approaches, however,  may be costly and invite error.电子登记处允许用户直接且持续地访问(除定期维护时段外),采用此类登记处将促进信息的实际使用。
A more eifcient method to deal with multiple  oifcial languages, any one of which may be used to register, would be to allow  registrants to carry out registration in only one of those oifcial languages. hTis  approach would also take into account the fnancial constraints of MSMEs and  additional circumstances, such as possible literacy issues, when entrepreneurs may  not be equally lfuent in all oifcial languages in a State. Whichever approach is  taken, States will have to consider ways to address this matter so as to ensure that  the registration and any subsequent change can be carried out in a cost-effective  way for both the registrant and the registry and, at the same time, ensure that  information can be understood by the registry’s users. Recommendation 22: Language in which information is to be submitted  hTe law should provide that the information and documents submitted to the business registry must be expressed in the language or languages specifed, and in the  character set as determined and publicized by the business registry. F. Notice of registration 136. hTe business registry should notify the registrant whether or not the registration of the business was effective as soon as practicable, and, in any event, without undue delay.
Requiring the registry to inform promptly the registrant of the  registration helps to ensure the integrity and security of the registry record.关于企业登记处所提供服务的宣传活动也将有助于积极使用信息服务。 建议35:向公众提供信息
In  States where online registration is used, the registrant should receive an online  notifcation of the registration of the business.法律应当明确规定,所有已登记信息可为公众充分、便利地获得,除非根据适用法律受到保护。 E. 信息不予公开的情况
Recommendation 23: Notice of registration hTe law should require the business registry to notify the registrant, as soon as practicable, and, in any event, without undue delay, whether the registration of its business is effective.184. 如上文所述(见第176和177段),应当准许所有相关实体和广大公众访问企业登记处。 登记处是对公众具有重要意义的可信任的信息收集机构,为了维护其诚信和声誉,应控制对敏感信息的获取,从而避免任何违反保密规定的行为。
In an online registration system, the business registry should send an  online notifcation to the registrant immediately atfer all of the requirements for the  registration of the business have been successfully fulflled.因此,各国应当实施适当的披露程序。 各国可以作出规定,列出哪些信息不可向公众披露,或者可以采用相反的办法,作出规定,列出哪些信息可以提供公众查询,同时申明没有列出的信息不得披露。 185.
G. Content of notice of registration每个国家的立法往往包括关于数据保护和隐私的条款。
137. hTe notice of registration should include the minimum information in  respect of the registered business necessary to provide conclusive evidence that all  requirements for registration have been complied with and that the business is duly  registered according to the law of the enacting State.在设立登记处尤其是电子登记处时,各国必须考虑登记申请中所包含受保护数据的处理、保护、储存和使用相关问题。 应出台适当的立法,确保这些数据得到保护,包括各公共主管机构之间如何共享这些数据的规则(见上文第114段和建议18)。
Recommendation 24: Content of notice of registration hTe law should provide that the notice of registration may be in the form of a cer tifcate, notice or card, and that it should contain at least the following information:各国还应当注意到,因为国际社会努力打击洗钱、恐怖主义和其他非法活动,所以产生了一种提高透明度的大趋势,以期避免将公司载体滥用于非法目的。 {§24} 因此,各国应当采取一种平衡的办法,以期既实现透明度,又顾及就获取登记处所存敏感信息采取保护措施的必要性。
(a) hTe unique identifer of the business;建议36:信息不予公开的情况
(b) hTe date and time of its registration;在企业登记处的信息不予公开的情况下,法律应当:
(c) hTe name of the business;(a)
(d) hTe legal form of the business;规定有关已登记企业的哪些信息必须服从关于受保护数据的公开披露的适用法律,以及哪些信息类别不得公开披露;
and(b)
(e) hTe law under which the business has been registered.明确规定登记官可以使用或披露属于保密限制范畴内的信息的情形。
H. Period of effectiveness of registrationF. 登记处服务的直接电子访问
138.186.
States may adopt one of two approaches to determine the period of effec tiveness of the registration of a business.如果国家选择实施电子企业登记处,在可能的情况下,登记处的设计应当允许用户在任何电子设备包括移动设备上直接进行提交和查询,同时也可以在登记处的办公点或其他地点供公众使用的电脑设施上进行。
In some States, the registration of the  business is subject to a maximum period of duration established by law.为使对企业登记处服务的获取更加便利,登记处的使用条件可允许中介(例如,律师、公证员或私营部门第三方服务提供商)代表客户办理登记和查询信息,前提是适用法律允许或要求此类中介参与。
It follows  that unless the registration is renewed, the registration of the business will expire  on the date stated in the notice of registration or upon the termination of the  business.187. 如果登记处允许直接电子访问,则登记处用户(包括中介)对确保任何登记或修订请求或在登记处进行的任何查询准确无误承担责任。
18 hTis approach imposes a burden on the registered business, which could be particularly problematic for MSMEs, as they otfen operate with minimal staff  and limited knowledge of the applicable rules.由于必要的数字表格由登记处用户在无需登记处工作人员帮助的情况下填写,登记处工作人员改动这些表格的可能性就大大降低,因为他们的职责基本限于管理和便利用户的电子访问、处理任何费用、监督登记处系统的运行和维护以及收集统计数据。
Further, if additional information is  required and not furnished by the business, renewal of its registration could also  be refused.不过,即使允许直接电子访问,如果仍然需要登记处工作人员介入并将以电子方式向其提交的信息输入企业登记处记录,则登记处工作人员出现差错或不当行为的可能性仍是存在的(另见下文第213段)。
139.188.
Under the second approach, no maximum period of validity is established  for the registered business and the registration is effective until the business ceases  to operate and is deregistered. hTis approach simplifes the intake process and both  encourages registration and reduces its burden on all businesses. However, States  that opt for this approach should ensure the adoption of appropriate methods (e.g.  sending regular prompts to businesses, establishing advertising campaigns as  reminders, or, as a last resort, enforcement procedures) to encourage businesses to  keep their registered information current (see paras. 157 to 161 and rec. 30 below). 140. In some cases, both approaches have been adopted: a maximum period of  registration, subject to renewal, may apply to registered businesses that are of a  legal form that does not have legal personality, while an unlimited period of registration may apply to businesses that have legal personality. hTis duality of  approach relfects the fact that the consequences of the expiry of registration of a  business that possesses legal personality are likely to be more serious and may affect  the very existence of the business and the limited liability protection afforded to  its owners. 18 It should be noted that the general law of the enacting State for calculating time periods would apply to the calculation of the period of effectiveness, unless speci fc legal provisions applicable to registration provide  otherwise.
For example, the general law of the enacting State may provide that, if the applicable period is expressed  in whole years from the day of registration, the year runs from the beginning of that day.直接电子访问大大降低了系统运行和维护的成本,提高了登记处的可访问性(包括在通过中介进行登记或查询时),并且因消除了向登记处提交信息与信息被实际输入记录之间的时滞而提高了登记程序的效率。
141. Although some jurisdictions require registered businesses to renew their  registration periodically, the practice of establishing registration without a maximum period of validity is a more desirable approach as it meets the needs of businesses for simplifed and fast procedures, while relieving them, in particular  MSMEs, of a potential burden.在一些国家,电子访问(不论是在登记人或企业的房地还是在登记处的办公点)是获取企业登记处服务的唯一可用方式。 事实上,在登记处既使用电子媒介也使用纸质媒介的许多国家,显然获取登记处服务的最普遍方式是电子方式。 189.
Recommendation 25: Period of effectiveness of registration hTe law should establish that the registration is valid until the business is deregistered.因此,建议在可能的程度内,各国应当建立计算机化的、允许登记处用户直接电子访问的企业登记处。 鉴于对设立电子登记处的实际考虑,应当向用户提供多种访问方式,至少是在实施的早期,以消除不熟悉电子系统的用户的顾虑。
I. Time and effectiveness of registration为便于使用,登记处应提供多个访问点。
142. In the interests of transparency and predictability of a business registry,  States should determine the moment at which the registration of a business or any  later change made to the registered information is effective.对于电子登记处和纸介或混合型登记处来说,获取企业登记处服务的总体目标都是一样的:使登记和信息检索程序尽可能简单、透明、高效、便宜和便利公众。 建议37:登记处服务的直接电子访问
States usually determine that a business registration or any subsequent change made to it is effective  either at the time of the entry of that information into the registry record or when  the application for registration (or a change to that information) is received by the  registry.法律应当规定,在符合颁布国其他适用法律的前提下,具备信息和通信技术的,可通过电子手段远程提交企业登记申请和企业已登记信息修订请求。 建议38:直接电子访问以查询登记处 法律应当规定,具备信息和通信技术的,可通过电子手段远程查询登记处。
G. 为获取信息提供便利 1. 所提供信息的类型 190.
Whichever approach is chosen, the most important factor is that the State  make it clear at which moment the registration or change is effective.信息如果提供公众获取,则对用户具有特殊价值,但哪些类型的已登记信息可供获取,则取决于所查询企业的法律形式和关于哪些已登记信息受到保护和哪些信息可供公众获取的适用法律。
In addition,  the effective time of registration of the business or any later change to the registered  information should be indicated in the registry record relating to the relevant  business.登记处可以提供的关于企业的有价值信息包括下列方面:企业概况及其高级职员(董事、审计师)简介; 年度决算; 企业部门或营业地清单;
143.登记或设立通知;
In some jurisdictions, businesses may also apply for the protection of certain  rights in the period prior to registration.发布的企业备忘录、公司章程或企业运营管理方面的其他规则; 企业现有名称和企业历史; 与破产有关的信息;
For example, the provisional registration  of the trade name of the business to be registered may protect that name from  being used by any other entity until the registration of the business is effective.任何股本; 登记处文件核证无误的副本; 事件通知(延迟提交年度决算、新提交的文件等)。
In  such cases, States should be equally clear to establish the moment at which such  pre-registration rights are effective and the period of their effectiveness.与企业登记处有关的其他有价值信息可能包括:确定其他相关法律和条例,或关于提供登记处信息服务的预期周转时间和此类服务的费用的信息。
144. If the registry is designed to enable users to submit or amend registered  information electronically without the intervention of registry staff and to use  online payment methods for the registration, the registry sotfware should ensure  that the information becomes effective immediately or nearly immediately atfer it  is transmitted.此外,一些登记处编写企业登记处运作报告,可以为登记处设计者、决策者和学术研究者提供有用的数据(例如登记和查询的数量、运营成本或在某特定期间内收取的登记费和查询费)。 有关企业数据、年度决算、定期报告书的信息和关于登记处服务收费的信息是最受欢迎的信息,也是公众最经常要求提供的信息。 如果登记程序允许,在不违背颁布国的法律的前提下,企业登记处也可以向用户提供自愿提交的关于企业关联人的性别、族裔或语言群体的分类统计信息。
As a result, any delay between the time of the electronic transmission of the information and the effective time of registration of the business will  be eliminated.这些信息对于希望制定政策和方案以支助代表性不足的社会群体的国家可能特别重要(见上文第56和130段)。
145.191.
In registry systems in which the registry staff must enter the information  into the registry record (whether it is received electronically or in paper form), there will inevitably be some delay between the time when the information is  received in the registry oifce and the time when the information is entered into  the registry record.如果国家规定必须登记成员或股东的具体信息,也可以允许公众获取这些信息。 对企业实际所有人的信息可以采取类似的办法,可以向公众提供实际所有人的信息,以降低对可能滥用企业实体的担心。 然而,由于实际所有权信息的性质敏感,在选择不加限制地披露实际所有权信息之前,可能要求国家谨慎斟酌。
{§25} 2. 消除妨碍可获取性的非必要障碍 192.
In these cases, the law should provide that the registry must  enter the information received into the registry record as soon as practicable and  possibly set a deadline by which that entry should be completed.登记处需要确保可查询的信息易于获取; 尽管信息可以获取,但这并不总是意味着用户可以轻易地获取。
In a mixed registry system which allows information to be submitted in both electronic and paper  form, registrants who elect to use the paper form should be alerted that this method  may result in some delay in the time of effectiveness of the registration.信息获取往往存在各种障碍,比如信息的编排格式:如果读取信息需要特殊的软件,或是只能以某种特殊格式获取,就不能说这些信息可以广泛获取。 在一些国家,一些信息以书面和电子格式提供; 然而,仅以书面形式提供的信息很可能降低公众的可获取性。
Finally, a  business registry usually processes applications for registration in the order in  which they have been received, although some jurisdictions may permit expedited  processing of applications, subject to the payment of an additional fee.可能降低信息可获取性的其他障碍有:查询标准限于企业独一识别码(而不是同时允许使用企业名称查询); 就提供信息服务收费(例如,见下文第203段); 要求用户在获取信息前先行登记且用户登记可能需要缴费。
Recommendation 26: Time and effectiveness of registration各国应当根据各自的需求、条件和法律,寻找最适当的解决办法。
(a) Require the business registry to record the date and time that applications  for registration are received and to process them in that order as soon as practicable  and, in any event, without undue delay;193. 一些国家不仅为电子信息查询创造条件,还通过其他渠道分发信息,这些渠道可以补充互联网的使用,甚至在网上登记系统尚不完善之时作为分发信息的主要方法。
(b) Establish clearly the moment at which the registration of the business is  effective;下面是一些国家使用的其他信息共享手段:
and(a)
(c) Specify that the registration of the business must be entered into the business registry as soon as practicable thereatfer, and in any event without undue delay.电话服务,提供有关已登记企业的信息和产品订购; (b) 订阅服务,告知订阅者有关指定企业的事件,或是就某些类别的企业登记作出公告;
J. Rejection of an application for registration(c) 订购服务,可以获取各种产品,通常要使用互联网浏览器;
1.(d)
Rejection due to errors in the application for registration递送服务,可递送各种产品,例如公众可获取的企业已登记信息的记录誊本、文件清单或包含选定数据的电子文件。
146.194.
A series of checks and control procedures are required to ensure that the  necessary information is provided in order to register the business;在获取企业登记处服务方面,不论是为办理企业登记还是为审查登记处所存信息之目的,一个经常被忽视的障碍是不懂官方语文。
however, the  extent of such controls varies according to the jurisdiction.以其他语文提供表格和说明可能会使用户对登记处的访问更加便利。 然而,企业登记处很少以除官方语文以外的语文提供服务。
In those legal regimes  where the registry performs simple control procedures, if all of the basic legal and  administrative requirements established by applicable law are met, the registrar  must accept the information as fled, record it, and register the business.由于以其他语文提供所有信息可能给登记处增加费用,可以采用一种较为适中的办法,即考虑仅以某种非官方语文提供登记的核心方面的信息,例如关于一些说明或表格的信息。 在决定哪种非官方语文最为适当时,登记处似宜基于历史关联、法域的经济利益和法域所在的地理区域作出决定(见上文第133至135段和建议22),并考虑使用一种便利跨境交流且得到广泛使用的语文。 3.
When the  legal regime requires a more thorough verifcation of the information fled, registries may have to check whether mandatory provisions of the law are met by the  content of the application and information submitted, or by any amendments  thereto.批量信息 195.除了提供单个企业的信息,一些法域内的企业登记处也提供获得“批量”信息的可能性,即选定或全部已登记企业的信息的汇编。 可以为商用或非商用目的请求提供这类信息,通常是与企业打交道和频繁处理企业相关数据的公共主管机构和私营组织(比如银行)使用这类信息。
Whichever approach is chosen, States should defne in their law which  requirements the information to be submitted to the registry must meet.根据接收实体的需要和能力,批量信息的分发也存在差异。 在履行这一职能时,登记处可以采用的一种办法是确保以电子方式传送关于所有已登记实体的选定数据,外加传送关于一定时期内所有新的登记、修订和注销的数据。
In certain jurisdictions, the registrar is given the authority to impose requirements as to the  form, authentication and manner of delivery of information to be submitted to the  registry.登记处可选用的另一种办法是利用基于网络或类似的服务进行系统间整合,提供名称查询和直接访问特定实体的选定信息的机会。 直接访问可避免接收组织不必要地、过多地储存信息,尚未有此类服务可用的国家应当在改革其企业登记系统时考虑将此作为一个可行的选项。
When an MSME is seeking to register, such requirements should be kept  to a minimum in order to facilitate the registration process for MSMEs. hTis will  reduce administrative hurdles and help in promoting business registration among  such businesses.分发批量信息可以作为登记处自己创收资金的一种可行办法(见下文第203段)。 建议39:为获取信息提供便利 法律应当确保避免设立不必要的障碍,如要求安装特定软件、收取高昂查询费或要求信息服务用户进行登记或以其他方式提供身份信息,从而为获取已登记企业的公开信息提供便利。
147.H. 跨境获取可公开获得的已登记信息 196.
Registration of MSMEs may also be facilitated if the registrar is granted the  power to accept and register documents that do not fully comply with the requirements for the form of the submission, and to rectify clerical errors, including its  own incidental errors, in order to bring the entry in the business registry into  conformity with the documents submitted by the registrant. hTis will avoid imposing the potentially costly and time-consuming burden of requiring the registrant  to resubmit its application for registration. Entrusting the registrar with these  responsibilities may be particularly important if registrants do not have direct  access to electronic submission of documents and where such submission, or the  entry of data, requires the intervention of the registry staff. In States where it is  possible for registrants to submit applications for registration directly online, the  electronic registration system usually provides automated scrutiny of the data  entered in the application. When the registrar is granted the authority to correct  its own errors as well as any incidental errors that may appear in the information  submitted in support of the registration of the business, the law of the enacting  State should strictly determine under which conditions those responsibilities may  be discharged (see also paras. 231 and 232 and rec. 53 below). Clear rules in this  regard will ensure the integrity and security of the registry record and minimize  any risk of abuse from or corruption by the registry staff (see also paras. 212 to  217 and rec. 47 below). hTe law of the enacting State should thus establish that  the registry may only exercise its discretion to correct errors upon having provided  prior notifcation of the intended corrections to the registrant and having received  the consent of the registrant in return, although this approach could create a delay  in the registration of the business while the registrar seeks such consent.
When  the information provided by the business is not suifcient to comply with the  requirements for registration, the registrar should be granted the authority to  request from the business additional information in order to fnalize the registration  process. hTe law of the enacting State should specify an appropriate length of time  within which the registrar should make such a request. 148. hTe rejection of an application for registration is likely to be processed dif ferently depending on whether the registry is electronic, paper-based, or mixed. In  a registry system that allows registrants to submit applications and relevant information directly to the registry electronically, the system should be designed, when  permitted by the State’s technological infrastructure, so as to automatically require  correction of the application if it is submitted with an error, and to automatically reject the submission of incomplete or illegible applications, displaying the reasons  for the rejection on the registrant’s screen. In cases where the application for registration of a business is submitted in paper form and the reason for its rejection  is that the application was incomplete or illegible, there might be some delay  between the time of receipt of the application by the registry and the time of communication of its rejection, and the reasons therefor, to the registrant. In mixed  registry systems which allow applications to be submitted using both paper and  electronic means, the design of the electronic medium should include the technical  specifcations that allow for automatic requests for correction or automatic rejection of an application.
Moreover, registrants who elect to use the paper form when  such a choice is possible should be alerted that this method may result in some  delay between the time of receipt of the application by the registry and the time  of communication of any rejection, and the reasons therefor.不同规模企业的国际化,使得越来越多地需要获取信息以了解在国境外经营的企业的情况。 然而,由于技术或语言障碍,关于已登记企业的信息并不总是可以在跨境基础上便利获得。 因此,为了确保企业的可跟踪性、确保企业业务的透明度并创造更有利于企业的环境,让跨境获取此类信息变得尽可能简便快捷十分重要。
2.197.
Rejection of an application for failure to meet the requirements prescribed by law可以采取一系列措施便利企业登记处的外国用户进行访问。
149. States should provide that registries must reject the registration of a business  only if its application does not meet the requirements prescribed by the applicable  law of the State. 19 hTis approach is implemented in several jurisdictions regardless of their legal tradition.可以采取某些措施确保这些用户容易地检索企业登记处所储存的信息。 除允许至少以一种外国语文提交登记和查询请求之外(见上文第194段),采用容易使用的查询标准和容易理解的信息结构将进一步简化来自外国法域的用户访问的过程。 各国似宜考虑与其他国家(至少是相同地理区域的国家)协调,以便采取的做法顾及所传送信息的跨境标准化和可比性。
In order to prevent any arbitrary use of such power, however,  the registrar must provide, in writing, a notice of the rejection of an application for  registration and the reasons for which it was rejected, and the registrant must be  allowed time to appeal against that decision as well as to resubmit its application.可以采取的另一组措施涉及以一种非官方但得到广泛使用的语文提供关于外国用户如何获取企业登记处的服务的信息。 如同对国内用户一样,也应告知来自外国法域的用户通过登记处指定电子地址、电子联系表格或客户服务电话号码与登记处人员建立直接联系的可能性(见上文第120段)。 建议40:跨境获取可公开获得的已登记信息
Recommendation 27: Rejection of an application for registration hTe law should provide that the registrar:法律应当确保企业登记系统采用便利跨境获取登记处的公开信息的解决办法。 第七章.费用 贸易法委员会企业登记处关键原则立法指南
七. 费用 198.
(a) Must reject an application for the registration of a business only if the  application does not meet the requirements specifed in the law;要求为登记服务支付一笔费用是许多国家的标准做法。 支付费用后,已登记企业可以获取企业登记处服务和登记带来的诸多好处。 最常见的费用类型是企业登记应交付的费用和提供信息产品和服务应交付的费用。
(b) Is required to provide to the registrant in written form the reason for any  such rejection;在有些法域,登记处还可能收取年费,以便企业留在登记处(这些费用与任何特定活动无关),也可能收取登记年度决算或财务报表的费用。
and199.
(c) Is granted the authority to correct its own errors as well as any incidental  errors that may appear in the information submitted in support of the registration of这些费用为登记处带来收入,却可能影响企业有关是否办理登记的决定,因为支付这些费用可能给企业造成负担,特别是中小微企业(另见上文第9和25段)。 例如,新登记费用可能阻碍企业办理登记,而使公司留在登记处或登记年度决算的年费可能妨碍企业维持其已登记地位。
19 Instances in which the registry improperly accepts an application and registers a business that does not meet the requirements prescribed by law should be governed by the provisions establishing liability of the business  registry, if any (see paras. 212 to 217 of the Guide).在确定登记服务的费用时,各国应当考虑到这些影响和其他间接影响。 寻求增加办理企业登记的中小微企业数量并在中小微企业整个寿命周期为其提供支持的各国应当考虑免费提供登记和登记后服务。 一些国家将企业登记视为旨在鼓励所有规模和法律形式的企业办理登记的一项公共服务,而不是将其视为一项创收机制,在这些国家,登记费常常设定在不会令中小微企业望而生畏的程度。
Moreover, the law of the State should establish how rectifcation  of business registration should be carried out in such instances.在此类国家,不论企业规模而使用统一的登记收费表是最常见的办法。 还有一些国家免费提供企业登记。
the business, provided that the conditions under which the registrar may exercise this  authority are clearly established.有些国家增强了企业登记处、税务和社会保障主管机构之间的互操作性,因而采用了综合登记和付款表格,在这些国家,所有相关主管机构办理登记应采取统一的收费办法。
K. Registration of branchesA. 企业登记处服务收取的费用
150.200.
Registration of branches of a business is a common practice, although there  are jurisdictions in which such registration is not required.无论费用种类如何,设定费用的一个关键考量是平衡兼顾,既顾及登记处运作的可持续性,又顾及促进企业登记。
Most States require the  registration of national branches of a foreign business in order to permit those  branches to operate in their jurisdiction and to ensure the protection of domestic  creditors, businesses and other interested parties that deal with those branches.建议采用许多国家已经实行的办法,即适用成本回收原则,根据这一原则,费用产生的利润不应超过成本。 在适用这一原则时,各国首先应当评估,实现成本回收需要从登记处费用中获得收入的程度,在此过程中,不仅考虑与设立登记处有关的初始成本,还应当考虑其运营所需成本。 这些成本可能包括:(a)登记处工作人员的工资;
In  several States, registration of a national branch of a national company is also  required or permitted.(b)升级和更换硬件和软件; (c)持续的工作人员培训; 及(d)宣传活动和对登记处用户的培训。
Registration of a business branch might not appear to be  immediately relevant for MSMEs, whose main concern is more likely to be to  consolidate their business without exceeding their human and fnancial capacity.对于网上登记处,如果登记处是与一家私营实体合作开发的,该私营实体可对登记处的基础设施进行初期资本投资,并在登记处开始运营之后,从向登记处用户收取的服务费中提取一定比例,从而收回投资。 201. 即使实行成本回收办法,各国在适用时仍然有很大的差异,因为这一办法要求确定哪些成本应当计入。
However, this issue is relevant for those slightly larger businesses that, being of a  certain size and having progressed to a certain volume of business, look to expand  beyond their local or domestic market.在某一国家,新企业登记费用是根据一家普通企业在整个寿命周期内登记活动的成本计算出来的。 通过这种方式,除了需要官方公告的修订,其他潜在修订的费用已经包含在公司支付的新登记费用当中。 这种办法据称会带来若干益处,例如:(a)使大多数修订免费,从而鼓励已登记企业守规;
151.(b)为登记处和企业节省与支付修订费用有关的资源;
States have their own rules for governing the operation of foreign businesses,  and there may be considerable differences among those States that permit the registration of branches of foreign businesses in terms of what triggers the obligation  to register them.(c)利用预付修订费用产生的暂时盈余改进登记处的业务和职能。 在另一些情况下,一些国家决定收取比企业登记处发生的实际成本低的费用,以促进企业登记。 然而,在此类情况下,向企业提供的服务可能会得到公共资金补贴。
Some approaches are based on a broad interpretation of the concept of foreign establishment, for example, those that include not only a branch,  but also any establishments with a certain degree of permanence or recognizability,  such as a place of business in the foreign State. Other approaches defne more  precisely the elements that constitute a branch which needs to be registered, possibly including the presence of some sort of management, the maintenance of an  independent bank account, the relation between the branch and the original or  main business, or the requirement that the original or main business has its main  oifce registered abroad. Not all States defne a branch in their laws, or state under  which circumstances a foreign establishment in the State must be registered: laws  may simply refer to the existence of a foreign branch. In these cases, registries may  fll the gap by issuing guidelines that clarify the conditions under which such a  registration should be carried out. When this occurs, the registration guidelines  should not be seen as an attempt to legislate by providing a discrete defnition of  what constitutes a branch, but rather as a tool to explain the features required by  a branch of a business in order to be registered.
152.202.
When simplifying or establishing a business registry, States should consider  enacting provisions governing the registration of branches of businesses from other  jurisdictions. hTose provisions should address, at a minimum, issues such as timing  of registration, disclosure requirements, information on the persons who can legally represent the branch and the language in which the registration documents should  be submitted.在确定混合登记处系统的费用时,国家对处理以纸质形式提交的申请和信息请求收取较高的费用可能是合理的,因为需要登记处工作人员对它们进行处理,而电子申请和信息请求直接提交给登记处,不太需要登记处工作人员关注。 纸质登记申请和信息请求收取的费用较高,这也将鼓励用户群体最终转向使用直接电子登记和信息请求服务。
Duplication of names could represent a major issue when registering  foreign company branches, and it is important to ensure that the identity of a business is consistent in different jurisdictions.然而,在作出这一决定时,各国似宜考虑这种收费方式是否可能对可能无法便捷地获取电子服务的中小微企业造成过大影响。 建议41:企业登记处服务收取的费用
In this regard, an optimal approach  could be for a business registry to use unique identifers to ensure that the identity  of a business remains consistent and clear within and across jurisdictions (see paras.  98 to 105 above).法律应当将企业登记和登记后服务费用(如果收费的话)定在这样的水平,该水平低到足以鼓励特别是中小微企业办理企业登记,并且无论如何不超过使企业登记处能够收回提供这些服务的成本的水平。 B. 收取的信息费
Recommendation 28: Registration of branches hTe law should establish:203. 在不同国家,就提供信息服务收费是登记处获得自行创收资金的一个可行选择。
(a) Whether the registration of a branch of a business is required or permitted;这些费用还激励登记处向用户提供有价值的信息产品,使其记录保持更新,并提供更高级的信息服务。
(b) A defnition of “branch” for registration purposes that is consistent with  the defnition provided elsewhere in the law;对于旨在改进这种创收的国家,建议采取的一种良好做法是避免对基本信息服务收费,比如简单的名称或地址查询(另见上文第178段),但对需要企业登记处作更多处理或提供时代价较高的更高级的信息服务收费(比如,直接下载、订阅服务或批量信息服务;
and另见上文第190和195段)。
(c) Provisions regarding the registration of a branch to address the following  issues:由于对信息服务收取的费用很可能影响到用户,费用应当设定在一个低到足以使这种服务有吸引力的水平。
(i) Disclosure requirements, including: the name and address of the registrants;同样,应根据成本回收原则确定任何此类费用的水平,以便在收回服务的成本之外不产生利润。
the name and address of the branch; the legal form of the  original or main business seeking to register a branch;此外,在收取信息服务费时,国家可以考虑对不同类别的用户确定不同的收费制度,如私人用户、法人或公共实体、偶然用户或有固定用户账户的用户。
and current  proof of the existence of the original or main business issued by a  competent authority of the State or other jurisdiction in which that  business is registered;这种办法将考虑到用户请求信息服务的频率或目的、其对快速和经常性服务的需要,或请求提供的信息产品类别(例如单个企业的信息或批量信息)。 建议42:收取的信息费 法律应当规定:
and(a)
(ii) Information on the person or persons who can legally represent the  branch.企业登记处收录的基本信息应当免费向公众提供; (b) 需要企业登记处作更多处理的信息服务可按反映提供所请求信息产品的成本的费用来提供。
V. Post-registrationC. 公布费用金额和支付方法
153.204.
While a key function of a business registry is, of course, the registration of  a business, registries typically support businesses throughout their life cycle.不论采用何种办法确定适用的费用,各国都应当明确规定向登记处用户收取的任何登记费和信息费的金额以及可以接受的支付方法。
Once  a business’s information is collected and properly recorded in the business registry,  it is imperative that it be kept current in order for it to continue to be of value to  users of the registry. Both the registered business and the registry play roles in  meeting these goals. 154.这些支付方法应当包括允许用户与企业登记处达成协议,创建一个用户账户以支付费用。 企业可以直接在网上办理登记的国家还应当考虑开发一个电子平台,使企业可以在向登记处提交申请时进行网上支付(见上文第76段和下文第205段)。
In order for a business to remain registered, it must submit certain information during the course of its life, either periodically or when changes in its registered information occur, so that the registry is able to maintain the information on  that business in as current a state as possible. hTe registry also plays a role in  ensuring that its information is kept as current as possible, and may use various  means to do so, such as those explored in greater detail below. Both of these functions permit the registry to provide accurate business information to its users, thus  ensuring transparency and supplying interested parties, including potential business partners and sources of fnance, the public and the State, with a trustworthy  source of information. A. Information required after registration 155. In many jurisdictions, entrepreneurs have a legal obligation to inform the registry of any changes occurring in the business, whether these are factual changes (for  example, address or telephone number) or whether they pertain to the structure of  the business (for example, a change in the legal form of business).
Information  exchange between business registries and different public authorities operating in the  same jurisdiction serves the same purpose.在公布登记费和信息费的金额时,一个办法是由国家以正式的条例或不太正式的行政指引的形式确定费用,登记处可根据其需要作出修订。
In some cases, business registries publish  annual accounts, fnancial statements or periodic returns of businesses that are useful  sources of information in that jurisdiction for investors, business clients, potential  creditors and public authorities.如果使用行政指引,这一办法将提供更大的灵活性,从而根据此后发生的事件调整费用,比如,一旦设立登记处的资本成本已经收回,就需要降低费用。 不过,这一办法的缺点是登记处可能会滥用这种较大的灵活性,从而不合理地上调费用。
Although the submission and publication of detailed  fnancial statements might be appropriate for public companies, depending on their  legal form, submission of fnancial information by MSMEs, if any, should be voluntary and far less detailed.或者,国家可以选择不明确规定应付的费用水平,而是指定获授权确定应付费用的主管机构。 国家还不妨考虑在法律中明确规定,登记处哪些类型的服务可以或必须免费提供。 建议43:公布费用金额和支付方法
Moreover, that information should only be made public by  the registry if approved by the MSME.法律应当确保就登记和信息服务收取的费用(如有的话)广为公布,可接受的支付方法也广为公布。 D.
However, to promote accountability and  transparency and to improve their access to credit or attract investment, MSMEs may Chapter V. Post-registration 63电子支付 205. 国家应当考虑开发电子平台,使企业能够在网上支付(包括使用移动支付系统和其他现代技术方式),以获取登记处收取费用的服务(见上文第76段)。
wish to submit and make public their fnancial information.这将需要颁布有关电子支付的适当立法,使登记处能够接受网上支付。
20 In order to encourage MSMEs to do so, States should allow MSMEs to decide on an annual basis whether  to opt for disclosure of such information or not.这类法律应当涉及的问题包括应当允许什么人、在何种情况下提供该服务; 用户对网上支付系统的访问;
156. hTe submission of information that a business is required to provide in order  to remain registered may be prompted by periodic returns that are required by the  registry at regular intervals in order to keep the information in the registry current  or it may be submitted by the business as changes to its registered information  occur.提供该服务的机构的赔偿责任; 客户的赔偿责任和错误的纠正。 最后,这类法律还应当与国家关于金融服务的一般性政策保持一致。
Information required in this regard may include:建议44:电子支付 法律应当允许和便利电子支付。
(a) Amendments to any of the information that was initially or subsequently  required for the registration of the business as set out in recommendation 21;贸易法委员会企业登记处关键原则立法指南 八. 赔偿责任和制裁
(b) Changes in the name(s) and address(es) of the person(s) associated with  the business;206. 每个企业必须通过及时提交修订,确保其已登记信息尽可能准确,但国家应当具备强制企业妥善地遵守初始的和持续的登记要求的能力。
(c) Financial information in respect of the business, depending on its legal form;通常通过建立强制执行机制来鼓励遵守这些要求,例如,对没能及时向登记处提交准确信息的企业实施制裁(见上文第155和156段及建议29)。
and207.
(d) Information concerning insolvency proceedings, mergers or winding-up  (see para. 58 above).此外,可以建立一个通知和警告系统,以提醒企业不遵守企业登记的具体要求(例如,迟交定期报告书)的后果。
Recommendation 29: Information required after registration hTe law should specify that atfer registration, the registered business must at least  fle with the business registry information on any changes or amendments to the  information that was initially required for the registration of the business pursuant  to recommendation 21.登记处以电子方式运作的,可以定期自动向已登记企业发送警告和通知。 此外,可在登记办公点的房地内醒目地显示此类警告和通知,并定期以电子方式和在印刷媒体上公布。 为了更好地协助企业,特别是中小微企业,各国还可考虑制定培训方案,以提高企业对其遵守登记要求的责任的认识,并告知它们如何履行这一责任。
B. Maintaining a current registryA. 提交误导性、虚假或欺骗性信息的赔偿责任
157.208.
States should enact provisions that enable the business registry to keep its  information as current as possible.各国应当通过条款,规定企业登记时或修订已登记信息时向登记处提交误导性、虚假或欺骗性信息和未提交本应提交的企业登记处所要求信息的赔偿责任。
A common approach through which that may  be accomplished is for the State to require registered businesses to fle at regular  intervals, for example once a year, a declaration stating that certain core information不过,应当谨慎地将非故意未提交所要求信息与故意提交误导性、虚假或欺骗性信息以及可能等同于提交误导性、虚假或欺骗性信息的故意不提交信息分开处理。 虽然故意行为或不作为应通过适当措施受到惩罚,但非故意未提交所要求信息导致的措施的惩罚性应当轻一些,尤其是非故意未提交得到及时改正的话。 209.
20 While MSMEs are not generally required to provide the same lfow and rate of information as publicly held frms generally, they may have strong incentives for doing so, particularly as they develop and progress.为了进一步澄清潜在的赔偿责任,国家还应当确保,企业登记处应当明确说明其所收录的信息是否具有法律效力,以及登记处所保存形式的信息是否可用来对抗第三方(另见上文第52(g)段以及建议10(g))。
Businesses  wishing to improve their access to credit or to attract investment may wish to signal their accountability by supplying information on: (1) the business’s objectives;建议45:提交误导性、虚假或欺骗性信息的赔偿责任 法律应当规定对于向企业登记处提供任何误导性、虚假或欺骗性信息或未提供所要求信息的适当赔偿责任。
(2) principal changes;B. 制裁 210.
(3) balance sheet and off-balance sheet  items;规定对违反与企业登记相关的义务处以罚款,例如对迟交定期报告书或未记录已登记信息的变更(见上文第157段),是各国强制要求守规通常采取的措施。
(4) their fnancial position and capital needs;罚款也可作为创收的手段,不过,收取罚款同样需要采取一种平衡的办法。
(5) the composition of any management board and its policy  for appointments and remuneration;在企业必须办理登记的情况下,一些国家将罚款作为抑制这类企业在正规经济之外运作的劝阻措施。
(6) forward-looking statements;在一些情况下,立法条款将公司享有某些福利与及时提交必要信息联系起来;
and (7) profts and dividends.在另一些情况下,对于晚提交行为执行的一系列不断提高数额的罚款最终可能导致强制清算。
Such considerations are not likely to trouble MSMEs while they remain small, but could be important for such businesses as  they grow.然而,如果将罚款作为企业登记处筹资的主要来源,将对登记处的效率造成损害。 在守规程度得到改善时,这些国家的登记处会损失收入,所以这些登记处改善守规程度的积极性也就不大了。
contained in the register concerning the business is accurate or stating what changes  should be made.因此,各国不应当依赖罚款作为企业登记处的主要收入来源; 而应当在这样的程度上确定和实施罚款,即既鼓励企业办理登记,又不会在守规程度改善时对登记处供资造成负面影响。
Although this approach may be valuable as a means of identifying  businesses that have permanently ceased to operate and may be deregistered, and  may not be burdensome for larger business with suifcient human resources, such  a requirement could be quite demanding for MSMEs, in particular if there is an  associated cost.211. 经常使用罚款制裁违反初始和持续登记义务的行为可能有碍于企业特别是中小微企业办理登记或妥善维护其登记。 各国应当考虑规定一系列将根据违规的严重程度适用的可能的制裁,或者对未满足法律规定的某些条件的中小微企业而言,对于初次违规的企业放弃任何制裁。
158.建议46:制裁
Another approach, which may be preferable in the case of MSMEs, is to  require the business to update its information in the registry whenever a change in  any of the registered information occurs. hTe risk of this approach, which is largely  dependent on the business complying with the rules, may be that the fling of  changes is delayed or does not occur. To prevent this, States could adopt a system  pursuant to which regular prompts are sent, usually electronically, to businesses to  request them to ensure that their registered information is current. In order to minimize the burden for registries and to help them make the most effective use of their  resources, prompts that registries regularly send out to remind businesses to submit  their periodic returns could also include generic reminders to update registered  information. If the registry is operated in a paper-based or mixed format, the registry  should identify the best means of performing this task, since sending paper-based  prompts to individual businesses would be time and resource consuming and may  not be a sustainable approach. In one State, where the registry is not operated electronically, reminders to businesses to update their registered information are routinely published in newspapers.
159.法律应当:
Regardless of the approach chosen to prompt businesses to inform the registry of any changes in their registered information, States may adopt enforcement  measures for businesses that fail to meet their obligations to fle amendments. For  example, a State could adopt provisions establishing the liability of the registered  business to a fne on conviction if changes are not fled with the business registry  within the time prescribed by law (see paras. 210 and 211 and rec. 46 below). 160. A more general method that may help mitigate any potential deterioration  of the information collected in the business registry would include enhancing the  interconnectivity and the exchange of information between business registries and  taxation and social security authorities as well as other public authorities. hTe  adoption of integrated electronic interfaces among the authorities involved in the  business registration process allowing for their technical interoperability and the  use of unique identifers could play a key role (see paras. 93, 94 and 98 to 105  above). Moreover, the registrar could identify sources of information on the registered business that would assist in maintaining a current registry record.
161.(a)
Once the registry has received the updated information, it should ensure  that all amendments are entered in the registry record without undue delay.确定企业违背关于准确、及时地向登记处提交信息的义务可能受到的适当制裁; (b) 包括违反义务的行为如果在规定的时间内得到纠正即可不予追究的条款;
Again,  the form in which the registry is operated is likely to dictate what might constitute Chapter V. Post-registration 65an undue delay.(c) 要求登记官确保广泛公布这些规则。 C.
If the registry allows users to submit information electronically  without the intervention of the registry staff, the registry sotfware should permit  the amendments to become immediately or nearly immediately effective. Where  the registry system (whether electronic, paper-based or mixed) requires the registry  staff to enter the information on behalf of the business, all amendments should be  relfected in the registry as soon as possible, and a maximum time period in which  that should be accomplished could be stipulated. Recommendation 30: Maintaining a current registry hTe law should require the registrar to ensure that the information in the business  registry is kept current, including through: (a) Sending an automated request to registered businesses to prompt them to  report whether the information maintained in the registry continues to be accurate  or to state what changes should be made; (b) Displaying notices of the required updates in the registry oifce and suboifces and routinely publishing reminders on the registry website and social media  and in national and local electronic and print media;
(c) Identifcation of sources of information on the registered businesses that  would assist in maintaining the currency of the registry;企业登记处的赔偿责任 212. 国家的法律应当规定如何分配对于企业登记和信息系统管理或运营中的错误或疏忽所导致的损失或损害的赔偿责任。
and213.
(d) Updating the registry as soon as practicable following the receipt of  amendments to registered information and, in any event, without undue delay  thereatfer.正如上文所指出的(例如,见第208和209段),登记处用户对其向登记处提交的登记申请或修订请求中包含的信息的错误或遗漏负有赔偿责任,并承担作出必要更正的责任。
C. Making amendments to registered information 162. States should also determine the time at which changes to the registered  information are effective in order to promote the transparency and predictability  of the business registry.如果登记申请和修订由用户以电子方式直接提交,没有登记处工作人员介入,颁布国可能的赔偿责任将限于系统故障,因为任何其他错误都将归咎于用户。 然而,如果提交的是纸质申请表或修订请求,国家必须处理在登记处拒绝或未能正确输入这些信息的情况下,其承担何种程度的潜在赔偿责任。
Changes should become effective when the information  contained in the notifcation of amendments is entered into the registry record  rather than when the information is received by the registry, and the time of the  change should be indicated in the registry record of the relevant business.一些使用电子企业登记处的国家应当采取类似的做法,因为它们的系统要求登记处工作人员将以电子方式提交的某些信息输入登记处记录,而这些输入也可能出现错误(另见上文第187段)。 214. 此外,还应明确向登记处工作人员和登记处用户说明,登记处工作人员不得就有效登记和修订的要求或其法律效力提供法律咨询意见,除非得到专门授权,工作人员也不应当向企业主建议选择哪个中介(如果有中介的话)协助其办理登记或修订。
In order  to preserve information on the history of the business, amendments to previously  registered information should be added to the registry record without deleting  previously entered information.不过,应当允许登记处工作人员就登记和修订程序提供实际指导。 在选择审批制的国家(见上文第116段),这一关于提供法律咨询意见的措施当然不应当适用于受托管理登记程序的法官、公证人和律师。
163.215.
As in the case of business registration, if the registry allows users to submit  amendments electronically without the intervention of the registry staff, the  amendments should become effective immediately or nearly immediately atfer they are transmitted.虽然应当明确登记处工作人员不得提供法律咨询意见(取决于国家登记系统的类型),但国家还必须处理这样的问题,即如果登记处工作人员仍然就有效登记和修订的要求或登记的法律效力提供了不正确或误导性信息,那么国家是否应当以及应当在多大程度上负赔偿责任。
If the registry staff must enter the amendments into the registry  on behalf of the business, amendments received should be entered into the registry  record as soon as practicable, possibly within a maximum time.216. 此外,为最大限度减少登记处工作人员不当行为的可能性,登记处应当考虑确立某些做法,例如,制定资金控制措施,对工作人员接触以现金缴付的费用和使用其他支付方法的用户提交的财务信息予以严格监测。
In a mixed registry  system that allows amendments to be submitted using both paper and electronic  means, registrants who elect to use the paper form should be alerted that this  method may result in some delay in the effectiveness of the amendments.这类做法也可包括建立审计机制,定期评估登记处的效率以及财务和行政效力。 217. 国家如果对系统故障或是登记处工作人员的错误或不当行为造成的损失或损害承担赔偿责任,就可以考虑是将登记处收取的登记费和信息费中的一部分划拨出来作为补偿基金,用来支付可能出现的索赔,还是用一般收入支付索赔。
Recommendation 31: Making amendments to registered information国家还可以决定就每项索赔可以提出的应付货币补偿设定一个上限。
(a) Require the business registry to:建议47:企业登记处的赔偿责任
(i) process amendments to the registered information in the order in  which they are received;法律应当规定国家对于企业登记或企业登记处的管理或运作中登记处的错误或疏忽所造成的损失或损害是否以及在多大程度上负有赔偿责任。
九. 注销 A. 注销 218.
(ii) record the date and time when the amendments are entered into the  registry record; and一旦企业永久停止运作,就会予以注销,原因包括兼并、由破产导致的强制清算或适用法律要求登记官注销未履行某些法律要求的企业的情况。
(iii) notify the registered business as soon as practicable, and in any  event, without undue delay, that its registered information has been  amended;当一家企业被注销时,通常有关该企业的公开详情仍可在登记簿中看到,但企业的地位已被改变,表明企业已被移除出去或企业不再处于被登记状态。
and219.
(b) Establish when an amendment to the registered information is effective.各国应当考虑登记处在企业注销中发挥的作用。 大多数法域内,将注销企业列为登记处的核心职能之一。
VI. Accessibility and information-sharing然而,委托登记处决定一家企业是否应当因为破产程序或清理而被注销的情况似乎不是很常见。
A. Hours of operation of the business registry在包含这一职能的国家中,由法定条款确定导致注销的条件和办理注销的程序。
164.220.
Establishing the operating days and hours of the business registry depends  on whether the registry is designed to allow direct electronic registration and  information access by users or whether it requires their physical presence at an oifce  of the registry.由于根据清理或破产程序注销一家企业属于管辖企业登记法律以外的法律规范的事项,并且各国的此类法律差异很大,因此本《立法指南》仅提及颁布国根据管辖企业登记处的法律制度认为处于休眠状态或不再运作的未破产企业的注销事宜。 在此情况下,多数国家允许或者根据企业的请求予以注销(常称作“自愿注销”),或由登记处主动予以注销(常称作“除名”)。
In the former case, electronic access should be available continuously  except for brief periods to undertake scheduled maintenance;为避免登记官在确定何时应当因为企业属于休眠状态的未破产企业或已不再运作而行使注销的权力方面遇到困难,法律应当明确规定必须满足的条件。
in the latter case,  registry oifces should operate during dependable and consistent hours that are  compatible with the needs of potential registry users.这种办法也将避免可能任意行使这项权力的情况。 允许登记官根据明确的规则注销企业有助于登记处保持更新,避免记录中充斥着不开展任何活动的企业。
In view of the importance of  ensuring ease of access to the business registry for all users, the above criteria should  be incorporated in the law of the enacting State or in administrative guidelines  published by the registry, and the registry should ensure that its operating days and  hours are widely publicized. 165.由登记官主动注销时,必须有合理的理由认为已登记企业没有开展业务或已经在一段时间内停止运作。 例如,国家要求企业提交定期报告书或年度决算,而企业在截止期限后的一段时期内未能遵守该要求,即可能出现这种情况。 在任何情况下,登记官注销企业的能力应当局限于确保遵守对企业持续处于登记状态的明确和客观的法律要求。
If the registry provides services (e.g. registration of a business, provision of  information services) through a physical oifce, the minimum hours and days of  operation should be the normal business days and hours of public oifces in the  State.在一些国家,在启动注销程序之前,登记官必须以书面形式告知该企业其即将被注销,并为该企业留出答复和反对该项决定的充足时间。 只有在登记官收到答复称该企业不再营业或没有在法律规定的时间内收到答复的情况下,才可以注销该企业。 221.
To the extent that the registry requires or permits paper-based submissions,  the registry should aim to ensure that the paper-based information is entered into  the registry record and made available as soon as practicable, but preferably on the  same business day that the information is received by the registry.还可根据企业的请求予以注销,这通常是在企业停止运作或从未运作的情况下发生的。 国家应当明确规定在哪些情况下企业可以申请注销,以及哪些企业关联人有权代表企业请求注销。 当国家的法律就关于清算企业的较正式程序如清理或破产作出规定时,自愿注销并非此类程序的替代程序。
Information  requests submitted in paper form should likewise be processed on the same day  they are received.222. 注销原则上应当免费,不管是登记官主动注销还是应企业请求而予以注销。 此外,各国应当考虑对注销中小微企业采用简化程序。
建议48:自愿注销 法律应当: (a) 明确规定在哪些条件下企业可以请求注销; (b)
To achieve this goal, the deadline for submitting paper-based  information requests may be set independently from the business hours of the  registry oifce. 21 Alternatively, the business registry could continue to receive paper submissions and information requests throughout its business hours, but set a “cut  off” time atfer which information received may not be entered into the registry  record, or information searches performed, until the next business day. A third  approach would be for the registry to undertake that information will be entered 21 For example, the law or administrative guidelines of the registry could stipulate that, while the registry oifce is open between 9 a.m. and 5 p.m., all applications, changes and search requests must be received by an  earlier time (for example, by 4 p.m.) to ensure that the registry staff has suifcient time to enter the information  included in the application into the registry record or conduct the searches. into the registry record and searches for information will be performed within a  stated number of business hours atfer receipt of the application or information  request. 166. hTe law could also enumerate, in either an exhaustive or an indicative way,  the circumstances under which access to the business registry may temporarily be  suspended.
An exhaustive list would provide more certainty, but there is a risk that  it might not cover all possible circumstances.要求登记官将符合这些条件的企业予以注销; (c) 允许国家对注销中小微企业采用简化程序。
An indicative list would provide more  lfexibility but less certainty.建议49:非自愿注销 法律应当明确规定登记官可以据以注销企业的条件。 B.
Circumstances justifying a suspension of registry services would include any event that makes it impossible or impractical to provide  those services (for example, due to force majeure such as fre, lfood, earthquake  or war, or to a breakdown in the Internet or network connection).注销程序及注销的时间和生效 223. 不管注销系由企业提出请求还是登记官主动为之,企业作为单独的实体登记的,登记处必须就拟议的注销以及注销将在何时生效发布公告。
Recommendation 32: Hours of operation of the business registry hTe law should ensure that:这种公告通常在登记处网站或国家公报等官方出版物上公布,或同时在网站或出版物上公布。
(a) If access to the services of the business registry is provided electronically,  access is available at all times;这一程序确保在企业被注销前,向相关第三方(例如债权人、企业成员)提供保护其权利的机会(通常做法是向登记处提交由任何必要证据佐证的书面申诉)。
(b) If access to the services of the business registry is provided through a  physical oifce:在公告指明的期限过去之后,即在登记处标明企业已被注销。
(i) Each oifce of the registry is open to the public during the days and  hours to be specifed by the enacting State;在注销生效之前,适用法律可能要求发布进一步的通知。 在注销程序完成之前,企业仍然处于运营状态并将继续开展活动。
and224.
(ii) Information about any registry oifce locations and their opening  days and hours is publicized on the registry’s website, if any, or otherwise widely publicized, and the opening days and hours of registry  oifces are posted at each oifce;法律应当规定注销的生效时间,登记处标明的企业地位除指明注销的理由外,还应指明注销生效的日期和时间。 登记官应当尽快将此类信息输入登记处,以便告知登记处用户企业地位变化一事,不得有不当延误。
and225.
(c) Notwithstanding subparagraphs (a) and (b) of this recommendation,  the business registry may suspend access to the services of the registry in whole  or in part in order to perform maintenance or provide repair services to the registry, provided that:登记处应当保留已注销企业的历史信息,并由国家决定这些信息应当保存的适当时限(见下文第226至229段和建议52)。
(i) hTe period of suspension of the registration services is as short as  practicable;如果国家采用了独一识别码系统,即使企业已注销,企业的相关信息仍应当与该识别码相关联。
(ii) Notifcation of the suspension and its expected duration is widely  publicized;建议50:注销程序及注销的时间和生效 法律应当:
and(a)
(iii) Such notice should be provided in advance and, if not feasible, as  soon atfer the suspension as is reasonably practicable.规定向被登记企业发送注销的书面通知; (b) 规定根据颁布国的法律要求公布注销情况;
Chapter VI.(c)
Accessibility and information-sharing 69明确规定企业注销何时生效;
B. Access to services of the business registry(d)
167. hTe law should permit all potential users, including potential registrants, to  access the registration services of the business registry without discrimination  based on grounds such as race, colour, gender, language, religion, political or other  opinion, national or social origin, property, birth or other status. In the interest of  promoting domestic economic growth, an increasing number of States allow registrants who are neither citizens of, nor residents in, the State to register a business,  provided that such registrants meet certain requirements and comply with certain  procedures established by the law concerning foreign registrants. 168. Access of potential registrants to the registration services of the business  registry should only be subject to compliance with minimum age requirements,  and with procedural requirements for the use of the registration services of the  registry, such as: that the request for registration be submitted via an authorized  medium of communication and on the prescribed form; and that the registrant  provide identifcation in the form requested by the registry (see paras. 128 and  129 above and rec. 21) and pay any fee required for registration (see paras. 198  and 199 and rec. 41 below).
169. hTe registry should maintain a record of the identity of the registrant.明确规定注销的法律效力。
In  order to ensure a simple and straightforward registration process, the evidence of  identity required of a registrant should be that which is generally accepted as suffcient in day-to-day commercial transactions in the enacting State. When registries  are operated electronically and allow for direct access by users, potential registrants  should be given the option of setting up a protected user account with the registry  in order to transmit information to the registry. hTis would facilitate access by  frequent users of the registration services of the business registry (such as business  registration intermediaries or agents), since they would need to provide the  required evidence of their identity only when initially setting up the account. 170. Once the registrant has complied with the requirements mentioned in paragraph 168 above (and any others established by the law of the State) for accessing  the registry, the registry cannot deny access to the registration services of the registry. hTe only scrutiny that the registry may conduct at this stage (which is carried  out automatically in an electronic registry) is to ensure that legible information  (even if incomplete or incorrect) is entered in the form for business registration. If the registrant did not meet the objective conditions for access to the registration  services of the business registry, the registry should provide the reasons for denying  access (e.g. the registrant failed to provide valid identifcation) in order to enable  the registrant to address the problem. hTe registry should provide such reasons as  soon as practicable (in this respect see paras. 146 to 149 and rec. 27 above).
171.C.
Certain rules relating to access to the registration services of the business  registry may also be addressed in the “terms and conditions of use” established by  the registry. hTese may include offering the user the opportunity to open an  account to facilitate quick access to the registration services of the registry and any  necessary payment of fees for those services. hTe terms and conditions of access  may also address the concerns of registrants regarding the security and confdentiality of their fnancial and other information or the risk of changes being made to  registered information without the authority of the business. Assigning a unique  user name and a password to the registrant, or employing other modern security  techniques would help reduce such risks, as would requiring the registry to notify  the business of any changes made by others in the user account information. Recommendation 33: Access to services of the business registry hTe law should permit access to the business registry without discrimination based  on any ground such as race, colour, gender, language, religion, political or other opinion, national or social origin, property, birth or other status. C. Equal rights of women to access the registration services of the business registry
172.恢复登记
While the non-discrimination principle set out in recommendation 33  clearly encompasses all types of discrimination, including that based on gender,  this Guide supports the view, consistent with goals and resolutions of the  United Nations, 22 that empowerment of women should be a main concern for States and international organizations in light of the key role women play in promoting sustainable development and the persistent social, economic and political  inequalities they experience. In this respect, it should be noted that in many regions  around the world, businesses owned by women, in particular micro and small businesses, represent a signifcant percentage of all MSMEs and in certain States such  businesses have an average growth rate higher than businesses owned by men. Across all regions, however, MSMEs owned by women are otfen over-represented  in the informal economy and in many regions, such businesses experience high  barriers in their commercial activities. hTese barriers may range from lower access  to fnance (e.g. women are less likely to take out a loan, or the terms of borrowing  can be less favourable for them), to the legal and regulatory environment (e.g. weak  property rights or legal capacity), to education gaps (e.g. lower access to education 22 See, for example, “Transforming our world: the 2030 Agenda for Sustainable Development” (General Assembly resolution 70/1).
Chapter VI.226.
Accessibility and information-sharing 71or lower fnancial literacy), and to social and cultural norms (e.g. restrictions on  mobility or on engagement with people outside the home or on the types of activities women can engage in).在几个国家,可由登记官主动或经由企业请求将已注销企业恢复登记,前提是向登记官提出的恢复登记请求符合某些条件(在某些国家,后一种程序称作“行政恢复”)或系根据法院命令而提出。
173. In certain States, gender inequality may even result in different formal  requirements or restrictions for women who want to start a business, including  requirements for registration of a business.某些国家则提供这两种程序,选择哪一种通常取决于企业注销的原因或恢复该企业的目的。 这两种程序通常在某些关键方面存在差异,例如什么人可以申请恢复企业、哪些企业实体有资格恢复以及提交恢复申请的时间限制。 在提供两种程序的国家,对“行政恢复”的要求通常比根据法院命令而恢复更加严格。
In those States, for example, women  may have to submit additional documents in order to register a business or may  not be permitted to register a business without spousal consent.例如,在这些国家,只有被害人,可能包括前董事或成员,才可以向登记官提交恢复登记的申请,而且可以向登记处提交申请的时限可能短于可用来申请法院命令的时间。
In other States,  even when the principle of economic equality of women is incorporated into  fundamental laws (e.g. the Constitution), its practical effect may be limited by  practical impediments, customary practices, or parallel legal systems that infringe  the rights of many women.无论国家选择哪种允许企业恢复登记的方法,一旦登记得到恢复,该企业即被视为持续存在,如同未曾注销一样,包括保留其先前的企业名称。 如果原企业名称不再可用(因为已经在其注销期间指定给其他企业),国家通常会规定一套程序以管理恢复登记企业的名称变更。
174.建议51:恢复登记
States aiming to improve their business environment should take an inclusive approach in promoting entrepreneurship and address the legal, social and  regulatory barriers that prevent equal and effective economic participation of all  businesses, with particular emphasis on MSMEs owned by women. 23 hTis responds to the commitment undertaken by all States under internationally agreed goals and  targets to achieve gender equality and empowerment of women and girls, including  economic empowerment, at the global, regional and national levels. Such steps are  also in compliance with the non-discrimination commitments of States under international human rights instruments, such as the Universal Declaration of Human  rights, as well as with the obligations of States parties to the United Nations Conventions on the Elimination of All Forms of Discrimination against Women  (CEDAW) and other United Nations treaties for the elimination of discrimination  based on gender. 175. States should also institute policies to collect anonymized, sex-disaggregated  data for business registration on a voluntary basis through the business registry  (see also paras. 56 above and 190 below). hTe lack of sex-disaggregated data affects  a State’s ability to determine the extent of informal barriers to establish a genderneutral business registration framework.
Recommendation 34: Equal rights of women to access the registration services of the business registry法律应当明确规定在哪些情况下以及在何时限内登记官需要将一已注销企业恢复登记。
十. 记录的保存 A. 记录的保存 227.
(a) Provide that women have equal and enforceable rights of access to the  registration services of the business registry in order to start a business;作为一般规则,企业登记处所存信息应当无限期保存。 颁布国应当决定保存此类信息的适当时限,可选择适用关于保存公开文件的一般规则。 228.
23 See, for example, “Entrepreneurship for development” (General Assembly resolution 67/202).然而,记录保存期限的长度经常受登记处运作方式以及登记处采用电子登记处、纸介登记处还是混合型登记处的影响。
(b) Ensure that requirements for business registration do not discriminate  against potential registrants because of their gender;如果是电子登记处,长时间保存以硬拷贝提交的原件可能并无必要,前提是此类文件所载信息已在登记处加以记录或纸质文件已经数字化(通过扫描或其他电子处理)。
and229.
(c) Provide for the adoption of policies to collect anonymized sex-  disaggregated data for business registration through the business registry.采用纸介登记处或混合型登记处的国家,必须决定例如登记处对提交的纸质文件的保存期限,尤其是相关企业已被注销的情况下。
D. Public availability of information与是否有储存空间和保存此类文件的费用相关的考虑因素可能在该决定中发挥作用。
176.230.
In keeping with its functions as a collector and disseminator of businessrelated information (see also para. 52 (b) above), the registry should make available  all public information on a registered business. hTis may allow interested users to  make more informed decisions about who they wish to do business with, and for  organizations and other stakeholders to gather business intelligence.无论企业登记处以何种方式运作,向未来的潜在用户提供长期获取登记处所保存信息的机会都至关重要,不仅有助于保存历史,而且可以就与一个企业有关的过去的法律、财务和管理问题提供证据,这类证据可能仍然有意义。 保存电子记录可能比保存纸质记录更加容易,更具有成交效益。
Moreover,  since access to the publicly available registered information by general users also  enhances certainty of and transparency in the way the registry operates, the principle of public access to this information should be stated in the law of the enacting  State.为最大限度地降低保存硬拷贝文件所需要的成本和大量储存空间,纸介登记处如果无法将其接收的文件转成电子形式,可采取允许传输、储存、阅读和打印信息的替代解决办法(例如,缩微胶卷)。
In most States, public access to registered information is generally allowed. However, confdentiality of certain registered information may need to be protected.建议52:记录的保存 法律应当规定,登记人和已登记企业提交的文件和信息,包括关于已注销企业的信息,应当由登记处予以保存,以便登记处和其他相关用户能够检索信息。 B.
For this reason, it is recommended that the registry be fully accessible to  the public, unless the registered information is protected under the applicable law.修改或删除信息 231. 法律应当规定,登记官不得修改或移除已登记信息,除非法律中有明确规定,并且只能根据适用法律对该信息作出变更。
177. While providing disclosure of the publicly available registered information  is an approach followed in most States, the way in which users access information,  the format in which the information is presented and the type of information avail able varies greatly from State to State. hTis variation is not only a function of the  technological development of a State, but of the framework for accessing such  information, for example, in respect of different criteria that may be used to search  the registry.然而,为了确保登记处顺利运作,特别是在登记人使用纸质表格提交信息的情况下,应当授权登记官改正自己在将纸质表格上的信息输入登记处记录的过程中出现的笔误(见上文第28、45和147段)。 如果采取这种办法,应当及时向企业发送笔误修改或任何其他修改的通知(且关于修改性质和修改生效日期的通知应当添加到与相关企业关联的登记处公共记录中)。 或者,国家可以要求登记官通知企业其出现的错误,并允许免费提交一份修订。
178.232.
It is not recommended that States restrict access to search the information  on the business registry or that users be required to demonstrate a reason to request  access.此外,应通过以下方式最大限度地减少登记处工作人员不当行为的可能性:(a)登记处系统的设计使登记处工作人员无法修改登记日期和时间或由登记人提交的任何已登记信息; (b)登记处基础设施的设计确保其能够在颁布国法律规定的期限内保存有关已注销企业的信息和文件。 建议53:修改或删除信息
Such a policy could seriously compromise the core function of the registry  to publish and disseminate information on registered businesses.法律应当规定,除法律明确规定的情形以外,登记官无权修改或删除企业登记处记录中所收录的信息。 C. 保护企业登记处记录免遭损失或损害
Moreover, if a  discretionary element is injected into the granting of an information request, equal  public access to the information in the registry could be impaired, and some potential users might not have access to information that was available to others.233. 为了保护企业登记处免于损失或者实际损害或毁坏的风险(另见上文第52(f)段和建议10(f)),国家应当保留登记处记录的备份。 颁布国任何管理其他公共记录安全性的规则都可能在这方面适用。
179.234.
Access to the business registry can be made subject to certain procedural  requirements, such as requiring users to submit their information request in a prescribed form and to pay any prescribed fee.可能影响电子登记处的威胁还包括可能使用技术实施的犯罪活动。 因此,对于意在支持企业登记使用电子解决方案的立法框架而言,提供执法方面的有效补救办法是其重要组成部分。
If a user does not use the prescribed  registry form or pay the necessary fee, the user may be refused access to search  the registry.颁布国应当解决的典型问题包括未经授权访问或干扰电子登记处、未经授权拦截或干扰数据、滥用装置、欺诈和伪造。
As in the case of refusing access to registration of a business, the registry should be obliged to give the specifc reason for refusing access to information services as soon as practicable so that the user can remedy the problem.建议54:保护企业登记处记录免遭损失或损害 法律应当:
180.(a)
Unlike the approach adopted for registrants, the registry should not request  and maintain evidence of the identity of a user as a precondition to obtaining access  to the information on the business registry, since a user is merely retrieving information contained in the public registry record.要求登记官保护登记处记录免于损失或损害的风险; (b) 建立并保持备份机制,以允许在必要时重建登记处记录。
Identifcation should be requested  of users only if it is necessary for the purposes of collecting any fees applicable to  the retrieval of such information. 181. hTe registry may also reject an information request if the user does not enter  a search criterion in a legible manner in the designated feld but the registry should  provide the grounds for any rejection as soon as practicable, as in the case of noncompliance with the objective conditions for registration by registrants (see paras.  168 and 170 above). In registry systems that allow users to submit information  requests electronically to the registry, the sotfware should be designed to prevent  automatically the submission of information requests that do not include a legible  search criterion in the designated feld and to display the reasons for refusal on the  user’s screen. 182. Further, in order to facilitate dissemination of the information, States should  be encouraged to abolish or keep to a minimum fees charged to access basic information on registered businesses (see para. 203 below). hTis approach may be  greatly facilitated by the development of electronic registries that allow users to  submit requests or make searches electronically without the need to rely on intermediation by registry personnel.
Such an approach is also much cheaper for the  registry.D. 防止意外毁坏 235.
Where registration systems are paper-based, users may be required to  either visit the registry oifce and conduct the search on site (whether manually  or using ICT facilities that are available) or have information sent to them on paper.各国可能需要考虑的一个方面,是自然灾害或可能影响到电子登记处所存和登记处办公点负责的数据的处理、收集、传送和保护的其他事故。 鉴于用户期望企业登记处能够可靠地运作,登记官应当确保任何业务中断时间短暂、很少发生且对用户和国家造成的破坏控制在最低限度。
In both cases, registry staff may need to assist the user to locate the information  and prepare it for disclosure.因此,各国应制定适当的措施,促进对登记处的保护。
Again, paper-based information access is associated  with delay, higher costs, the potential for error, and the possibility that the information obtained is less current.其中一项措施可以是制定一项业务连续性计划,作出必要的安排来管理登记处的业务中断,确保对用户的服务能够连续。
183. Finally, States should devise effective means to encourage the use of infor mation services provided by the registry. hTe adoption of electronic registries that  allow direct and continuous access for users (except for periods of scheduled maintenance) will promote the actual use of the information. Communication campaigns on the services available from the business registry will also contribute to  the active take-up of information services.例如,在某个国家,登记处建立了“风险登记簿”,这是在登记处运作出现变化时予以更新的一个动态文件。 这种风险登记簿使登记官能够确定登记服务可能的风险以及适当的缓解措施。 指定的工作人员必须每年报告登记处受到的威胁,以及为减缓这些威胁而采取的相关行动。
Recommendation 35: Public availability of information  hTe law should specify that all registered information is fully and readily available to  the public unless it is protected under the applicable law.建议55:防止意外毁坏 法律应当规定,应当确立适当的程序,减缓不可抗力、自然灾害或可能影响电子或纸介企业登记处存放数据的处理、收集、传送和保护的其他事故造成的风险。 十一.
E. Where information is not made public基础性法律改革
184.A.
As noted above (see paras. 176 and 177), access to the business registry  should be granted to all interested entities and to the public at large.对基础性法律的修改 236. 企业登记改革可能需要修正一国法律的不同方面。
In order to  maintain the integrity and reputation of the registry as a trusted collector of information that has public relevance, access to sensitive information should be controlled to avoid any breach of confdentiality.除了旨在就企业登记作出规定的立法,各国可能需要更新或修改只影响登记程序的法律,以确保这些法律满足中小微企业和其他企业的需要。
States should thus put in place proper  disclosure procedures. hTey may do so by adopting provisions that list which information is not available for public disclosure or they may follow the opposite  approach and adopt provisions that list the information that is publicly accessible,  indicating that information that is not listed cannot be disclosed.在这一过程中不存在适用于所有国家的单一解决办法,因为改革将受到一国立法办法的影响。 然而,改革的目标应当是制定支持企业登记的国内法律,这些法律要具备如下特征,例如:透明度和问责制、清晰度和使用灵活的法律形式。
185.237.
Legislation in each State otfen includes provisions on data protection and  privacy.无论选择哪种办法,且无论改革程度如何,对法律的修改都应当仔细考虑到这一过程的潜在成本和效益、政府的财政能力和承诺以及是否有足够的人力资源来实施改革。
When establishing a registry, in particular an electronic registry, States  must consider issues concerning the treatment of protected data that is included  in the application for registration and its protection, storage and use. Appropriate  legislation should be in place to ensure that such data are protected, including rules  on how data may be shared between different public authorities (see para. 114 and  rec. 18 above). States should also be mindful that a major trend towards increased  transparency in order to avoid the misuse of corporate vehicles for illicit purposes  has resulted from international efforts to fght money-laundering, terrorist, and  other illicit activities. 24 States should thus adopt a balanced approach that achieves both transparency and the need to protect access to sensitive information maintained in the registry. Recommendation 36: Where information is not made public In cases where information in the business registry is not made public, the law should:
(a) Establish which information concerning the registered business is subject  to the applicable law on public disclosure of protected data and which types of information cannot be publicly disclosed; and改革方案的一个重要筹备步骤是对与企业登记有关的法律开展彻底的清点和分析,目的是评价变革的需求、可能的解决方案和有效改革的前景。
(b) Specify the circumstances in which the registrar may use or disclose information that is subject to confdentiality restrictions.在一些情况下,这项评估可能导致任何重大的立法改革被推迟,尤其是当简化进程的主要益处可以通过引入实用工具获得之时。
24 See supra, footnote 17 for additional information in respect of FATF Recommendation 24.一旦决定了作出变革的内容和方式,确保变革的执行同样重要。
F. Direct electronic access to registry services为促进改革取得成功,新的法律制度的实施应当受到认真的监测。
186.B.
If the State opts to implement an electronic business registry, the registry  should be designed, if possible, to allow users to submit directly and to conduct  searches from any electronic device, including mobile devices, as well as from computer facilities made available to the public at oifces of the registry or other locations. To further facilitate access to business registry services, the registry conditions  of use may allow intermediaries (for example, lawyers, notaries or private sector  third-party service providers) to carry out registration and information searches  on behalf of their clients when the applicable law allows or requires the involvement of such intermediaries. 187. When the registry allows for direct electronic access, the registry user  (including an intermediary) bears the burden of ensuring the accuracy of any  request for registration or amendment, or of any search of the registry. Since the  required digital forms are completed by registry users without assistance from the  registry staff, the potential for alteration of those forms by the registry staff is greatly  minimized, as their duties are essentially limited to managing and facilitating electronic access by users, processing any fees, overseeing the operation and maintenance of the registry system and gathering statistical data.
Even when direct  electronic access is allowed, however, the possibility of error or misconduct on the  part of the registry staff may exist if the registry staff is still required to intervene  and enter information submitted to it electronically into the business registry  record (see also para. 213 below). 188. Direct electronic access signifcantly reduces the costs of operation and  maintenance of the system, increases accessibility to the registry (including when  registration or searches are carried out through intermediaries) and enhances the  eifciency of the registration process by eliminating any time lag between the submission of information to the registry and the actual entry of that information into  the record. In some States, electronic access (from the premises of a registrant or  a business, or from an oifce of the registry) is the only available mode of access  to business registry services. In fact, in many States, where the registry is both  electronic and paper-based, by far the most prevalent mode of accessing the registry  services is electronically.
189.法律的清晰度
It is thus recommended that, to the extent possible, States should establish  a business registry that is computerized and that permits direct electronic access  by users. Given the practical considerations involved in establishing an electronic  registry, multiple modes of access should be made available to users at least in the  early stages of implementation in order to reassure those who are unfamiliar with  the system. To facilitate its use, the registry should be organized to provide for  multiple points of access. hTe overall objective of access to business registry services is the same for both electronic and paper-based or mixed registries: to  make the registration and information retrieval process as simple, transparent, eifcient, inexpensive and publicly accessible as possible. Recommendation 37: Direct electronic access to registry services hTe law should establish that, in keeping with other applicable law of the enacting  State, where information and communications technology is available, the submission of applications for the registration of a business and requests for amendment of  the registered information of a business may be done remotely through electronic  means. Recommendation 38: Direct electronic access to search the registry hTe law should establish that, where information and communications technology  is available, searches of the registry may be done remotely through electronic means.
G. Facilitating access to information 1. Type of information provided238. 对于希望为设立企业特别是中小微企业提供便利的国家来说,必须审查现有法律,以查明可能影响简化登记程序的障碍。
190.239.
Information can be of particular value to users if it is available to the public,  although the type of registered information that is available will depend on the  legal form of the business being searched and on the applicable law regarding what  registered information is protected and what may be made available to the public.一项非常有助于澄清法律的改革是全面审查影响企业登记的所有法律,简化其条款,并尽可能将其统一为一部单一立法。 这样做可有助于该系统具有灵活性,关于企业登记的一般原则纳入立法,而关于该系统运作的较详细条款留待用其他政策或法律工具来处理,甚至可以在晚些时候再实行(另见下文第245段)。
Valuable information on a business that may be available on the registry includes  the following: the profle of the business and its oifcers (directors, auditors);建议56:法律的清晰度 法律应当在可能范围内以明确方式合并企业登记相关法律条款。
annual accounts;C.
a list of the business’s divisions or places of business;灵活的法律形式
the notice  of registration or incorporation;240.
the publication of the business’s memoranda, articles of association, or other rules governing the operation or management of the  business;企业主在决定办理登记时往往为其企业选择可以采用的最简单的法律形式,而法律形式僵化的国家的登记率远远低于要求更加灵活的国家。
existing names and history of the business;例如,在已经出台了简易企业法律形式的国家,这些企业类别的登记程序要快捷得多并且费用低得多。
insolvency-related information; any share capital;不要求企业在政府公报上公布关于企业运营或管理的规则;
certifed copies of registry documents;相反,这些内容可以通过企业登记处在网上张贴。
and notifcations of  events (late fling of annual accounts, newly submitted documents, etc.).在许多国家,准备文件或进行企业名称查询时不强制要求律师、公证人或其他中介参与(见上文第115至117段)。
Other  valuable information relating to the business registry may include the identifcation  of relevant additional laws and regulations, or information on the expected turnaround time in the provision of registry information services and fees for such ser vices. In addition, some registries prepare reports relating to the operation of the  business registry that may provide registry designers, policymakers and academic  researchers with useful data (for example, on the volume of registrations and  searches, operating costs, or registration and search fees collected over a given period). Information on business data, annual accounts and periodic returns, as  well as information about fees for registry services, are usually the most popular  pieces of information and the most requested by the public. When registration  procedures permit, and subject to the law of the enacting State, business registries  may also make available to users disaggregated statistical information that has voluntarily been submitted in respect of the gender, ethnicity, or language group of  persons associated with the business. Such information can be of particular importance for States wishing to develop policies and programmes to support underrepresented societal groups (see paras. 56 and 130 above).
191.241.
If the State is one in which member or shareholder details must be registered, the public may also be granted access to such information.废除或降低企业最低实收资本要求的立法修改也往往促进中小微企业登记,因为微型和小型企业可能资金有限,无法满足最低资本要求,或者它们不愿意或无法为设立企业而投入现有的资本。
A similar approach  may be taken with respect to information on the benefcial ownership of a business,  which may be made available to the public in order to allay concerns over the  potential misuse of business entities.一些国家不依靠最低资本要求保护债权人和投资人,而是实施了替代办法,例如将有关偿付能力保障的条款纳入其立法;
However, the sensitive nature of the information on benefcial ownership may require the State to exercise caution before opting  for disclosure of benefcial ownership without any limitation.进行偿付能力测试; 或编写审计报告,表明一家公司投资的金额足以支付创办企业的成本。
2.242.
Removing unnecessary barriers to accessibility引入简易形式的有限责任和其他类别企业,也可以伴随着大幅降低或完全废除其他法律形式企业组建之时必须满足的最低资本要求。
192. hTe registry needs to ensure that searchable information is easily accessible;在几个采用了简易企业法律形式的国家,最低资本要求已经完全废除,在另一些国家,交存名义金额即获准办理初始登记或设立企业。
even though the information is available, it does not always mean that it is easy  for users to access. hTere are otfen different barriers to accessing the information,  such as the format in which the information is presented: if special sotfware is  required to read the information, or if it is only available in one particular format,  it cannot be said to be broadly accessible.其他一些国家采取逐步资本化的做法,要求企业留出一定比例的年度利润,直至其准备金和股本相加达到一个规定的金额。 在另一些情况下,有限责任简易实体只有在打算发展成为一个完全成熟的有限责任公司(这种形式需要更多的股本)的情况下才需要逐步资本化,但是,没有义务这样做。 243.
In several States, some information is  made available in paper and electronic formats;另一项有助于改进企业登记的改革是允许企业主自由开展所有合法的活动,不要求他们具体说明经营范围。
however, information made available only on paper likely entails reduced public accessibility.这一点在某些法域内尤为重要,因为这些法域要求企业主在公司章程中列举其打算从事的具体活动,目的是限制企业活动超出其目标,并且在必要时,保护股东和债权人。
Other barriers that  may make information less accessible are: limiting search criteria to unique business identifers (as opposed to also allowing searches by business names);允许在公司章程(或其他关于企业运营或管理的规则)中纳入所谓的“通用条款”,申明企业的目的是开展任何贸易或业务并赋予公司这样做的权力,将促进企业登记。
charging  fees for the provision of information services (see para. 203 below);这一办法大大降低了需要在今后再作登记或修订登记的可能性,因为企业不需要修订登记即可改变其业务重点和活动,前提是新的业务活动是合法的,并且已经取得适当的执照。
requiring users  to register prior to providing access to the information, and charging a fee for user  registration.除列入通用条款以外,也支持这一目标的其他选项可以是通过立法,使不受限制的目标成为法域内的缺省规则,或者废除在办理登记时要求企业特别是私有企业申明其目标的规定。 建议57:灵活的法律形式
States should fnd the most appropriate solutions according to their  needs, their conditions and their laws.法律应当允许企业采取灵活和简易的法律形式,以便利和鼓励所有规模的企业办理登记。 D. 顾及技术演变的立法办法
193.244.
Some States not only provide for electronic information searches but also  distribute the information through other channels that can complement the use of  the Internet or that may even represent the main method of distribution if an online  registration system is not yet fully developed. hTe following additional means of  sharing information are used in some States:如上文所述(见第8和85段以及建议13),本《指南》支持这种观点,即网上登记处极大地便利了中小微企业办理登记。 因此,如果没有关于电子交易的适当法律,旨在支持企业电子登记的改革的初始步骤将是在国内立法中承认并规范此类电子交易的使用。
25 See supra, footnote 17 for further information in respect of FATF Recommendation 24.在这方面,各国应当考虑通过法律,允许电子签名或其他身份识别和认证手段以及使用电子通信。 245.
(a) Telephone services to provide information on registered businesses and  product ordering;不过,由于信息技术领域技术演变非常迅速,法律中确立特定技术模式的要求可能导致妨碍技术的进一步发展。
(b) Subscription services to inform subscribers about events pertaining to  specified businesses or for announcements of certain kinds of business  registrations;因此,各国应当考虑只在立法中确立法律指导原则(特别是技术中性和功能等同原则,见上文第85段和建议13),而规范网上登记系统详细运作和各项要求的具体条款留待其他政策工具或法律工具处理。
(c) Ordering services to enable access to various products, most otfen using an  Internet browser;建议58:顾及技术演变的立法办法 法律应当确立顾及技术演变的电子交易条款。
and附件
(d) Delivery services to convey various products, such as transcripts of publicly  available registered information on a business, paper lists, or electronic files with  selected data.附件一
194.建议
One otfen overlooked barrier to accessing business registry services, whether  to register a business or to review information in the registry, is a lack of knowledge  of the oifcial language(s). Providing forms and instructions in other languages is  likely to make the registry more accessible to users. However, business registries  seldom offer such services in languages additional to the oifcial language(s). Since  making all information available in additional languages may incur additional  expense for the registry, a more modest approach may be to consider making information on only core aspects of registration, for example in respect of instructions  or forms, available in a non-oifcial language. In deciding which non-oifcial language would be most appropriate, the registry may wish to base its decision on  historical ties, the economic interests of the jurisdiction and the geographic area  in which the jurisdiction is situated (see paras. 133 to 135 and rec. 22 above), as  well as consider the use of a widely used language that facilitates cross-border  communication.
3.一.
Bulk information企业登记处的目标
195.建议1:企业登记处的目标
In addition to making information on individual businesses available, business registries in some jurisdictions also offer the possibility of obtaining “bulk”  information, namely a compilation of information on selected, or all, registered  businesses.法律应当确保建立便利企业在正规经济中经营的企业登记处,将该登记处作为可能要求企业办理的所有登记,其中可能包括向企业登记处、税务和社会保障主管机构以及其他主管机构办理登记的系统的组成部分。
Such information can be requested for commercial or non-commercial  purposes and is otfen used by public authorities as well as private organizations  (such as banks) that deal with businesses and perform frequent data processing on  them.建议2:企业登记处的目的 法律应当规定,设立企业登记处的目的是: (a)
Distribution of bulk information varies according to the needs and capability  of the receiving entity.向企业提供颁布国认可的身份; (b)
In performing this function, one approach would be for the  registry to ensure the electronic transfer of selected data on all registered entities,  combined with the transfer of data on all new registrations, amendments, and  deregistration during a specified period. Another option for the registry would be  to make use of web-based or similar services for system-to-system integration that  provide both name searches and direct access to selected data on specific entities. Direct access avoids unnecessary and redundant storage of information by the  receiving organization, and States where such services are not yet available should  consider it as a viable option when reforming their business registration system. Distribution of bulk information can represent a practical approach for the registry  to derive self-generated funds (see para. 203 below). Recommendation 39: Facilitating access to information hTe law should ensure the facilitation of access to public information on registered  businesses by avoiding the creation of unnecessary barriers such as: requirements for  the installation of specifc sotfware;
charging expensive access fees;接收、储存并提供公众查询已登记企业的信息。
or requiring users  of information services to register or otherwise provide information on their identity.建议3:允许办理登记的简单、可预测法律体系 关于企业登记处的法律应当: (a)
H. Cross-border access to publicly available registered information采用简单的结构,避免不必要地使用除外情形或赋予裁量权;
196. hTe internationalization of businesses of all sizes creates an increasing  demand for access to information on businesses operating outside their national  borders.(b) 确保要求或允许办理登记的微型、小型和中型企业(中小微企业)服从最低限必要程序。
However, oifcial information on registered businesses is not always readily  available on a cross-border basis due to technical or language barriers.建议4:企业登记处的关键特征 法律应当确保企业登记处具有如下关键特征: (a)
Making such  cross-border access as simple and fast as possible is thus of key importance in order  to ensure the traceability of businesses, the transparency of their operations and  to create a more business-friendly environment.登记可供公众访问、简单、方便用户、节省时间和费用; (b) 登记程序适合中小微企业的需要;
197.(c)
A range of measures can be adopted to facilitate access by foreign users of  the business registry.可公开获得的企业已登记信息便于查询和检索; (d)
Certain measures can be implemented to ensure the easy  retrieval of information stored in the business registry by such users.登记处系统和所登记信息质量上乘并且可靠,并通过定期更新和系统验证而加以维护。 二. 企业登记处的设立和职能
In addition  to allowing for registration and search requests in at least one non-oifcial language  (see para. 194 above), adopting easy-to-use search criteria and a simply understood  information structure would further simplify access by users from foreign jurisdic tions. States may wish to consider coordinating with other States (at least with  those from the same geographic region) in order to adopt approaches that would  allow for cross-border standardization and comparability of the information transmitted. Another group of measures that could be adopted pertain to providing  information in a non-oifcial but widely understood language on how foreign users  can access the services of the business registry. As in the case of domestic users,  users from foreign jurisdictions should be advised of the possibility of establishing  direct contact with registry personnel through a designated electronic address of  the registry, electronic contact forms or client service telephone numbers (see  para. 120 above). Recommendation 40: Cross-border access to publicly available registered information hTe law should ensure that systems for the registration of businesses adopt solutions  that facilitate cross-border access to the public information in the registry.
VII.建议5:负责的主管机构
Fees法律应当规定:
198.(a)
It is standard practice in many States to require the payment of a fee for  registration services.企业登记处应当由国家或国家指定的一个实体运作; (b) 国家保留对企业登记处的权限。
In return for that fee, registered businesses receive access to  business registry services and to the many advantages that registration offers them.  hTe most common types of fees are those payable for registration of a business  and for the provision of information products and services. In some jurisdictions,  registries may also charge an annual fee to keep a business in the registry (these  fees are unrelated to any particular activity), as well as fees to register annual  accounts or fnancial statements. 199. Although they generate revenue for the registries, fees can affect a business’s  decision whether to register, since such payments may impose a burden, in particular on MSMEs (see also paras. 9 and 25 above). Fees for new registration, for  example, can prevent businesses from registering, while annual fees to keep a company in the registry or to register annual accounts could discourage businesses from  maintaining their registered status.
States should take these and other indirect  effects into consideration when establishing fees for registration services. States  seeking to increase the business registration of MSMEs and to support such businesses throughout their life cycle should consider offering registration and postregistration services free of charge. In several States that consider business  registration as a public service intended to encourage businesses of all sizes and  legal forms to register rather than as a revenue-generating mechanism, registration  fees are otfen set at a level that is not prohibitive for MSMEs. In such States, the  use of lfat fee schedules for registration, regardless of the size of the business, is  the most common approach. hTere are also examples of States that provide business registration free of charge. In States with enhanced interoperability among the  business registry, taxation and social security authorities that results in the adoption  of integrated registration and payment forms, a uniform approach should be taken  to fees charged for registration by all relevant authorities.
A. Fees charged for business registry services建议6:登记官的任命和问责 法律应当:
200.(a)
Striking a balance between the sustainability of the registry operations and  the promotion of business registration is a key consideration when setting fees,  regardless of the type of fee.规定得到颁布国或颁布国法律授权的人或实体有权任命和罢免登记官,并监督登记官履职; (b) 确定登记官的权力和义务,以及这些权力和义务是否和在多大程度上可以委托他人。
One recommended approach followed in many States is to apply the principle of cost recovery, according to which there should be no  proft generated from fees in excess of costs.建议7:企业登记处运作的透明度 法律应当确保为企业登记处运作制定的规则、程序和服务标准公诸于众,以确保登记程序的透明度。 建议8:使用标准登记表格
When applying such a principle, States  should frst assess the level of revenue needed from registry fees to achieve cost  recovery, taking into account not only the initial costs related to the establishment  of the registry but also the costs necessary to fund its operation. hTese costs may  include: (a) the salaries of registry staff;法律应当规定使用简单的标准登记表格办理企业登记,登记官应当确保登记人可得到关于如何填写这些表格的指导。 建议9:登记处工作人员的能力建设 法律应当确保制定适当的方案,以培养和加强登记处工作人员关于企业登记程序、服务标准和电子登记处运作的知识和技能,以及登记处工作人员提供所请求的服务的能力。
(b) upgrading and replacing hardware and  sotfware;建议10:企业登记处的核心职能 法律应当规定企业登记处的核心职能,其中包括: (a)
(c) ongoing staff training;在企业满足法律确立的必要条件时对企业予以登记;
and (d) promotional activities and training for  registry users.(b) 允许获取可公开获得的已登记信息; (c)
In the case of online registries, if the registry is developed in partnership with a private entity, it may be possible for the private entity to make the  initial capital investment in the registry infrastructure and recoup its investment  by taking a percentage of the service fees charged to registry users once the registry  is operational. 201. Even when the cost recovery approach is followed, there is considerable  variation in its application by States, as it requires a determination of which costs  should be included. In one State, fees for new registrations are calculated according  to costs incurred by an average business for registration activities over the life cycle  of the business. In this manner, potential amendments, apart from those requiring  oifcial announcements, are already covered by the fee that companies pay for new  registration. hTat approach is said to result in several benefts, such as: (a) rendering most amendments free of charge, which encourages compliance among registered businesses;
(b) saving resources related to fee payment for amendments for  both the registry and the businesses;向被登记企业分配一个独一识别码; (d) 在必要的公共主管机构之间共享信息;
and (c) using the temporary surplus produced  by advance payment for amendments to improve registry operations and functions.(e) 使登记处的信息尽可能保持更新; (f)
In other cases, States have decided to charge fees below the actual cost that the  business registry incurs in order to promote business registration.保护登记处记录中信息的完整性; (g) 提供关于设立企业的信息,包括企业的义务和责任,以及可在企业登记处公开获得的信息的法律效力;
In such cases,  however, the services provided to businesses would likely be subsidized with public  funds. 202. In setting fees in a mixed registry system, it may be reasonable for the State  to charge higher fees to process applications and information requests submitted  in paper form because they must be processed by registry staff, whereas electronic  applications and information requests are directly submitted to the registry and are  less likely to require attention from registry staff. Charging higher fees for paperbased registration applications and information requests will also encourage the  user community to eventually transition to using the direct electronic registration  and information request services. However, in making that decision, States may  wish to consider whether charging such fees may have a disproportionate effect on  MSMEs that may not have ready access to electronic services.
Chapter VII.(h)
Fees 83 Recommendation 41: Fees charged for business registry services hTe law should establish fees, if any, for business registration and post-registration  services at a level that is low enough to encourage business registration, in particular  of MSMEs, and that, in any event, does not exceed a level that enables the business  registry to cover the cost of providing those services.法律要求时协助企业搜寻和预留企业名称。 建议11:整个登记处信息的储存和获取 法律应当规定,企业登记处各办公点在存储和获取由登记人和被登记企业提供或由登记处工作人员输入的信息方面相互连通。
B. Fees charged for information三.
203.企业登记处的运作
In various States, fees charged for the provision of information services are  a more viable option for registries to derive self-generated funding.建议12:企业登记处的操作媒介 法律应当规定一个高效的企业登记处的最佳操作媒介是电子媒介。
Such fees also  motivate registries to provide valuable information products to their users, to maintain the currency of their records and to offer more advanced information services.如果完全采用电子服务尚不可能,也应当在颁布国当前技术基础设施及其体制框架和法律所允许的最大限度内实施此种做法,并随着此类基础设施的改进而加以扩展。
A recommended good practice for States aiming to improve this type of revenue  generation would be to avoid charging fees for basic information services such as  simple name or address searches (see also para. 179 above), but to charge for more  advanced information services that require greater processing by the business registry or that are more expensive to provide (e.g. direct downloading, subscription  services or bulk information services; see also paras. 190 and 195 above). Since  fees charged for information services are likely to inlfuence users, such fees should  be set at a level low enough to make the use of such services attractive. Again, the  level of any such fee should be established according to the principle of cost recovery, so as not to generate a proft in addition to covering the cost of the service. Moreover, when fees for information services are charged, States might consider  establishing different fee regimes for different categories of user, such as private  users, corporate or public entities, occasional users and users with an established  user account. hTis approach would take account of the frequency with which or  the purpose for which users request information services, their need for expedited  or regular service, or the type of information products requested (e.g. on individual  businesses or bulk information).
Recommendation 42: Fees charged for information hTe law should establish that:建议13:电子通信和电子认证方法 法律应当: (a)
(a) Basic information contained in the business registry should be available to  the public free of charge;允许并鼓励使用电子通信以及电子签名和其他身份识别方法;
and(b)
(b) Information services that require greater processing by the business registry could be provided for a fee that relfects the cost of providing the information  products requested.根据下述原则对此种使用作出规范:电子通信和电子签名在功能上等同于相应的纸质形式,不得仅以电子文件和电子签名采用电子形式而否定其法律有效性或可执行性。
C. Publication of fee amounts and methods of payment建议14:企业登记与向其他主管机构登记的一站式服务处
204. Regardless of the approach taken in determining applicable fees, States  should clearly establish the amount of any registration and information fees charged  to registry users, as well as the acceptable methods of payment.法律应当确立企业登记与向其他公共主管机构登记的一站式服务处,包括指定由哪个公共主管机构监督该单一窗口的运作。 该窗口: (a)
Such methods of  payment should include allowing users to enter into an agreement with the business registry to establish a user account for the payment of fees.可以由电子平台或实体办公点组成;
States in which  businesses can register directly online should also consider developing an electronic platform that enables businesses to pay online when fling their application  with the registry (see paras. 76 above and 205 below). When publicizing the  amount of registration and information fees, one approach would be for the State  to set out the fees in either a formal regulation or more informal administrative  guidelines, which the registry can revise according to its needs. If administrative  guidelines are used, this approach would provide greater lfexibility to adjust the  fees in response to subsequent events, such as the need to reduce the fees once  the capital cost of establishing the registry has been recouped. hTe disadvantage  of this approach, however, is that this greater lfexibility could be abused by the  registry to adjust the fees upwards unjustifably. Alternatively, a State may choose  not to specify the level of the fees payable, but rather to designate the authority  that is authorized to establish the fees payable. hTe State may also wish to consider  specifying in the law the types of service that the registry may or must provide  free of charge. Recommendation 43: Publication of fee amounts and methods of payment hTe law should ensure that fees payable, if any, for registration and information  services are widely publicized, as are the acceptable methods of payment.
D. Electronic payments(b)
205. States should consider developing an electronic platform that enables businesses to pay online (including the use of mobile payment systems and other modern forms of technology) to access registry services for which a fee is charged (see  para. 76 above). hTis will require enacting appropriate laws concerning electronic  payments in order to enable the registry to accept online payments.应当确保尽可能多的主管机构的服务相互连通,包括但不限于企业登记处、税务和社会保障主管机构; (c) 应当允许相互连通的主管机构之间共享关于企业的信息,允许使用单一的综合申请表向这些主管机构登记和付款,并允许使用独一识别码。
Such laws  should address issues such as who should be allowed to provide the service and  under which conditions;建议15:使用独一识别码
access by users to online payment systems;法律应当规定向每个被登记企业分配一个独一识别码,独一识别码:
the liability  of the institution providing the service;(a)
customer liability and error resolution.由一组数字或字母加数字字符构成;
Finally, such laws should also be consistent with the general policy of the State on  fnancial services.(b)
Recommendation 44: Electronic payments  hTe law should enable and facilitate electronic payments.是得到该识别码的企业所独有的;
VIII.(c)
Liability and sanctions始终保持不变,在企业被注销之后不被重新分配。
206.建议16:独一识别码的分配
While each business must ensure that its registered information is kept as  accurate as possible by submitting amendments in a timely fashion, the State  should have the ability to enforce proper compliance with initial and ongoing registration requirements. Compliance with those requirements is usually encouraged  through the availability of enforcement mechanisms such as the imposition of sanctions on businesses that fail to provide timely and accurate information to the  registry (see paras. 155 and 156 and rec. 29 above). 207. In addition, a system of notices and warnings could be set up in order to  alert businesses of the consequences of failure to comply with specifc requirements  of business registration (for example, late fling of periodic returns). When the  registry is operated electronically, automated warnings and notices could be periodically sent out to registered businesses.
In addition, notices and warnings could  be visibly displayed on the premises of the registration oifces and routinely published electronically and in print media.法律应当明确规定,独一识别码的分配应由企业登记处在对企业进行登记时或由指定的主管机构在登记之前进行。
To better assist businesses, in particular  MSMEs, States could also consider designing training programmes to raise the  awareness of businesses regarding their liability to comply with registration requirements and to advise them on how to discharge that liability. A. Liability for misleading, false or deceptive information 208. States should adopt provisions that establish liability for any misleading,  false or deceptive information that is submitted to the registry upon registration  or amendment of the registered information of a business, and for failure to submit  information required by the business registry when it ought to have been submitted. Care should be taken, however, to distinguish inadvertent failure to submit the  required information from intentional submission of misleading, false or deceptive  information, as well as from the intentional failure to submit information that could  amount to submitting misleading, false or deceptive information.
While wilful  actions or omissions should be sanctioned with appropriate measures, inadvertent  failure to submit the required information should result in less punitive measures,  in particular if the inadvertent failure is rectifed in a timely fashion.在任一种情况下,独一识别码随后应向参与企业登记并共享与该识别码相关联信息的所有其他公共主管机构提供,并应在有关该企业的所有官方通信中使用。
Chapter VIII.建议17:独一识别码的实施
Liability and sanctions 87法律应当确保,采用使用独一识别码的系统时:
209.(a)
In order to further clarify potential liability, States should also ensure that  the business registry clearly specifes whether the information it contains has legal  effect and is opposable to third parties in the form in which it appears in the registry  (see also para. 52 (g) and rec. 10 (g) above). Recommendation 45: Liability for misleading, false or deceptive information hTe law should establish appropriate liability for any misleading, false or deceptive  information that is provided to the business registry or for failure to provide the  required information. B. Sanctions 210. hTe establishment of fnes for the breach of obligations related to business  registration, such as late fling of periodic returns or failure to record changes in  the registered information (see para. 157 above) are measures otfen adopted by  States to enforce compliance. Fines can also represent a means of revenue generation, but their imposition again requires a balanced approach.
When businesses  are required to register, several States use fnes as disincentives for such businesses  to operate outside of the formal economy.企业登记处和共享与该识别码相关联信息的其他公共主管机构的技术基础设施之间具有互操作性;
In some cases, legislative provisions link  the company’s enjoyment of certain benefts to the timely fling of required submissions;(b) 现有的识别码与独一识别码相关联或被独一识别码取代。
in others, a series of increasing fnes for late fling is enforced that can ultimately result in compulsory liquidation.建议18:公共主管机构之间共享受保护数据
However, if fnes are used as the main  source of funding for the business registry, it can have a detrimental effect on the  eifciency of the registry.法律应当规定公共主管机构之间根据独一识别码系统共享受保护数据的条件。 四. 企业登记
Since registries in such States lose revenue generated by  fnes when compliance improves, there is little motivation for such registries to  improve the level of compliance. States should, therefore, not rely upon fnes as  the main source of revenue of a business registry; instead, fnes should be established and imposed at a level that encourages business registration without negatively affecting the funding of registries once compliance improves. 211. hTe recurrent use of fnes to sanction the breach of initial and ongoing registration obligations might discourage businesses, in particular MSMEs, from registering or properly maintaining their registration. States should consider establishing  a range of possible sanctions that would apply depending on the seriousness of the  violation or, in the case of MSMEs failing to meet certain conditions established  by the law, to forego any sanction for businesses defaulting for the frst time.
Recommendation 46: Sanctions建议19:关于如何办理登记的信息的可获取性
(a) Establish appropriate sanctions that may be imposed on a business for a  breach of its obligations regarding information to be submitted to the registry in an  accurate and timely fashion;法律应当要求登记官确保关于企业登记程序和任何适用的费用的信息广泛公布、容易检索并可免费获得。
(b) Include provisions pursuant to which a breach of obligation may be forgiven provided it is rectifed within a specifed time;建议20:允许或要求办理登记的企业 法律应当明确规定:
and(a)
(c) Require the registrar to ensure broad publication of those rules.要求哪些法律形式的企业办理登记;
C. Liability of the business registry(b)
212. hTe law of the State should provide for the allocation of liability for loss or  damage caused by error or through negligence in the administration or operation  of the business registration and information system.允许所有规模和法律形式的企业办理登记。 建议21:登记所要求的最低限信息 法律应当规定企业登记所要求的信息和佐证文件,其中至少包括:
213.(a)
As noted above (for example, see paras. 208 and 209), users of the registry  bear the liability for any errors or omissions in the information contained in an  application for registration or a request for an amendment submitted to the registry,  and bear the burden of making the necessary corrections. If applications for registration and amendment are directly submitted by users electronically without the  intervention of registry staff, the potential liability of the enacting State would be  limited to system malfunctions, since any other error would be attributable to users. However, if paper-based application forms or amendment requests are submitted,  the State must address the extent of its potential liability for the refusal or failure  of the registry to enter such information correctly. A similar approach should be  taken in States with electronic business registries that require certain information  submitted electronically to nonetheless be entered by registry staff into the registry  record and where such entry might also be subject to error (see also para. 187  above).
214.企业的名称;
Further, it should be made clear to registry staff and registry users that  registry staff may not provide legal advice on requirements for effective registration  and amendment, or on their legal effects, unless specifcally authorized to do so,  nor should staff make recommendations on which intermediary (if any) the  business should choose to assist in the registration or amendment process. However, registry staff should be permitted to give practical guidance with respect to  the registration and amendment processes. In States that opt for an approval system  (see para. 116 above), this measure on the provision of legal advice should, of course, not be applicable to the judges, notaries and lawyers entrusted with the  administration of registration procedures. 215. While it should be made clear that registry staff may not provide legal advice  (subject to the type of registration system of the State), the State must also address  whether and to what extent it should be liable if registry staff nonetheless provide  incorrect or misleading information on the requirements for effective registration  and amendment or on the legal effects of registration.
216.(b)
In addition, in order to minimize the potential for misconduct by registry  staff, the registry should consider establishing certain practices such as instituting  fnancial controls that strictly monitor staff access to cash payments of fees and to  the fnancial information submitted by users who use other methods of payment. Such practices may include the institution of audit mechanisms that regularly assess  the eifciency and the fnancial and administrative effectiveness of the registry. 217. If States accept liability for loss or damage caused by system malfunction or  error or misconduct by registry staff, they may consider whether to allocate part  of the registration and information fees collected by the registry to a compensation  fund to cover possible claims, or whether the claims should be paid out of general  revenue. States might also decide to set a maximum limit on the monetary compensation payable in respect of each claim.
Recommendation 47: Liability of the business registry hTe law should establish whether and to what extent the State is liable for loss or  damage caused by error or negligence of the business registry in the registration of  businesses or the administration or operation of the registry.认为企业可以收取信件的地址,或者,若企业没有标准格式地址,企业地理位置的准确描述;
IX.(c)
Deregistration登记人的身份; (d)
A. Deregistration获授权代表企业签字或担任企业法定代理人的个人的身份;
218.(e)
Deregistration occurs once the business has permanently ceased to operate,  including as a result of a merger, or forced liquidation due to insolvency, or in cases  where applicable law requires the registrar to deregister the business for failing to  fulfl certain legal requirements.办理登记企业的法律形式,以及如已分配独一识别码的话,企业的独一识别码。 建议22:提交信息所用的语文 法律应当规定,向企业登记处提交的信息和文件必须用指明的一种或多种语文并用企业登记处确定和公布的成套字符表述。
When a business is deregistered, the public details  in respect of the business usually remain visible on the register, but the status of  the business is changed to indicate that it has been removed or that the business  is no longer registered.建议23:登记通知 法律应当要求企业登记处尽快通知登记人其企业的登记是否有效,但无论如何不得有不当延误。 在网上登记系统中,在办理企业登记的所有要求都得到妥善满足之后,企业登记处应当立即向登记人发送一份网上通知。
219.建议24:登记通知的内容
States should consider the role of the registry in deregistering a business.法律应当规定,登记通知可以采用证书、通知或卡片形式,其中应当至少载列以下信息: (a) 企业的独一识别码;
(b) 登记日期和时间; (c) 企业的名称; (d)
In  most jurisdictions, deregistration of a business is included as one of the core functions of the registry.企业的法律形式; (e) 企业登记所依据的法律。
It appears to be less common, however, to entrust the registry  with the decision whether or not a business should be deregistered as a result of  insolvency proceedings or winding-up.建议25:登记的有效期 法律应当规定,登记的有效期一直持续到企业被注销之时。 建议26:登记的时间和生效
In States where this function is included,  statutory provisions determine the conditions that result in deregistration and the  procedures to follow in carrying it out.法律应当: (a) 要求企业登记处记录收到登记申请的日期和时间,并按此顺序尽快处理,但无论如何不得有不当延误;
220.(b)
Because deregistration pursuant to winding-up or insolvency proceedings of  a business are matters regulated by laws other than those governing the registration  of a business, and since such laws vary greatly from State to State, this Legislative Guide refers only to deregistration of those solvent businesses that the enacting  State has deemed dormant or no longer in operation pursuant to the legal regime  governing the business registry. In such cases, most States allow for deregistration  to be carried out either upon the request of the business (otfen referred to as  “voluntary deregistration”) or at the initiative of the registry (frequently referred  to as “striking-off”). In order to avoid diifculties for the registrar in determining  when an exercise of the power to deregister is warranted because a business is a  dormant solvent business or when it is no longer in operation, the law should  clearly establish the conditions that must be fulflled. hTis approach will also avoid  a situation where that power may be exercised in an arbitrary fashion. Permitting  a registrar to carry out deregistration pursuant to clear rules permits the maintenance of a current registry and avoids cluttering the record with businesses that  do not carry on any activity. When deregistration is initiated by the registrar, there  must be reasonable cause to believe that a registered business has not carried on Chapter IX.
Deregistration 91明确确定企业登记的生效时间;
business or that it has not been in operation for a certain period of time. Such a  situation may arise, for example, when the State requires the business to submit  periodic reports or annual accounts and a business has failed to comply within a  certain period of time following the fling deadline. In any case, the ability of the  registrar to deregister a business should be limited to ensuring compliance with  clear and objective legal requirements for the continued registration of a business. In several States, before commencing deregistration procedures, the registrar must  inform the business in writing of its pending deregistration and allow suifcient  time for the business to reply and to oppose that decision. Only if the registrar  receives a reply that the business is no longer active or if no reply is received within  the time prescribed by law will the business be deregistered.
221.(c)
Deregistration may also be carried out upon the request of the business,  which most otfen occurs if the business ceases to operate or has never operated.明确规定此后必须尽快将企业登记输入企业登记处,但无论如何不得有不当延误。
States should specify in which circumstances businesses can apply for deregistration and which persons associated with the business are authorized to request  deregistration on behalf of the business.建议27:拒绝登记申请 法律应当规定,登记官: (a)
Voluntary deregistration is not an alternative to more formal proceedings, such as winding-up or insolvency, when those  proceedings are prescribed by the law of the State in order to liquidate a  business.只有在申请不符合法律规定的要求的情况下,必须拒绝企业的登记申请; (b) 需要以书面形式向登记人提出任何此种拒绝的理由;
222.(c)
Deregistration should in principle be free of charge regardless of whether it  is carried out at the initiative of the registrar or upon the request of the business.有权纠正自己的错误以及为支持企业登记而提交的信息中可能出现的任何偶然性错误,前提是已明确规定登记官在什么条件下可以行使这项权力。
Further, States should consider adopting simplifed procedures for the deregistration of MSMEs.建议28:分支机构办理登记 法律应当规定: (a)
Recommendation 48: Voluntary deregistration是否要求或允许企业的分支机构办理登记;
(a) Specify the conditions under which a business can request deregistration;(b) 用于登记目的的“分支机构”的定义,该定义与法律别处规定的定义相一致; (c)
(b) Require the registrar to deregister a business that fulfls those conditions;关于分支机构办理登记的条款,以述及下列问题:
and
(c) Permit the State to adopt simplifed procedures for deregistration of  MSMEs.披露要求,包括:登记人的姓名和地址; 分支机构的名称和地址;
Recommendation 49: Involuntary deregistration hTe law should specify the conditions pursuant to which a registrar can deregister a  business.寻求为分支机构办理登记的原始或主要企业的法律形式; 原始或主要企业登记所在国家或其他法域的主管机构签发的当前有效的该企业的存在证据; ㈡
B. Process of deregistration and time and effectiveness of deregistration关于能够在法律上代表分支机构的人的信息。
223.五.
Regardless of whether deregistration is requested by the business or initiated  by the registrar, where the business is registered as a separate entity, the registry  must issue a public notice of the proposed deregistration and when that deregistration will become effective.登记后 建议29:登记之后所要求的信息 法律应当明确规定,登记之后,已登记企业必须至少向企业登记处提交关于对建议21规定的企业登记最初所要求信息的任何变更或修订的信息。
Such an announcement is usually published on the  website of the registry or in oifcial publications such as the national gazette or in  both. hTis procedure ensures that businesses are not deregistered without providing interested third parties (e.g. creditors, members of the business) the opportunity to protect their rights (the usual practice is to submit a written complaint  corroborated by any required evidence to the registry). Atfer the period indicated  in the announcement has passed, a notation is made in the registry that the business is deregistered. Prior to the deregistration becoming effective, the applicable  law may require that a further notice be published. Pending completion of the  deregistration procedure, the business remains in operation and will continue to  carry on its activities. 224. hTe law should establish the time of effectiveness of the deregistration, and  the status of the business in the registry should indicate the time and date of its  effect, in addition to the reasons for the deregistration. hTe registrar should enter  such information in the registry as soon as practicable so that users of the registry  are apprised without undue delay of the changed status of the business.
225.建议30:登记处保持更新
Registries should retain historical information on businesses that have been  deregistered, leaving it to the State to decide the appropriate length of time for  which such information should be preserved (see paras. 227 to 230 and rec. 52  below).法律应当要求登记官确保企业登记处的信息保持更新,包括通过: (a) 自动向已登记企业发送请求,提示其报告登记处保持的信息是否仍然准确,或指明应当作出哪些变更;
When the State has adopted a unique identifer system, the information  related to the business should remain linked to that identifer even if the business  is deregistered.(b) 在登记处办公点和分支办公点展示要求作出哪些更新的通知,并定期在登记处网站和社交媒体上和在国家和地方电子和印刷媒体上发布提醒函;
Recommendation 50: Process of deregistration and time and effectiveness of deregistration hTe law should:(c) 查明有助于登记处保持更新的关于已登记企业的信息源; (d)
(a) Provide that a written notice of the deregistration is sent to the registered  business;在收到对已登记信息的修订之后尽快对登记处信息加以更新,但无论如何不得有不当延误。
(b) Establish that the deregistration is publicized in accordance with the legal  requirements of the enacting State;建议31:对已登记信息的修订 法律应当: (a)
(c) Specify when the deregistration of a business is effective;要求企业登记处:
and
(d) Specify the legal effects of deregistration.按收到的顺序处理对已登记信息的修订; ㈡
C. Reinstatement of registration记录修订输入登记处记录的日期和时间;
226.并 ㈢
In several States, it is possible to reinstate the registration of a business that  has been deregistered at the initiative of the registrar or upon the request of the  business, provided that the request to the registrar for reinstatement meets certain  conditions (in some States, this latter procedure is called “administrative restoration”) or is made by court order. In certain States, both procedures are available  and choosing either of them usually depends on the reason for which the business  was deregistered or the purpose of restoring the business. hTe two procedures  usually differ in some key aspects, such as who can apply to have the business  restored, which business entities are eligible for restoration and the time limit for  fling an application for restoration. hTe requirements for “administrative restoration” in States that provide for both procedures are otfen stricter than those for  restoration by court order. For example, in such States, only an aggrieved person,  which may include a former director or member, can submit an application for  reinstatement to the registrar, and the time limit within which the application can  be submitted to the registry may be shorter than the time granted to apply for a  court order. Regardless of the method(s) chosen by the State to permit reinstatement of the registration of a business, once the registration has been reinstated,  the business is deemed to have continued its existence as if it had not been deregistered, which includes maintaining its former business name. In cases where the  business name is no longer available (as having been assigned to another business  registered in the interim), procedures are usually established by the State to govern  the change of name of the reinstated business.
Recommendation 51: Reinstatement of registration hTe law should specify the circumstances under which and the time limit within  which the registrar is required to reinstate a business that has been deregistered.尽快通知已登记企业其登记信息已被修订,但无论如何不得有不当延误; (b) 规定对已登记信息的修订何时生效。
X. Preservation of records A. Preservation of records六. 可获取性和信息共享 建议32:企业登记处的营业时间
227.法律应当确保:
As a general rule, the information in the business registry should be kept  indefnitely. hTe enacting State should decide on the appropriate length of time  for which such information should be kept and may choose to apply its general  rules on the preservation of public documents. 228. However, the length of the preservation period for records is most otfen  inlfuenced by the way the registry operates, and whether the registry is electronic,  paper-based or a mixed registry. In the case of electronic registries, the preservation  for extended periods of time of original documents submitted in hard copy might  not be necessary, provided that the information contained in such documents has  been recorded in the registry or that the paper documents have been digitized  (through scanning or other electronic processing). 229. hTose States with paper-based or mixed registries, for example, must decide  the length of time for which the paper documents submitted to it should be kept  by the registry, in particular in situations where the relevant business has been  deregistered.
Considerations relating to the availability of storage space and the  expense of storing such documents would likely play a role in that decision.(a) 以电子方式提供获取企业登记处服务的机会的,随时可以获取;
230.(b)
Regardless of the way in which the business registry is operated, providing  prospective future users with long-term access to information maintained in the  registry is of key importance, not only for historical reasons, but also to provide  evidence of past legal, fnancial and management issues relating to a business that  might still be of relevance. hTe preservation of electronic records is likely to be  easier and more cost-effective than preserving paper records. In order to minimize  the cost and considerable storage space required for the preservation of documents  in hard copy, paper-based registries that cannot convert the documents received  by it into an electronic form may adopt alternative solutions (for example, the use  of microflm) that allow for the transmission, storage, reading, and printing of the  information. Chapter X. Preservation of records 95 Recommendation 52: Preservation of records  hTe law should provide that documents and information submitted by the registrant and the registered business, including information in respect of deregistered  businesses, should be preserved by the registry so as to enable the information to be  retrieved by the registry and other interested users. B. Alteration or deletion of information
231. hTe law should establish that the registrar may not alter or remove registered  information, except as specifed by law and that any change to that information  can be made only in accordance with the applicable law.通过实体办公点提供获取企业登记处服务的机会的: ㈠ 登记处各办公点在颁布国指定的日期和时间内向公众开放;
However, to ensure the  smooth functioning of the registry, in particular when registrants submit information using paper forms, the registrar should be authorized to correct its own clerical  errors (see paras. 28, 45 and 147 above) made in entering the information from  the paper forms into the registry record. If this approach is adopted, notice of this  or any other correction should promptly be sent to the business (and a notifcation  of the nature of the correction and the date it was effected should be added to the  public registry record linked to the relevant business). Alternatively, the State could  require the registrar to notify the business of its error and permit the submission  of an amendment free of charge. 232. Further, the potential for misconduct by registry staff should be minimized  by: (a) designing the registry system to make it impossible for registry staff to alter  the time and date of registration or any registered information submitted by a  registrant;
and (b) designing the registry infrastructure so as to ensure that it can  preserve the information and the documents concerning a deregistered business  for as long as prescribed by the law of the enacting State.㈡ 登记处有网站的,将关于登记处任何办公点及其工作日和办公时间的信息在该网站上公布,否则以其他方式广为公布,并在每个办公点张贴登记处各办公点的工作日和办公时间; (c)
Recommendation 53: Alteration or deletion of information hTe law should provide that the registrar does not have the authority to alter or delete  information contained in the business registry record except in those cases specifed  in the law.尽管有本建议(a)和(b)小段之规定,但企业登记处可以全部或部分暂停对登记处服务的获取,以便进行维护或对登记处进行修理服务,前提是: ㈠ 登记服务的暂停期限尽可能短暂;
C. Protection against loss of or damage to the business registry record㈡ 广泛公布关于暂停及其预期时段的通知;
233.
To protect the business registry from the risk of loss or physical damage or  destruction (see also para. 52 (f) and rec. 10 (f) above), the State should maintain back-up copies of the registry record.此类通知应当提前提供,不可行情况下,在暂停后合理的实际可行范围内尽早提供。 建议33:获取企业登记处的服务 法律应当允许访问企业登记处,不因种族、肤色、性别、语言、宗教、政治或其他见解、民族或社会出身、财产、出生或其他地位等任何理由而加以歧视。
Any rules governing the security of other  public records in the enacting State might be applicable in this context.建议34:妇女获取企业登记处的登记服务的平等权利 法律应当: (a)
234. hTe threats that can affect an electronic registry also include criminal activities that may be committed through the use of technology.规定妇女享有获取企业登记处的登记服务以便创办企业的平等的和可执行的权利; (b)
Providing effective  enforcement remedies would thus be an important part of a legislative framework  aimed at supporting the use of electronic solutions for business registration.确保企业登记要求不因性别而对潜在登记人有所歧视; (c) 规定采取政策以通过企业登记处收集企业登记方面按性别分列的匿名数据。
Typical issues that should be addressed by enacting States would include unauthorized  access or interference with the electronic registry;建议35:向公众提供信息 法律应当明确规定,所有已登记信息可为公众充分、便利地获得,除非根据适用法律受到保护。
unauthorized interception of or  interference with data;建议36:信息不予公开的情况
misuse of devices;在企业登记处的信息不予公开的情况下,法律应当:
fraud and forgery.(a)
Recommendation 54: Protection against loss of or damage to the business registry record规定有关已登记企业的哪些信息必须服从关于受保护数据的公开披露的适用法律,以及哪些信息类别不得公开披露;
(a) Require the registrar to protect the registry records from the risk of loss  or damage; and(b) 明确规定登记官可以使用或披露属于保密限制范畴内的信息的情形。 建议37:登记处服务的直接电子访问
(b) Establish and maintain back-up mechanisms to allow for any necessary  reconstruction of the registry record.法律应当规定,在符合颁布国其他适用法律的前提下,具备信息和通信技术的,可通过电子手段远程提交企业登记申请和企业已登记信息修订请求。 建议38:直接电子访问以查询登记处
D. Safeguard from accidental destruction法律应当规定,具备信息和通信技术的,可通过电子手段远程查询登记处。
235.建议39:为获取信息提供便利
An aspect that may warrant consideration by States is that of natural hazards  or other accidents that can affect the processing, collection, transfer and protection  of the data housed in the electronic registry and under the liability of the registry  oifce.法律应当确保避免设立不必要的障碍,如要求安装特定软件、收取高昂查询费或要求信息服务用户进行登记或以其他方式提供身份信息,从而为获取已登记企业的公开信息提供便利。 建议40:跨境获取可公开获得的已登记信息 法律应当确保企业登记系统采用便利跨境获取登记处的公开信息的解决办法。
七. 费用
Given user expectations that the business registry will function reliably, the  registrar should ensure that any interruptions in operations are brief, infrequent  and minimally disruptive to users and to States.建议41:企业登记处服务收取的费用 法律应当将企业登记和登记后服务费用(如果收费的话)定在这样的水平,该水平低到足以鼓励特别是中小微企业办理企业登记,并且无论如何不超过使企业登记处能够收回提供这些服务的成本的水平。
For this reason, States should  devise appropriate measures to facilitate protection of the registry.建议42:收取的信息费 法律应当规定:
One such measure could be to develop a business continuity plan that sets out the necessary  arrangements for managing disruptions in the operations of the registry and ensures  that services to users can continue. In one State, for example, the registry has  established a “risk register”, which is a dynamic document that is updated as  changes in the operation of the registry occur. Such a risk register allows the registrar to identify possible risks for the registration service as well as the appropriate  mitigation measures. Designated staff are required to report on an annual basis the  threats to the registry and the relevant actions taken to mitigate such threats. Recommendation 55: Safeguard from accidental destruction hTe law should provide that appropriate procedures should be established to mitigate risks from force majeure, natural hazards, or other accidents that can affect the  processing, collection, transfer and protection of data housed in electronic or paperbased business registries.
XI.(a)
Underlying legal reforms A. Changes to underlying laws企业登记处收录的基本信息应当免费向公众提供;
236.(b)
Business registration reform can entail amending different aspects of the law  of a State.需要企业登记处作更多处理的信息服务可按反映提供所请求信息产品的成本的费用来提供。 建议43:公布费用金额和支付方法
In addition to legislation that is meant to prescribe the conduct of business registration, States may need to update or change laws that may simply affect  the registration process in order to ensure that such laws respond to the needs of  MSMEs and other businesses. hTere is no single solution in this process that will  work for all States, since the reforms will be inlfuenced by a State’s legislative  approach. However, the reforms should aim at developing laws that support business registration with features such as transparency and accountability, clarity and  the use of lfexible legal forms for business. 237. Regardless of the approach chosen and the extent of the reform, changes in  laws should carefully consider the potential costs and benefts of this process, as  well as the fnancial capacity and the commitment of the Government and whether  suifcient human resources are available to implement the reform. An important  preparatory step of a reform programme involves a thorough inventory and analysis  of the laws that are relevant to business registration with a view to evaluating the  need for change, the possible solutions, and the prospects for effective reform.
In  some cases, this assessment could result in deferring any major legislative reform,  particularly if signifcant gains to the process of simplifcation can be achieved by  the introduction of operational tools.法律应当确保就登记和信息服务收取的费用(如有的话)广为公布,可接受的支付方法也广为公布。 建议44:电子支付 法律应当允许和便利电子支付。
Once it has been decided what changes  should be made and how, it is equally important to ensure their implementation.八. 赔偿责任和制裁 建议45:提交误导性、虚假或欺骗性信息的赔偿责任
In order to facilitate successful reform, the implementation of the new legal regime  should be carefully monitored.法律应当规定对于向企业登记处提供任何误导性、虚假或欺骗性信息或未提供所要求信息的适当赔偿责任。
B. Clarity of the law建议46:制裁
238.法律应当:
For States wishing to facilitate the establishment of businesses, in particular  of MSMEs, it is important to review existing laws to identify possible impediments  to the simplifcation of the registration process.(a) 确定企业违背关于准确、及时地向登记处提交信息的义务可能受到的适当制裁;
239.(b)
One reform that would greatly clarify the law would be a comprehensive  review of all laws affecting business registration, a simplifcation of their provisions Chapter XI.包括违反义务的行为如果在规定的时间内得到纠正即可不予追究的条款;
Underlying legal reforms 99(c)
and their unifcation, where possible, into a single piece of legislation. hTis could  also facilitate building lfexibility into the system, with the general principles of  business registration incorporated in the legislation and more detailed provisions  on the operation of the system, which could be introduced even at a later stage,  that are letf to other policy or legal tools (see also para. 245 below).要求登记官确保广泛公布这些规则。 建议47:企业登记处的赔偿责任 法律应当规定国家对于企业登记或企业登记处的管理或运作中登记处的错误或疏忽所造成的损失或损害是否以及在多大程度上负有赔偿责任。
九. 注销 建议48:自愿注销 法律应当: (a)
Recommendation 56: Clarity of the law hTe law should, to the extent possible and in a clear manner, consolidate legal provisions pertaining to business registration.明确规定在哪些条件下企业可以请求注销; (b)
C. Flexible legal forms要求登记官将符合这些条件的企业予以注销;
240.(c)
Entrepreneurs tend to choose the simplest legal form available for their business when they decide to register, and States with rigid legal forms have an entry  rate considerably lower than those with more lfexible requirements.允许国家对注销中小微企业采用简化程序。 建议49:非自愿注销
For example,  in States that have introduced simplifed legal forms for business, the registration  process for these business types is much faster and less costly.法律应当明确规定登记官可以据以注销企业的条件。
Businesses are not  required to publish the rules governing the operation or management of their business in the oifcial gazette; instead, these can be posted online through the business  registry. hTere are many States in which the involvement of a lawyer, notary or  other intermediary is not obligatory for the preparation of documents or conducting a business name search (see paras. 115 to 117 above). 241. Legislative changes to abolish or reduce the minimum paid in capital requirement for businesses also tend to facilitate MSME registration, since micro and  small businesses may have limited funds to meet a minimum capital requirement,  or they may be unwilling or unable to commit their available capital in order to  establish their business. Instead of relying on a minimum capital requirement to  protect creditors and investors, some States have implemented alternative  approaches such as the inclusion of provisions on solvency safeguards in their  legislation;
conducting solvency tests;建议50:注销程序及注销的时间和生效
or preparing audit reports that show that  the amount a company has invested is enough to cover the establishment costs.法律应当:
242.(a)
Introducing simplifed forms of limited liability and other types of businesses  may also be coupled with a considerable reduction or complete abolition of the  minimum capital requirements that other legal forms of business are required to  meet upon formation. In several States that have adopted simplifed legal business  forms, the minimum capital requirement has been abolished completely, and in  other cases, initial registration or incorporation has been allowed upon deposit of  a nominal amount. In other States, progressive capitalization has been introduced, 100 UNCITARL Legislative Guide on Key Principles of a Business Registry requiring the business to set aside a certain percentage of its annual profts until its  reserves and the share capital jointly total a required amount. In other cases, progressive capitalization is required only if the simplifed limited liability entity intends  to graduate into a full-lfedged limited liability company (for which a higher share  capital would be required), but there is no obligation to do so.
243.规定向被登记企业发送注销的书面通知;
Another reform that would be conducive to improved business registration  is to provide freedom to entrepreneurs to conduct all lawful activities without  requiring them to specify the scope of their venture. hTis is particularly relevant  in those jurisdictions where entrepreneurs are required to list in their articles of  association the specifc activity or activities in which they intend to engage so as  to restrain businesses from acting beyond the scope of their goals and, if needed,  to protect shareholders and creditors. Allowing for the inclusion in the articles of  association (or other rules governing the operation or management of a business)  of a so-called “general purpose clause”, which states that the business’s aim is to  conduct any trade or business and grants it the power to do so, facilitates business  registration. hTis approach is far less likely to require additional or amended registration in the future, as businesses may change their focus and activities without  amending the registration, provided that the new business activity is a lawful one  and that the appropriate licences have been obtained. Additional options to the  inclusion of a general purpose clause, which would support the same goal, could  include passing legislation that makes unrestricted objectives the default rule in the  jurisdiction, or abolishing any requirement for businesses, in particular those that  are privately held, to state objectives for registration purposes. Recommendation 57: Flexible legal forms hTe law should permit lfexible and simplifed legal forms for business in order to  facilitate and encourage registration of businesses of all sizes. D. Legislative approach to accommodate the evolution of technology
244.(b)
As noted above (see paras. 8 and 85 and rec. 13), this Guide supports the  view that online registries greatly facilitate the registration of MSMEs.规定根据颁布国的法律要求公布注销情况;
If appropriate laws governing electronic transactions are not in place, a preliminary step for  reform aimed at supporting electronic business registration would be to recognize  and regulate the use of such electronic transactions in the domestic legislation.(c) 明确规定企业注销何时生效; (d)
In  this respect, States should consider adopting laws permitting electronic signatures,  or other means of identifcation and authentication, and the use of electronic  communications. Chapter XI.明确规定注销的法律效力。 建议51:恢复登记 法律应当明确规定在哪些情况下以及在何时限内登记官需要将一已注销企业恢复登记。
Underlying legal reforms 101 245. Since information technology is a feld marked by rapid technological evolution, however, requirements in the law that establish a technology-specifc approach  may result in preventing further technological development. States should thus  consider establishing only guiding legal principles in their legislation (in particular  those of technical neutrality and functional equivalence, see para. 85 and rec. 13  above), leaving the specifc provisions regulating the detailed functioning and  requirements of an online registration system to other policy or legal tools. Recommendation 58: Legislative approach to accommodate the evolution of technology hTe law should establish provisions on electronic transactions that accommodate the  evolution of technology.
103十.
Annex I记录的保存
Recommendations建议52:记录的保存
Recommendation 1: Objectives of the business registry hTe law should ensure the establishment of a business registry that facilitates the  operation of businesses in the formal economy as part of the system of all registra tions that may be required of a business and may include registration with business  registry, taxation and social security authorities, as well as with other authorities. Recommendation 2: Purposes of the business registry  hTe law should provide that the business registry is established for the purposes  of: (a) Providing to a business an identity that is recognized by the enacting State; and Recommendation 3: Simple and predictable system of laws permitting registration  hTe law governing the business registry should: (b) Ensure that micro, small and medium-sized enterprises (MSMEs) that are  required or permitted to register are subject to the minimum procedures  necessary.
Recommendation 4: Key features of a business registry  hTe law should ensure that the business registry includes the following key  features:法律应当规定,登记人和已登记企业提交的文件和信息,包括关于已注销企业的信息,应当由登记处予以保存,以便登记处和其他相关用户能够检索信息。 建议53:修改或删除信息
(c) hTe publicly available registered information on businesses is easily searchable and retrievable;法律应当规定,除法律明确规定的情形以外,登记官无权修改或删除企业登记处记录中所收录的信息。 建议54:保护企业登记处记录免遭损失或损害 法律应当:
and(a)
(d) hTe registry system and the registered information are of good quality and  reliable, and are maintained that way through periodic updates and system  verifcation.要求登记官保护登记处记录免于损失或损害的风险;
II.(b)
Establishment and functions of the business registry Recommendation 5: Responsible authority  hTe law should provide that:建立并保持备份机制,以允许在必要时重建登记处记录。
Recommendation 6: Appointment and accountability of the registrar hTe law should:建议55:防止意外毁坏
(a) Provide that the person or entity authorized by the enacting State or by  the law of the enacting State has the authority to appoint and dismiss the registrar  and to monitor the registrar’s performance;法律应当规定,应当确立适当的程序,减缓不可抗力、自然灾害或可能影响电子或纸介企业登记处存放数据的处理、收集、传送和保护的其他事故造成的风险。
and十一.
(a) Determine the registrar’s powers and duties and if and to what extent those  powers and duties may be delegated. Recommendation 7: Transparency in the operation of the business registry  hTe law should ensure that the rules, procedures and service standards that are  developed for the operation of the business registry are made public to ensure  transparency of the registration procedures. Annexes 105 Recommendation 8: Use of standard registration forms hTe law should provide that simple standard registration forms are introduced to  enable the registration of a business and the registrar should ensure that guidance  is available to registrants on how to complete those forms. Recommendation 9: Capacity-building for registry staff hTe law should ensure that appropriate programmes are established to develop and  strengthen the knowledge and skills of the registry staff on business registration  procedures, service standards and the operation of electronic registries, as well as  the ability of registry staff to deliver requested services.
Recommendation 10: Core functions of business registries  hTe law should establish the core functions of the business registry, including: Recommendation 11: Storage of information and access to it throughout the registry hTe law should establish the interconnection of business registry oifces with regard  to storage of and access to information received from registrants and registered  businesses or entered by registry staff. Recommendation 12: Operation of the business registry  hTe law should provide that the optimal operation of an eifcient business registry  is electronic. Should full adoption of electronic services not yet be possible, such  an approach should nonetheless be implemented to as great an extent as permitted  by the current technological infrastructure of the enacting State, as well as its institutional framework and laws, and expanded as that infrastructure improves. Recommendation 13: Electronic communications and electronic authentication methods  hTe law should:
(b) Regulate such use pursuant to principles whereby electronic communications and signatures are functionally equivalent to their paper-based counterparts  and cannot be denied legal validity or enforceability for the sole reason that they  are in electronic form. Recommendation 14: A one-stop shop for business registration and registration with other authorities  hTe law should establish a one-stop shop for business registration and registration  with other public authorities, including designating which public authority should  oversee the functioning of the single interface. Such an interface: (c) Should provide for the sharing of information on the business among the  interconnected authorities and the use of a single, integrated application form for  registration with, and payment to, those authorities, along with a unique  identifer. Recommendation 15: Use of unique identiifers  hTe law should provide that a unique identifer be allocated to each registered  business and:
Recommendation 16: Allocation of unique identiifers  hTe law should specify that the allocation of a unique identifer should be carried  out either by the business registry upon registration of the business, or before  registration by the designated authority. In either case, the unique identifer should  then be made available to all other public authorities involved in the registration  of a business and in the sharing of the information associated with that identifer,  and should be used in all oifcial communications in respect of that business. Recommendation 17: Implementation of unique identiifers  hTe law should ensure that, when adopting a system for the use of a unique  identifer: Recommendation 18: Sharing of protected data between public authorities  hTe law should establish the conditions on which protected data can be shared  between public authorities pursuant to a unique identifer system. Recommendation 19: Accessibility of information on how to register hTe law should require the registrar to ensure that information on the business  registration process and any applicable fees are widely publicized, readily retrievable, and available free of charge.
Recommendation 20: Businesses permitted or required to register hTe law should specify:基础性法律改革 建议56:法律的清晰度
Recommendation 21: Minimum information required for registration  hTe law should establish the required information and supporting documents for  the registration of a business, including at least:法律应当在可能范围内以明确方式合并企业登记相关法律条款。
(a) hTe name of the business;建议57:灵活的法律形式
(b) hTe address at which the business can be deemed to receive correspondence or, in cases where the business does not have a standard form address, the  precise description of the geographical location of the business;法律应当允许企业采取灵活和简易的法律形式,以便利和鼓励所有规模的企业办理登记。
(c) hTe identity of the registrant(s);建议58:顾及技术演变的立法办法
(d) hTe identity of the person or persons who are authorized to sign on behalf  of the business or who serve as the business’s legal representative(s); and (e) hTe legal form of the business being registered and its unique identifer, if  such an identifer has already been assigned. Recommendation 23: Notice of registration hTe law should require the business registry to notify the registrant, as soon as  practicable, and, in any event, without undue delay, whether the registration of its  business is effective. In an online registration system, the business registry should  send an online notifcation to the registrant immediately atfer all of the requirements for the registration of the business have been successfully ful flled. Recommendation 24: Content of notice of registration  hTe law should provide that the notice of registration may be in the form of a  certifcate, notice or card, and that it should contain at least the following  information:
(a) hTe unique identifer of the business;法律应当确立顾及技术演变的电子交易条款。
(b) hTe date and time of its registration;附件二
(c) hTe name of the business;联合国国际贸易法委员会的决定
(d) hTe legal form of the business;在2018年6月27日第1074次会议上,委员会通过了下述决定:
and (e) hTe law under which the business has been registered.联合国国际贸易法委员会,
Recommendation 25: Period of effectiveness of registration  hTe law should establish that the registration is valid until the business is  deregistered.回顾大会1966年12月17日第2205 (XXI)号决议,大会在该决议中设立了联合国国际贸易法委员会,目的是为各国人民的利益,特别是为发展中国家人民的利益而促进国际贸易法的逐步协调和统一,
Recommendation 26: Time and effectiveness of registration  hTe law should: (c) Specify that the registration of the business must be entered into the business registry as soon as practicable thereatfer, and in any event without undue  delay.认识到公平、稳定和可预测的法律框架对所有国家都很重要,有利于促进面向发展的政策,以支持生产性活动、体面就业机会的创造、创业、妇女对经济资源拥有平等权利、创造性和创新,并鼓励微型、小型和中型企业正规化和发展壮大,
Recommendation 27: Rejection of an application for registration hTe law should provide that the registrar:注意到简单、高效和具有成本效益的企业登记可有助于所有规模和类别企业尤其是微型、小型和中型企业的企业组建,
(a) Must reject an application for the registration of a business only if the  application does not meet the requirements specifed in the law;还注意到企业登记处按照简化、顺畅的程序履行职能将大大促进一国的经济发展,因为企业登记处有利于从有关用户包括从外国法域迅速获取企业信息,从而便利寻找潜在商业伙伴、客户或资金来源,并降低交易和订约风险,
(b) Is required to provide to the registrant in written form the reason for any  such rejection; and (c) Is granted the authority to correct its own errors as well as any incidental  errors that may appear in the information submitted in support of the registration  of the business, provided that the conditions under which the registrar may exercise  this authority are clearly established.进一步注意到所有区域和所有发展水平的国家进行企业登记制度改革形成广泛浪潮,因而吸取了丰富的经验教训,为编写企业登记处关键原则立法指南提供了信息依据,而使用和适用此种指南的机会也越来越多, 回顾赋予第一工作组(微型、小型和中型企业)的任务是制定旨在减少微型、小型和中型企业特别是发展中经济体微型、小型和中型企业在整个寿命周期遇到的法律障碍的法律标准,
Recommendation 28: Registration of branches  hTe law should establish: (a) Whether the registration of a branch of a business is required or  permitted;深信通过有广泛多方面参与的国际谈判过程达成的立法建议对于尚未建立高效和有效企业登记制度的国家和正在推进本国企业登记制度审查和改革进程的国家均有裨益,
(b) A defnition of “branch” for registration purposes that is consistent with  the defnition provided elsewhere in the law;表示赞赏第一工作组为编写企业登记处关键原则立法指南草案而开展的工作以及活跃于企业登记改革领域的政府间组织和获邀非政府组织的支持和参与,
and1.
(i) Disclosure requirements, including: the name and address of the  registrants; the name and address of the branch; the legal form of  the original or main business seeking to register a branch;通过载于A/CN.9/940号文件经委员会第五十一届会议修订的《贸易法委员会企业登记处关键原则立法指南》,{§26} 并授权秘书处按照这些修订意见编辑和审定《立法指南》案文; 2.
and current proof of the existence of the original or main business issued  by a competent authority of the State or other jurisdiction in which  that business is registered;请秘书长发布《立法指南》,包括以电子形式、用联合国六种正式语文发布,并向各国政府和相关机构传播《立法指南》,使之广为人知并可供查阅;
and3.
Recommendation 29: Information required after registration  hTe law should specify that atfer registration, the registered business must at least  fle with the business registry information on any changes or amendments to the  information that was initially required for the registration of the business pursuant  to recommendation 21. Recommendation 30: Maintaining a current registry  hTe law should require the registrar to ensure that the information in the business  registry is kept current, including through: Recommendation 31: Making amendments to registered information  hTe law should: (ii) record the date and time when the amendments are entered into  the registry record; and Recommendation 32: Hours of operation of the business registry hTe law should ensure that:
(ii) Information about any registry oifce locations and their opening  days and hours is publicized on the registry’s website, if any, or  otherwise widely publicized, and the opening days and hours of  registry oifces are posted at each oifce;建议立法者、决策者、登记处系统设计者以及其他相关机构和个人酌情对《立法指南》给予适当考虑。
and索引
(c) Notwithstanding subparagraphs (a) and (b) of this recommendation, the  business registry may suspend access to the services of the registry in whole or in  part in order to perform maintenance or provide repair services to the registry,  provided that: Recommendation 33: Access to services of the business registry  hTe law should permit access to the business registry without discrimination based  on any ground such as race, colour, gender, language, religion, political or other  opinion, national or social origin, property, birth or other status. Recommendation 34: Equal rights of women to access the registration services of the business registry hTe law should: (c) Provide for the adoption of policies to collect anonymized sex- disaggregated  data for business registration through the business registry. Recommendation 35: Public availability of information  hTe law should specify that all registered information is fully and readily available  to the public unless it is protected under the applicable law.
Recommendation 36: Where information is not made public  In cases where information in the business registry is not made public, the law  should:贸易法委员会企业登记处关键原则立法指南
(a) Establish which information concerning the registered business is subject  to the applicable law on public disclosure of protected data and which types of  information cannot be publicly disclosed; and Recommendation 37: Direct electronic access to registry services  hTe law should establish that, in keeping with other applicable law of the enacting  State, where information and communications technology is available, the submission of applications for the registration of a business and requests for amendment  of the registered information of a business may be done remotely through electronic means. Recommendation 38: Direct electronic access to search the registry  hTe law should establish that, where information and communications technology  is available, searches of the registry may be done remotely through electronic  means. Recommendation 39: Facilitating access to information  hTe law should ensure the facilitation of access to public information on registered  businesses by avoiding the creation of unnecessary barriers such as: requirements  for the installation of specifc sotfware;
charging expensive access fees;索引{§27}
or requiring  users of information services to register or otherwise provide information on their  identity. Recommendation 40: Cross-border access to publicly available registered information  hTe law should ensure that systems for the registration of businesses adopt solutions that facilitate cross-border access to the public information in the registry. Recommendation 41: Fees charged for business registry services  hTe law should establish fees, if any, for business registration and post-registration  services at a level that is low enough to encourage business registration, in particular of MSMEs, and that, in any event, does not exceed a level that enables the  business registry to cover the cost of providing those services. Recommendation 42: Fees charged for information  hTe law should establish that: (a) Basic information contained in the business registry should be available  to the public free of charge;
and Recommendation 43: Publication of fee amounts and methods of payment  hTe law should ensure that fees payable, if any, for registration and information  services are widely publicized, as are the acceptable methods of payment. Recommendation 45: Liability for misleading, false or deceptive information  hTe law should establish appropriate liability for any misleading, false or deceptive  information that is provided to the business registry or for failure to provide the  required information. Recommendation 46: Sanctions hTe law should: (a) Establish appropriate sanctions that may be imposed on a business for a  breach of its obligations regarding information to be submitted to the registry in  an accurate and timely fashion; Recommendation 47: Liability of the business registry  hTe law should establish whether and to what extent the State is liable for loss or  damage caused by error or negligence of the business registry in the registration  of businesses or the administration or operation of the registry.
Recommendation 48: Voluntary deregistration  hTe law should:章次
(a) Specify the conditions under which a business can request deregistration;段次
(b) Require the registrar to deregister a business that fulfls those conditions;可获取性
and (c) Permit the State to adopt simplifed procedures for deregistration of  MSMEs.信息的_
Recommendation 49: Involuntary deregistration  hTe law should specify the conditions pursuant to which a registrar can deregister  a business.(见信息)
(a) Provide that a written notice of the deregistration is sent to the registered  business;敏感信息的_
(b) Establish that the deregistration is publicized in accordance with the legal  requirements of the enacting State;六 183-185
(c) Specify when the deregistration of a business is effective;登记处服务的_
and (d) Specify the legal effects of deregistration.
Recommendation 51: Reinstatement of registration  hTe law should specify the circumstances under which and the time limit within  which the registrar is required to reinstate a business that has been deregistered. Recommendation 52: Preservation of records  hTe law should provide that documents and information submitted by the registrant and the registered business, including information in respect of deregistered  businesses, should be preserved by the registry so as to enable the information to  be retrieved by the registry and other interested users. Recommendation 53: Alteration or deletion of information  hTe law should provide that the registrar does not have the authority to alter or  delete information contained in the business registry record except in those cases  specifed in the law. Recommendation 54: Protection against loss of or damage to the business registry record hTe law should: Recommendation 55: Safeguard from accidental destruction  hTe law should provide that appropriate procedures should be established to mitigate risks from force majeure, natural hazards, or other accidents that can affect  the processing, collection, transfer and protection of data housed in electronic or  paper-based business registries.
Recommendation 56: Clarity of the law hTe law should, to the extent possible and in a clear manner, consolidate legal  provisions pertaining to business registration.167-171
Recommendation 57: Flexible legal forms hTe law should permit lfexible and simplifed legal forms for business in order to  facilitate and encourage registration of businesses of all sizes.- 直接电子访问
Recommendation 58: Legislative approach to accommodate the evolution of technology  hTe law should establish provisions on electronic transactions that accommodate  the evolution of technology.
Annex II186-189
Decision of the United Nations Commission on International Trade Law企业登记处的营业时间
At its 1074th meeting, on 27 June 2018, the Commission adopted the following  decision:六 164-166
hTe United Nations Commission on International Trade Law,消除妨碍_的障碍
Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, in  which the Assembly established the United Nations Commission on International  Trade Law with the purpose of promoting the progressive harmonization and unifcation of the law of international trade in the interests of all peoples, in particular  those of developing countries, Recognizing the importance to all States of a fair, stable and predictable legal  framework for the promotion of development-oriented policies that support productive activities, decent job creation, entrepreneurship, the equal rights of women  to economic resources, creativity and innovation, and encourage the formalization  and growth of micro, small and medium-sized enterprises, Noting that simple, eifcient and cost-effective business registration can assist  in business formation of all sizes and types of business, in particular micro, small  and medium-sized enterprises, Noting also that when business registries perform their functions in accordance  with simplifed and streamlined procedures they greatly contribute to the economic  development of a State as they allow expedited access to business information from  interested users, including from foreign jurisdictions, thus facilitating the search  for potential business partners, clients or sources of fnance and reducing risks in  transacting and contracting, Noting further the widespread wave of reforms of business registration systems  carried out by States in all regions and at all levels of development and, accordingly,  the wealth of lessons learned that have informed the preparation of the legislative  guide on key principles of a business registry and the growing opportunities for  the use and application of such guide,
Recalling the mandate given to Working Group I (Micro, Small and Mediumsized Enterprises) to prepare legal standards aimed at reducing the legal obstacles  encountered by micro, small and medium-sized enterprises throughout their life  cycle, in particular those in developing economies, Convinced that legislative recommendations negotiated internationally through  a process involving a broad range of constituents will be useful to both States that  do not have an eifcient and effective business registration system and States that  are undertaking a process of review and reform of their business registration  systems, Expressing its appreciation to Working GroupIfor its work in developing the  dratf legislative guide on key principles of a business registry and to intergovernmental and invited non-governmental organizations active in the feld of business  registration reform for their support and participation, 1. Adopts the UNCITARL Legislative Guide on Key Principles of a Business Registry, contained in document A/CN.9/940, as revised by the Commission at  its ftfy-frst session, 26 and authorizes the Secretariat to edit and fnalize the text of the Legislative Guide in the light of those revisions;
2.
Requests the Secretary-General to publish the Legislative Guide, including  electronically, in the six oifcial languages of the United Nations, and to disseminate  it to Governments and other interested bodies, so that it becomes widely known  and available;192-194 修订 对已登记信息的_
3.
Recommends that the Legislative Guide be given due consideration, as  appropriate, by legislators, policymakers, registry system designers and other interested bodies and individuals.162-163
26 Oifcial Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), paras. 71 to 110._日期
Index 27
Chapter Paragraphs163
Accessibility _of information (see Information)_的直接提交
_of sensitive information VI 183-185
_to registry services VI 167-171163
- Direct electronic access VI 186-189年度决算
Hours of operation of the business registry VI 164-166定义
Removing barriers to_ VI 192-194导言
Amendments _to registered information V 162-16312
Date of_ V 163登记_的费用
七 198 _信息 六 189
Direct submission of_ V 163登记后的_信息
Annual accounts Defnition Introduction 12
Fees to register_ VII 198155
Information on_ VI 189登记申请
Information on_atfer registration V 155直接以电子方式提交_
Application for registration Direct electronic submission of_ (see Accessibility—direct electronic access) Rejection of_ IV 146-149(见可获取性—直接电子访问)
Authority _allocating the unique identifer (see Unique identiifer)拒绝_
Responsible_to oversee the registry II 38-40
Responsible_to appoint the registrar II 41-42146-149
Awareness-raising strategies (see Reform of business registration)主管机构
Branch  Defnition Introduction 12分配独一识别码的_
Registration of a_ IV 150-152(见独一识别码)
Business name Change of_ (see Reinstatement of registration)负责监督登记处的_
Defnition Introduction 12
Distinguishable II 5338-40
27 hTe symbol “_” replaces the wording of the main entry to avoid repeating it in the sub-entries.负责任命登记官的_
Searching and reserving a_ - Role of the registry II 52-53
Business registry Access to_ (see Accessibility)41-42
Core functions of_ I 51-59提高认识战略
Electronic_ III 70, 95(见企业登记改革)
IV 147分支机构
V 158定义
- Phased approach to implementation of III 72-80导言
- Cloud computing III 7912
- Hardware and sotfware III 68_办理登记
Features of_ I 31-33
Mixed_ III 63, 66, 80150-152
IV 145, 148企业名称
VII 202_的变更
(see also Registry records – Preservation of_)(见恢复登记)
Paper-based_ III 63, 67, 80定义
V 158, 165导言
VI 18212
VIII 213可相区别
Objectives of_ I 25
Protection against loss or damage of_ (see Registry Records)53
Purposes of_ I 26-27搜寻和预留_
Responsible authority to oversee the_ (see Authority)- 登记处的作用
Safeguard of_ (see Registry Records)
Searching the_ (see Accessibility)52-53
Corporate identity thetf I 34企业登记处
Cross-border _access to registered information VI 196-197访问_
Exchange of information among business registries III 112-113(见可获取性)
Deregistration Defnition Introduction 12_的核心职能
Involuntary_ IX 220
Process of_ IX 223, 22551-59
定义 导言 12 电子_ 三
Reinstatement of registration IX 22670, 95
Time of effectiveness of_ IX 224
Voluntary_ IX 221147
Index 121
Electronic authentication methods Electronic signature (see Electronic signatures)158
Identity verifcation (see Corporate identity thetf)- 采取分阶段办法实施
Electronic communications Use and validity of_ III 85
Electronic signatures Defnition Introduction 1272-80-
Fees Publication of amounts and methods of payment VII 204- 云计算
三 79 - 硬件和软件 三 68
Electronic payments of_ III 76_的特征
_for information VII 203
_for registration VII 198-19931-33
Setting_ - Cost-recovery principle VII 201-202混合型_
- Mixed or paper-based registries VII 202
Gender  Disaggregated information on_ VI 175, 19063, 66, 80
_identifcation IV 130
_inequality VI 173145, 148
Good quality and reliable Defnition Introduction 12
_business registry I 32158
_registered information I 34-36
Incentives to register (see Reform of business registration)202
Information and Communication Technology (ICT) Defnition Introduction 12(另见登记处记录—_的保存)
Interoperability of_systems III 73纸介_
Security of_ III 71
Services supported by_ III 81-8463, 67, 80
Information Access to_on registration II 57四 145, 148
IV 118-119
Cross-border access to_ (see Cross-border)158, 165
六 182 七 202 八
Disaggregated_ (see also Gender and Language)213
_products - Defnition Introduction 12(另见登记处记录—_的保存)
- Fees for_ VII_的目标
(see also Fees) 198
_required atfer registration V 155-15625
_services - Defnition Introduction 12保护_免遭损失或损害
Fees for_ VII 198(见登记处记录)
(see also Fees)_的目的
Provision of_ (see Accessibility)
Language in which to submit_ (see Language)26-27
Minimum_required for registration IV 128-129, 131-132负责监督_的主管机构
Misleading, false or deceptive_ (see Liability)(见主管机构)
_provided by the registry VI 190_的保障
- Public availability of_ VI 176-183(见登记处记录)
Registered_查询_
- Accessibility of_ VI 192-194(见可获取性)
- Alteration or deletion of_ X 231-232盗用公司身份
- Amendment of_
- Submitted electronically by users V 16134
- Made by the registry staff V 161跨境
- Bulk_ VI 195_获取已登记信息
- Cross-border access to (see Cross-border)
- Cross-border exchange of (see Cross-border)196-197
- Error or omission in_ (see Liability)企业登记处之间_交流信息
- Fees for_ (see Fees)
- Good quality and reliability of_ (see Good quality and reliable)112-113
- Historical_ IX 225注销
- Storage of_ II 60-61定义
- Updating of_ I 30, 35导言
Interoperability Information and Communication Technology_ (see Information and Communication Technology)12
_and interconnection of business registration oifces III 61非自愿_
Institutional_ Introduction 9
III 61, 94, 110220
Semantic_ III 111_程序
Technical_ III 61, 70
Language  Language group of the registrant IV 130223, 225
_of forms for registry services VI 193恢复登记
_of registered information IV 133-134
Oifcial and local_ IV 120226
_of registry services IV 135_的生效时间
Law  Defnition Introduction 12
Features of_governing registration of a business I 28-30224
Language laws of the State (see Language)自愿_
Legal reform  Clarity of the law XI 237-238
Establishing lfexible legal forms for business XI 240-243221
_concerning laws underlying business registration XI 236-237电子认证方法
_to accommodate electronic registries XI 78, 244-245电子签名
Legislative Guide Purpose of_ Introduction 5-11(见电子签名)
Liability (see also Sanctions) _of the business for misleading, false or deceptive information VIII 208-209身份认证
_of the business registry VIII 212-217(见盗用公司身份)
Micro, small and medium-sized enterprises (MSMEs) Defnition Introduction 12电子通信
Flexible legal forms for_ XI 240-243_的使用及有效性
_and advantages of unique identifers (see Unique identiifers)
_and fees for registration services (see Fees)85
Owned by women (see Women)电子签名
Promoting registration of_ Introduction 8-9定义
(see also Reform of business registration)导言
Voluntary registration of_ (see see also Business registry – Purposes of_ and Registration procedures)12
Voluntary submission of information (see Information required post-registration)费用
One-stop shop Advantages of_ Introduction 9公布金额和支付方法
III 87
Forms of_ 88-92204
Integrated registration and payment Introduction 9_的电子支付
三 76 信息_ 七 203
Institutional interoperability within the_ (see Interoperability)登记_
Periodic returns Defnition Introduction 12
_as sources of information V 155198-199
_to prompt information V 156确定_
Late fling of_ VIII 207- 成本回收原则
Post-registration Amending registered information (see Information)
Fees for_services (see Fees)201-202
Information required_ V 155-156- 混合型登记处或纸介登记处
Maintaining information current V 157-161
Protected data Access to VI 184-185202
Information on gender identifcation as_ (see Gender)性别
_and public availability of information (see Information)关于_的分类信息
Sharing of_between public authorities III 114
Treatment of_ VI 185175, 190
Reform of business registration Awareness raising strategies Introduction 21-22_认同
Incentives for business to register Introduction 23
Phased reform process Introduction 24130
Project team Introduction 20_不平等
Reform advocate Introduction 16
Reform catalysts Introduction 15173
Steering Committee Introduction 17质量上乘并且可靠
Registered business Defnition Introduction 12定义
Deregistration of_ (see Deregistration)导言
Information on_ (see Information)12
Liability of_ (see Liability)_的企业登记处
Registrant Defnition_ Introduction 12
Information on_gender IV 13032
Identity of_ (see Information – Minimum_required for registration and   and Accessibility _to registry services)_的已登记信息 一
Notifcation of registration to_ (see Registration procedures)34-36
Foreign_ VI 197激励登记的措施
Requirements of_ VI 168-170(见企业登记改革)
Registrar Appointment and accountability of_ II 43信息和通信技术(信通技术)
(see also Authority)定义
Authority of_ - To alter or delete information (see Information)导言
- To correct errors IV 14712
(see also Information – Registered_Alteration or deletion of)_系统之间的互操作性
三 73 _的安全性 三 71
- To request additional information IV 147得到_支持的服务
- To reject an application for registration (see Application for registration)
Registration procedures Businesses, permitted or required to register IV 123-12681-84
Content of notice of registration IV 137信息
Scope of examination by the registry IV 115-117获取关于登记的_
Notice of registration IV 136
Period of effectiveness of registration IV 138-14157
Standard forms for registration II 46
Time and effectiveness of registration IV 142-145118-119
Registry records Alteration or deletion of_ (see Information)跨境获取_
Digital (or electronic) (see Business registry)(见跨境)
Manually entering information in_ IV 145分类_
Preservation of_ X 227-230(另见性别和语文)
Protection against loss or damage X 233-234_产品
Safeguard of_ X 235- 定义
Updating_ (see Information)导言
Registry staff Capacity building of_ II 47-4812
- Peer-to-peer learning II 49- _费用
Misconduct of VI 187
VIII 216-217(另见费用)
X 232198
Sanctions (see also Liability) Establishment of_ VIII 210-211登记之后所要求的_
Service standards Establishing_of the business registry, II 45
Social security authorities Integrated registration (see One-stop shop)155-156
Interoperability with the business (see Business registry – registry and taxation authorities phased approach to implementation of,   and One-stop shop)_服务
Registration with_ II 57- 定义
_and adoption of unique identifers (see Unique identiifer)导言
Taxation authorities Integrated registration (see One-stop shop)12
registry and social security authorities phased approach to implementation of,   and One-stop shop)- _的费用
_and adoption of unique (see Unique identiifer)
Transparency  _in collecting and maintaining registered information I 33198
_of the business registry V 162(另见费用)
(see also Service standards)提供_
Publicity of fnancial information of MSMEs V 155(见可获取性)
Use of standard registration forms (see Registration procedures)提交_使用的语文
Training  _for business registry users IV 122, 207(见语文)
_of business registry staff (see Registry staff)登记所要求的最低限_
UNCITARL UNCITARL texts III 85
United Nations United Nations Convention on the Elimination of  All Forms of Discrimination against Women (CEDAW) VI 174128-129, 131-132
Universal Declaration of Human Rights VI 174误导性、虚假或欺骗性_
Unique identiifer Advantages of_ III 102(见赔偿责任)
Allocation of_ III 106-107登记处提供的_
Allocation of_by different authorities III 104
Cross-border exchange of information (see Cross-border)190
Implementation of_ III 108-110- 向公众提供_
- Obstacles in the_ (see Interoperability)六 176-183
Structure of_ III 101已登记_
Use of_for individual businesses III 103_的可获取性
Users of the business registry Direct access to the registry (see Accessibility)六 192-194
Fees for_ (see Fees)修改或删除_
Liability for errors or omissions (see Liability)
Providing information to_ (see Information and Training)231-232
Restrict access of_to the business registry VI 179修订_
User-centric approach Introduction 9- 用户以电子方式提交的
五 161 八 213
Women Access to the business registry VI 172-175- 登记处工作人员输入的
ISBN 978-92-1-130380-3五 161
V.18-07623八 213
- 批量_ 六 195 - 跨境获取 (见跨境)
- 跨境交流 (见跨境) - _中的错误或遗漏 (见赔偿责任) - _费用
(见费用) - _质量上乘并且可靠 (见质量上乘并且可靠) - 历史_ 九
225 (另见登记处记录—_的保存) -_的储存 二 60-61
-_的更新 一 30, 35 互操作性 信息和通信技术_
(见信息和通信技术) 企业登记办公点之间的_和相互连通 三 61 机构_
导言 9 三 61, 94, 110 语义学上的_
三 111 技术_ 三 61, 70
语文 登记人所属的语言群体 四 130 登记处服务表格所用的_
六 193 已登记信息所用的_ 四 133-134
官方和当地_ 四 120 登记处服务所用的_ 四
135 法律 定义 导言 12
有关企业登记的_的特征 一 28-30 国家的语文法 (见语文)
法律改革 法律的清晰度 十一 237-238 确定灵活的企业法律形式
十一 240-243 关于企业登记基础性法律的_ 十一 236-237
旨在顾及电子登记处的_ 十一 78, 244-245 立法指南 _的宗旨
导言 5-11 赔偿责任(另见制裁) 企业对于提交误导性、虚假或欺骗性信息的_ 八
208-209 企业登记处的_ 八 212-217 微型、小型和中型企业(中小微企业)
定义 导言 12 _的灵活法律形式 十一
240-243 _与独一识别码的益处 (见独一识别码) _与登记服务的费用 (见费用)
妇女拥有的 (见妇女) 促进_办理登记 导言 8-9
(另见企业登记改革) _自愿办理登记 (见企业登记处—_的目的) 和登记程序) 自愿提交信息
(见登记之后所要求的信息) 一站式服务处 _的益处 导言 9
三 87 定义 导言 12
_的形式 88-92 综合登记和付款 导言 9
三 95 六 199 _内部的机构互操作性
(见互操作性) 定期报告书 定义 导言 12
_作为信息来源 五 155 通过_提交信息 五
156 延迟提交_ 八 207 登记后
修订已登记信息 (见信息) _服务的费用 (见费用) _所要求的信息
五 155-156 保持信息更新 五 157-161
受保护数据 获取 六 184-185 定义
导言 12 性别认同信息作为_ (见性别) _与向公众提供信息
(见信息) 公共主管机构之间共享_ 三 114 _的处理
六 185 企业登记改革 提高认识战略 导言
21-22 激励企业登记的措施 导言 23 分阶段的改革进程
导言 24 项目小组 导言 20
改进倡导者 导言 16 改革的催化剂 导言
15 指导委员会 导言 17 已登记企业
定义 导言 12 _的注销 (见注销)
关于_的信息 (见信息) _的赔偿责任 (见赔偿责任) 登记人
定义_ 导言 12 关于_性别的信息 四
130 _的身份 (见信息-登记所要求的最低限_和 可获取性—登记处服务的_) 向_发送登记通知
(见登记程序) 外国_ 六 197 对_的要求
六 168-170 登记官 _的任命和问责 二
43 (另见主管机构) _的权力 - 修改或删除信息 (见信息)
- 改正错误 四 147 (另见信息—修改或删除已登记_) - 要求提供补充信息
四 147 - 拒绝登记申请 (见登记申请) 登记程序
允许或要求办理登记的企业 四 123-126 登记通知的内容 四
137 登记处审查的范围 四 115-117 登记通知
四 136 登记的有效期 四 138-141
标准登记表格 二 46 登记的时间和生效 四
142-145 登记处记录 修改或删除_ (见信息) 数字(或电子)
(见企业登记处) 将信息手工输入_ 四 145 五
161, 163 _的保存 十 227-230 防止损失或损害
十 233-234 _的保障 十 235
_的更新 (见信息) 登记处工作人员 _的能力建设 二
47-48 - 同行学习 二 49 不当行为
六 187 八 216-217 十
232 制裁(另见赔偿责任) 确定_ 八 210-211
服务标准 确定企业登记处的_ 二 45 社会保障主管机构
综合登记 (见一站式服务处) 与企业登记处 (见企业登记处— 和税务主管机构的互操作性
分阶段实施, 和一站式服务处) 向_办理登记 二 57
_与采用独一识别码 (见独一识别码) 税务主管机构 综合登记 (见一站式服务处)
与企业登记处 (见企业登记处— 和社会保障主管机构的互操作性 分阶段实施, 和一站式服务处)
向_办理登记 二 57 _与采用独一识别码 (见独一识别码)
透明度 已登记信息收集和维护方面的_ 一 33 企业登记处的_
五 162 (另见服务标准) 中小微企业财务信息的公开性 五
155 使用标准登记表格 (见登记程序) 培训 对企业登记处用户的_
四 122, 207 对企业登记处工作人员的_ (见登记处工作人员) 贸易法委员会
贸易法委员会案文 三 85 联合国 《联合国消除对妇女一切形式歧视公约》
(《消除对妇女歧视公约》) 六 174 《世界人权宣言》 六
174 独一识别码 _的益处 三 102
_的分配 三 106-107 不同主管机构分配_ 三
104 跨境交流信息 (见跨境) 定义 导言
12 实施_ 三 108-110 - _的障碍
(见互操作性) _的结构 三 101 个体企业使用_
三 103 企业登记处用户 直接访问登记处 (见可获取性)
向_收取的费用 (见费用) 外国_ 六 197
对于错误或遗漏的赔偿责任 (见赔偿责任) 向_提供信息 (见信息和培训) 限制_对企业登记处的访问
六 179 以用户为核心的办法 导言 9
妇女 访问企业登记处 六 172-175 1
企业登记处也可作为一站式服务处,支持向其他相关主管机构(例如税务和社会保障主管机构)办理强制登记。 进一步的讨论见《指南》第57段。 2 见《贸易法委员会电子签名示范法》(2001年),第2条。 3
盗用公司身份的表现形式可能包括:关键的企业识别码和证书被盗窃或滥用、企业提交材料和记录被篡改或伪造,以及其他相关犯罪活动。 尽管使用了“公司”这一术语,但遭受此类犯罪危害的企业实体不只是公司。 任何类别的企业或任何规模或法律结构的组织都可能成为企业身份盗用的目标,包括个人独资企业、合伙企业和有限责任公司。 4 涉及与私营部门订约以提供企业登记服务的安排需要认真考虑若干法律问题和政策问题,如政府和私营供应商的责任、安排的形式、风险分担和争端解决。
5 贸易法委员会秘书处关于《联合国国际合同使用电子通信公约》的解释性说明(第185至192段)提供了关于“电子地址”一词的进一步信息以及“指定”和“非指定”电子地址之间的区别。 6 例如,可以采用“应用程序编程接口”。 应用程序编程接口具有各种各样的可能用途,例如通过简化的程序向登记处提交申请,如通过以默认方式预填某些字段,或允许用户以及为系统配备适当的软件,直接连接到登记处并自动检索信息。
7 预填表格允许根据登记人先前提供的或其用户账户中保存的信息自动填写选定的某些字段。 在登记人的信息发生变更时,登记人不需要再次填写整个表格,只需要输入相关变更即可。 预填表格中所包含的信息被储存,可供其他相关主管机构查取,并可与之交换。 8
此类案文包括:《贸易法委员会电子商务示范法》(1996年); 《贸易法委员会电子签名示范法》(2001年); 《联合国国际合同使用电子通信公约》(2005年)。 进一步的信息见http://www.uncitral.org/uncitral/uncitral_texts/electronic_commerce.html。 9
“技术中性”原则意味着法律条款是“中性”的,不取决于特定类型的技术,也不以使用特定类型的技术为前提,并且可以适用于所有类别信息的生成、传输或储存。 “功能等同”原则确立电子通信和电子签名可视为等同于纸介通信和手写签名的标准。 根据“法律有效性”原则,不得仅以通信和签名的电子形式为由而否定其法律效力、有效性或可执行性。 10 这个问题可能具有重要意义,因为提交的某些信息对时间敏感,例如确定企业登记的确切时间和地点。
11 关于预填表格的详情,见上文脚注7。 12 虽然独一识别码在企业的整个寿命周期中不会变化,但如果企业变更了法律形式,则可能被分配新的独一识别码。 13
在某些情况下,各主管机构除了使用独一识别码之外,还可以保留自己的编号系统,因为有“遗留数据”,即用来识别不能被转换为独一识别码的企业的过时格式。 为了访问这类信息,登记处必须保留旧的识别码以用于内部目的。 然而,在与公众打交道时,公共主管机构应为所有目的使用分配给该企业的独一识别码。 14 例如,有一些国家之间跨境共享企业信息的区域实例,但在这些实例中,信息共享是涉及相关国家经济很大程度一体化的更广泛项目的组成部分。
15 经济一体化程度较高的一些国家开发了一种应用,允许用户使用智能手机或移动设备同时查询两个国家的登记处信息。 16 “实际所有人”是最终拥有或控制法人或法律安排的自然人,即使行使所有权或控制权要通过一条所有权链,或是通过直接控制以外的控制手段。 这些载体可能不仅包括公司、托拉斯、基金会和有限合伙公司,还包括简易企业形式,也可能涉及一系列为掩盖所有权而创造的跨境公司法载体。
17 应当注意,金融行动特别工作组关于法人透明度和实际所有权的建议24鼓励各国对法人进行全面的风险评估,并确保所有公司均在一个公众可查阅的公司登记处办理登记。 要求的基本信息包括:(a)公司名称; (b)设立证据; (c)法律形式和地位;
(d)登记的办公点地址; (e)其基本监管权力; 以及(f)董事名单。 此外,还要求公司保存其股东或成员记录。 (见关于打击洗钱和资助恐怖主义行为及扩散行为的国际标准:金融行动特别工作组的建议,关于法人和法律安排透明度和实际所有权的E部分,建议24(www.fatf-gafi.org/media/fatf/documents/recommendations/pdfs/FATF_Recommendations.pdf)。
18 应当指出,颁布国计算时限的一般法律将适用于有效期的计算,除非适用于登记的具体法律条款另有规定。 例如,如果颁布国的一般法律规定,适用的时限以登记之日起的整年为单位,则年度从这一天开始计算。 19 登记处不当地接受一项申请并为不符合法律规定的要求的企业办理登记的情形应由关于确立企业登记处赔偿责任的条款(如有的话)管辖(见《指南》第212至217段)。
此外,颁布国的法律应当规定在此情况下应如何对企业登记加以改正。 20 虽然中小微企业一般不需要提供与一般的公众持有公司相同的信息流量和速度,但它们可能有着这样做的强烈动机,尤其是随着其发展和进步。 希望更好地获得信贷或吸引投资的企业似宜通过提供以下信息表明它们是负责任的:(1)企业的目标; (2)主要变更;
(3)资产负债表和资产负债表外项目; (4)其财务状况和资本需求; (5)任何管理委员会的构成及其任命和薪酬政策; (6)前瞻性预期; 以及(7)利润和股息。
此类考虑不大可能在中小微企业规模尚小时给它们造成困扰,但随着这些企业的增长,可能对它们非常重要。 21 例如,法律或登记处的行政指引可以规定,尽管登记处办公点的营业时间是上午9时至下午5时,但所有申请、变更或查询请求必须早于这个时间接收(比如下午4时),以确保登记处工作人员有足够的时间将申请中包含的信息输入登记处记录或进行查询。 22 例如,见“变革我们的世界:2030年可持续发展议程”(大会第70/1号决议)。
23 例如,见“创业促进发展”(大会第67/202号决议)。 24 关于反洗钱金融行动特别工作组建议24的更多信息,见上文脚注17。 25
关于反洗钱金融行动特别工作组建议24的进一步信息,见上文脚注17。 26 《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第71至110段。 27 符号“_”代替主条目中的词语,以避免在分条目中重复。