2019年11月8日，上海市司法局正式发布了《境外仲裁机构在中国（上海）自由贸易试验区临港新片区设立业务机构管理办法》。

根据该办法，2020年1月1日起，符合规定条件的在外国和我国香港、澳门特别行政区、台湾地区合法成立的不以营利为目的仲裁机构以及我国加入的国际组织设立的开展仲裁业务的机构，可向上海市司法局提出申请在上海自贸区临港新片区登记设立业务机构，开展相关涉外仲裁业务。

为此，上海市司法局出台了具体的指引。

 

境外仲裁机构在中国(上海)自由贸易试验区临港新片区设立业务机构申办指引

Application Guidelines for Business Offices Established by Overseas Arbitration Institutions in Lin-Gang Special Area of China (Shanghai) Pilot Free Trade Zone

 一、依据

I.Grounds

（一）国务院《中国（上海）自由贸易试验区临港新片区总体方案》（国发〔2019〕15号）第二部分第四项；

(1)Section II, Item 4 of Overall Plan for the New Lingang Area of the China(Shanghai) Pilot Free Trade Zone, State Council (Guo Fa [2019] No. 15);

（二）上海市人民政府《中国（上海）自由贸易试验区临港新片区管理办法》（市政府令（2019）第19号）第十三条；

(2)Article 13 of the Administrative Measures for the Lingang New Area of the China (Shanghai) Pilot Free Trade Zone,Shanghai Municipal People's Government (Shi Zheng Fu Ling (2019) No. 19);

（三）上海市司法局《境外仲裁机构在中国(上海)自由贸易试验区临港新片区设立业务机构管理办法》（下称《管理办法》）（沪司规〔2019〕5号）。

(3)Administrative Measures for Business Offices Established by Overseas Arbitration Institutions in Lin-Gang Special Area of China (Shanghai) Pilot Free Trade Zone (hereinafter referred to as "Administrative Measures"), Shanghai Municipal Bureau of Justice (Hu Si Gui [2019] No. 5).

二、申请人范围

II.Scope of Applicants

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

Any non-profit arbitration institution legally established in foreign countries and the Hong Kong Special Administrative Region, the Macao Special Administrative Region and Taiwan Region of China, as well as arbitration institutions established by international organizations that China has joined.

三、申请条件

III.Application conditions

（一）在境外合法成立并存续5年以上；

(1)Has been legally established and duly existing overseas for more than five (5) years;

（二）在境外实质性开展仲裁业务，有较高国际知名度；

(2)Has conducted substantial arbitration activities overseas, and has high international reputation; and

（三）业务机构拟任负责人没有因故意犯罪受过刑事处罚。

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

认定境外仲裁机构具有较高国际知名度，主要是综合考察仲裁机构处理的仲裁案件数量、标的金额和国际化水平，以及国际仲裁领域权威杂志、报刊、评估机构发布的仲裁机构排名情况等要素。

Whether the Overseas Arbitration Institution has a high international reputation, will be mainly determined by comprehensively examining the number, the value of subject matters, and the level of internationalization of arbitration cases hosted by such arbitration institution, as well as factors such as the ranking of arbitration institutions issued by authoritative magazines, newspapers, and evaluation agencies in the field of international arbitration, etc.

四、申请材料

IV.Application materials

（一）申请书

(1) Letter of Application;

（二）境外仲裁机构在其本国（地区）已经合法设立的证明文件

(2) Documents certifying that such Overseas Arbitration Institution has been legally established in its home country (region);

（三）境外仲裁机构章程

(3) Articles of Association of the Overseas Arbitration Institution;

（四）境外仲裁机构决策机构组成人员名单

(4) A list of members of the decision-making body of the Overseas Arbitration Institution;

（五）境外仲裁机构仲裁员名册或推荐名册（如有）

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

（六）境外仲裁机构仲裁规则和收费标准

(6) Arbitration rules and schedules of fees of the Overseas Arbitration Institution;

（七）业务机构拟任负责人/工作人员登记表

(7) Registration form of the principal and staff of the Business Office;

（八）业务机构拟任负责人没有因故意犯罪受过刑事处罚的证明文件

(8) Documents certifying that the principal of the Business Office has not been subjected to any criminal penalty for any willful offense;

（九）业务机构拟任负责人和工作人员的身份证或护照

(9)Certificates of identity or passports of the principal and staff of the Business Office;

（十）业务机构的住所证明材料

(10) The certificate of the domicile of the Business Office

我国加入的国际组织设立的仲裁机构申请还需提供该国际组织作出的同意设立业务机构的证明文件。

An application by an arbitration institution established by an international organization that China has joined shall also include documents certifying the consent of such international organization to establish the Business Office.

外国仲裁机构提交在境外形成的上述所列材料，应当经所在国公证机构或公证人的公证证明，并经我国驻该国使（领）馆认证；香港、澳门特别行政区、台湾地区仲裁机构提交上述所列材料，应当按照司法部认可的有关证明程序办理；我国加入的国际组织设立的仲裁机构提交在境外形成的上述所列材料，应当按照我国认可的外事程序办理。办理上述公证、认证、证明的有关材料应当一并提交。

The materials listed in the preceding paragraph submitted by other Overseas Arbitration Institutions shall be notarized by the public notorial office or notary public in the countries where such arbitration institutions are located and shall be authenticated by China’s embassies or consulates in such countries. The materials listed in the preceding paragraph submitted by arbitration institutions in the Hong Kong Special Administrative Region, the Macao Special Administrative Region and Taiwan Region of China shall be handled according to the relevant legalization procedures recognized by the Ministry of Justice. The materials listed in the preceding paragraph submitted by an international organization that China has joined shall be handled according to the in accordance with the foreign affairs procedures recognized by China. Relevant materials for the notarization, authentication and certification listed in the preceding paragraph shall be submitted with the application.

五、申请和审批流程

V. Application and approval process

（一）申请

(1)Application

符合条件的境外仲裁机构申请在中国（上海）自由贸易试验区临港新片区设立业务机构的，应当向上海市司法局（上海市小木桥路470号，联系电话021-53899700，周一至周五9:00-11:30,13:30-16:30）提交申请书和申请材料。

Eligible Overseas Arbitration Institution applying to establish a Business Office in the Lingang New Area of China (Shanghai) Pilot Free Trade Zone shall submit the application and application materials to Shanghai Municipal Bureau of Justice (No. 470 Xiaomuqiao Road, Shanghai, Tel. 021-353899700,Monday to Friday 9: 00-11: 30, 13: 30-16: 30).

申请材料按本指引所列申请材料的顺序排列，盖章、签字原件两份，复印件一份，分别装订成册。申请材料中如有用外文书写的文件，应当附中文译文，并以中文为准。

The application materials shall be arranged in the order of how the application materials are listed in this guideline, in two signed, sealed originals and one photocopy, to be bound into booklets respectively. If the application materials are written in a foreign language, a Chinese translation shall be attached, and the Chinese language version shall prevail.

（二）审查

(2)Review

上海市司法局对材料齐全、符合法定形式的申请应当及时受理，并出具受理通知书；对材料不齐全或者不符合法定形式的，应当当场或者自收到申请材料5个工作日内一次性告知补正材料内容。

Shanghai Municipal Bureauof Justice shall accept in a timely manner an application that is supported by all the required materials and conforms to the statutory form, and shall issuea notice of acceptance; if the application fails to include all the required materials or fails to conform to the statutory form, Shanghai Municipal Bureau of Justice shall, either on the spot or within five (5) working days upon receipt of the application materials, inform the applicant all at once of all the materials that are required be supplemented and corrected.

上海市司法局应当自受理之日起2个月内审查完毕，作出准予登记或者不予登记的决定。

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

（三）颁证

(3)Certification

上海市司法局应当自作出准予登记决定之日起10个工作日内报司法部备案，待司法部赋码后颁发登记证书。

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

境外仲裁机构拟申请设立业务机构的，可事先就申请条件、申请材料等向上海市司法局咨询；上海市司法局相关业务部门应当对申请条件、申请材料要求和审批流程进行业务指导。

If an Overseas Arbitration Institution intends to apply for the establishment of a Business Office, it may consult the Shanghai Municipal Bureau of Justice in advance on the application conditions, application materials, etc.; relevant business departments of the Shanghai Municipal Bureau of Justice shall provide practical guidance on application conditions, requirements for application materials, and approval processes.