Article 1 For the purposes of strengthening the administration of commercial franchise activities and regulating the commercial franchise market order, these Measures are formulated in accordance with relevant provisions of the Regulations on the Administration of Commercial Franchises (hereinafter referred to as the “Regulations”).
Article 2 These Measures shall apply to commercial franchise activities conducted within the territory of the People’s Republic of China (hereinafter referred to as the “within the territory of China”).
Article 3 The Ministry of Commerce and the departments in charge of commerce of the people’s governments of provinces, autonomous regions and municipalities directly under the Central Government are the authorities responsible for the record-filing of commercial franchises. The commercial franchise activities carried out within the territorial scope of a province, autonomous region or municipality directly under the Central Government shall be filed for record with the department in charge of commerce of the people’s government of the province, autonomous region or municipality directly under the Central Government where the franchisor is domiciled. The franchise activities carried out across the territorial boundaries of provinces, autonomous regions or municipalities directly under the Central Government shall be filed for record with the Ministry of Commerce.
A nationwide network is adopted for the record-filing of commercial franchises. Franchisors complying with the provisions of the Regulations shall, in accordance with the provisions of these Measures, file for record through the information management system for commercial franchises established by the Ministry of Commerce.
Article 4 The Ministry of Commerce may, in accordance with relevant provisions, delegate work related to the record-filing of commercial franchises of franchisors engaging in franchise across the territorial boundaries of provinces, autonomous regions or municipalities directly under the Central Government to the departments in charge of commerce of the people’s governments of the relevant provinces, autonomous regions or municipalities directly under the Central Government. The departments in charge of commerce of the people’s governments of provinces, autonomous regions or municipalities directly under the Central Government entrusted with the record-filing work shall complete such work by themselves, and shall not further entrust any other organization or individual with the work.
If the departments in charge of commerce of the people’s governments of provinces, autonomous regions or municipalities directly under the Central Government entrusted with the record-filing work fail to perform their record-filing related duties in accordance with the law, the Ministry of Commerce may directly accept the record-filing applications submitted by franchisors.
Article 5 Any entity or individual may report to the relevant department in charge of commerce any act that is in violation of provisions of these Measures, and the department in charge of commerce shall handle the case in accordance with the law.
Article 6 A franchisor applying for record-filing shall submit the following materials to the relevant record-filing authority:
(1) The basic information about the commercial franchise;
(2) The distribution of shops of all franchisees within the territory of China;
(3) The marketing plan of the franchisor;
(4) The enterprise legal person business license or other subject qualification certificates;
(5) Registration certificates on the trademark right, patent right and other operational resources relating to the franchise activities;
(6) Supporting documents in conformity with Paragraph 2 of Article 7 of the Regulations;
The provisions of the preceding paragraph do not apply to the circumstances where a franchisor that started the franchise activities before May 1, 2007 submits application materials for record-filing of commercial franchises.
(7) The first franchise contract signed with the franchisee within the territory of China;
(8) A sample franchise contract;
(9) The table of contents of the franchise operation manual (the number of pages of each chapter and the total number of pages in the manual shall be indicated. Where such manual is provided on the internal network of the franchise system, an estimate of the number of pages in a print-out shall be indicated);
(10) Where laws and regulations of the State require prior approval to offer the product and service involved in the franchise operation, the approval document from the relevant competent department shall be submitted;
Foreign-invested enterprises shall submit the Approval Certificate for Foreign-invested Enterprise. The business scope specified in the Approval Certificate for Foreign-invested Enterprise shall include the item of “engagement in commercial activities by way of franchise”.
(11) The franchisor’s undertaking signed or sealed by the franchisor’s legal representative; and
(12) Other materials to be submitted as required by record-filing authorities.
If the abovementioned documents are prepared outside the territory of the People’s Republic of China, such documents need be notarized by a notary public (with a Chinese translation attached) in the country where the document is prepared, and certified by the embassy or consulate of the People’s Republic of China in that country, or the certification formalities prescribed in the relevant treaty signed between the People’s Republic of China and that country shall be completed. If the documents are prepared in Hong Kong, Macao or Taiwan region, the relevant certification formalities shall be completed.
Article 7 A franchisor shall apply with the relevant record-filing authority for record-filing within 15 days from the date on which it signs the first franchise contract with the franchisee located within the territory of China.
Article 8 Where any changes occur to the following record-filing information of a franchisor, the franchisor shall submit an application for change of registration with the relevant record-filing authority within 30 days from the date of occurrence of such changes:
(1) The information of the franchisor registered with administrative authority for industry and commerce;
(2) The information pertaining to the operational resources; or
(3) The distribution of all the stores of the franchisees within the territory of China.
Article 9 Prior to March 31 of each year, a franchisor shall report to the relevant record-filing authority the status of the execution, rescission, termination and renewal of franchise contracts in the preceding year.
Article 10 A franchisor shall exercise due care in filling out information about all items required for record-filing, and ensure that the information provided is authentic, accurate, and complete.
Article 11 A record-filing authority shall complete the record-filing procedures within ten days from the date when it receives documents and materials submitted by a franchisor which comply with provisions of Article 6 of these Measures, and make the relevant announcement via the information management system for commercial franchises.
Where the documents and materials submitted by the franchisor are incomplete, the record-filing authority may require the franchiser to submit supplementary documents and materials within seven days. Upon receipt of all of the supplementary documents and materials from the franchiser, the record-filing authority shall complete the record-filing procedures within ten days.
Article 12 Where a franchisor that has completed the record-filing procedures involves any of the following acts, the relevant record-filing authority may cancel the record-filing, and make an announcement thereon via the information management system for commercial franchises:
(1) The franchisor cancels its registration with the administrative department for industry or commerce, or the franchisor’s business license is revoked by the competent registration authority due to its illegal business operation;
(2) The record-filing authority receives the written judicial advice from a judicial authority proposing the cancellation of the record-filing due to the franchisor’s illegal business operation;
(3) The franchisor conceals the relevant information or provides false information, which causes significant impact;
(4) The franchisor applies for the cancellation of the record-filing, and the relevant record-filing authority approves such application; or
(5) Other situations in which the cancellation of the record-filing is necessary.
Article 13 Departments in charge of commerce of the people’s governments of all provinces, autonomous regions and municipalities directly under the Central Government shall report the information pertaining to the record-filing and cancellation of record-filing to the Ministry of Commerce within ten days.
Article 14 Record-filing authorities shall preserve complete and accurate records of the record-filing information pertaining to franchisors, as well as relevant materials, and keep confidential the trade secrets of franchisors in accordance with the law.
The department in charge of commerce of the people’s government (at the level of province, autonomous region, municipality directly under the Central Government, or city divided into districts) where the franchisor is located may issue the record-filing certificate to the franchisor that has completed the record-filing procedures.
Article 15 The general public shall have access to the following information through the information management system for commercial franchises:
(1) A franchisor’s enterprise name and operational resources such as registered trademarks, business logos, patents, and know-how used in the franchise business;
(2) A franchisor’s record-filing time;
(3) The address of the legal business premises and the contact information of a franchisor, and the name of the legal representative thereof; and
(4) The distribution of all the stores of franchisees within the territory of China.
Article 16 If a franchisor fails to complete the record-filing procedures in accordance with provisions of the Regulations and these Measures, the department in charge of commerce at or above the level of city divided into districts shall order the franchiser to complete the record-filing procedures within a specified time limit, and impose thereon a fine of more than RMB 10,000 and less than RMB 50,000. If the franchisor fails to complete the record-filing procedures within the specified time limit, a fine of more than RMB 50,000 and less than RMB 100,000 shall be imposed, and an announcement shall be made.
Article 17 If a franchisor violates the provisions of Article 11 of these Measures, the department in charge of commerce at or above the level of cities with districts shall order the franchisor to make rectifications and may impose thereon a fine of less than RMB 10,000. In serious cases, a fine of more than RMB 10,000 and less than RMB 50,000 shall be imposed and an announcement shall be made.
Article 18 Overseas franchisors engaging in franchise activities within the territory of China shall be governed by these Measures. These Measures shall apply as the reference for governing franchisors from the Hong Kong and Macao Special Administrative Regions, and Taiwan region.
Article 19 The relevant associations shall, in accordance with the provisions of these Measures, strengthen the industry self-regulation, and provide guidance for franchisors on completing the record-filing formalities in accordance with the law.
Article 20 The Ministry of Commerce is responsible for the interpretation of these Measures.
Article 21 These Measures shall come into force on February 1, 2012. The Administrative Measures for the Record-filing of Commercial Franchises (Decree No. 15 [2007] of the Ministry of Commerce) which came into force on May 1, 2007, shall be repealed simultaneously.
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杨春宝一级律师简介
杨春宝一级律师，大成上海高级合伙人、资本市场部主任、国资基金研究中心主任，大成中国区私募基金专业带头人、科技与文化法律研究中心联合牵头人。执业30余年，长期从事私募基金、投融资、并购重组法律服务，尤其对对赌研究颇深且具有非常丰富的实战经验，并专注于金融机构股权投资业务。2004年起多次入选The Legal 500"私募基金"和"公司与商业"等境内外各类律师榜单，代理的中国法院首例适用外国法律审理外国公司的董事损害小股东权益纠纷案入选上海高院发布的《上海法院域外法查明典型案例》和威科先行"要案头条"。入选上海涉外法律人才库、上海市司法局鼎新法治人才库、上海国有企业改制法律顾问团，具有上市公司独立董事任职资格，系多家知名高校的兼职教授或兼职研究生导师及上海市商务委跨国经营人才培训班讲师。出版《私募股权投资基金风险防控操作实务》等16本投融资法律专著。了解更多常见法律问题
哪些特许经营活动需要办理备案？
一、根据法律规定，凡在中华人民共和国境内从事商业特许经营活动的特许人均需办理备案。判断标准并非以企业性质或规模为依据，而是以是否开展特许经营这一商业模式为要件。只要特许人拥有经营资源，允许被特许人使用并收取费用，且被特许人按照统一经营模式开展经营，就落入备案管理范围。二、具体到文章规定，备案管辖依据经营地域区分：特许经营活动仅在某一省、自治区或直辖市范围内开展的，向特许人住所地省级商务主管部门备案；跨省、自治区或直辖市开展特许经营的，则须向商务部备案。商务部还可依法将跨省备案事务委托给相关省级商务部门办理，但受托部门不得再次转委托。三、实务中，特许人应首先判断自身经营是否跨省，再确定对应的备案机关。未依法办理备案可能面临行政处罚，且会影响特许经营信息披露与后续招商活动。建议特许人在签订首份合同前即做好备案筹备工作，准确选择受理机关并按要求备齐材料。
办理备案需要提交哪些核心材料？
一、法律设置了较为全面的材料清单，旨在使商务主管部门能够充分审核特许人的经营资质、资源状况及合同安排。核心规则要求特许人提交基本经营信息、境内被特许人店铺分布、市场营销计划、主体资格证明、经营资源权利证书、首份特许经营合同、合同样本以及经营手册目录等。经营手册目录还需注明各章页数与总页数，若以内部网络形式提供，则需说明打印后的预估页数。二、从实务场景看，涉及前置审批的产品或服务，如餐饮、教育等，还须提交行业主管部门的批准文件。外商投资企业则须提供外商投资企业批准证书，且其经营范围应包含以特许经营方式从事商业活动。境外形成的文件需经公证认证并附中文翻译，港澳台文件亦需履行相应证明手续。三、实务指引方面，特许人应特别注意材料的真实性与完整性。备案机关发现材料不齐的，可要求特许人在七日内补正，补正期间不计入备案时限。材料齐备后，备案机关应在十日内完成备案并通过信息管理系统公告。若特许人提供虚假材料或备案后经营资源发生重大变化而未及时更新，可能面临备案被撤销的风险。因此建议建立内部材料档案管理制度，确保备案信息与实际情况同步。
备案后有哪些持续合规义务？
一、法律明确规定备案并非一次性义务，特许人在完成初始备案后仍需承担持续的变更报告与年度报告义务。依照规则，备案信息发生变化的，特许人应在变化发生之日起三十日内向原备案机关提交变更申请。需要变更的信息包括工商登记信息、经营资源信息以及境内被特许人店铺分布情况等。其中经营资源信息涉及商标、专利等核心权利变化，直接影响特许经营合法性，必须及时申报。二、年度报告义务要求特许人每年三月三十一日前向备案机关报送上一年度特许经营合同的订立、解除、终止及续约情况。这项义务的真实目的在于使商务主管部门动态掌握特许市场的运行状态，及时发现经营异常。从实践案例看，很多特许人因疏忽变更时限或漏报年度信息而被列入经营异常名录或遭受处罚。三、实务操作上，特许人应指定专人负责备案信息维护，建立信息变动提醒机制，确保各项变更在法定期限内完成申报。同时，年度报告应如实填写，不得隐瞒或虚报合同数据。若备案机关发现特许人存在注销登记或其他法定撤销情形的，有权撤销备案并公告。持续合规不仅是法定义务，也是维护特许品牌信誉、保障被特许人知情权的重要基础。
以上内容仅供参考，不构成法律意见。如需专业法律服务，请联系杨春宝一级律师：chambers.yang@dentons.cn
