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中華人民共和國商務部令

二〇二一年 第1號

《阻斷外國法律與措施不當域外適用辦法》已經國務院批準，現予公布，自公布之日起施行。

部 長 王文濤

2021年1月9日

阻斷外國法律與措施不當域外適用辦法

第一條 為了阻斷外國法律與措施不當域外適用對中國的影響，維護國家主權、安全、發展利益，保護中國公民、法人或者其他組織的合法權益，根據《中華人民共和國國家安全法》等有關法律，制定本辦法。

第二條 本辦法適用于外國法律與措施的域外適用違反國際法和國際關系基本準則，不當禁止或者限制中國公民、法人或者其他組織與第三國（地區）及其公民、法人或者其他組織進行正常的經貿及相關活動的情形。

第三條 中國政府堅持獨立自主的對外政策，堅持互相尊重主權、互不干涉內政和平等互利等國際關系基本準則，遵守所締結的國際條約、協定，履行承擔的國際義務。

第四條 國家建立由中央國家機關有關部門參加的工作機制（以下簡稱工作機制），負責外國法律與措施不當域外適用的應對工作。工作機制由國務院商務主管部門牽頭，具體事宜由國務院商務主管部門、發展改革部門會同其他有關部門負責。

第五條 中國公民、法人或者其他組織遇到外國法律與措施禁止或者限制其與第三國（地區）及其公民、法人或者其他組織正常的經貿及相關活動情形的，應當在30日內向國務院商務主管部門如實報告有關情況。報告人要求保密的，國務院商務主管部門及其工作人員應當為其保密。

第六條 有關外國法律與措施是否存在不當域外適用情形，由工作機制綜合考慮下列因素評估確認：

（一）是否違反國際法和國際關系基本準則；

（二）對中國國家主權、安全、發展利益可能產生的影響；

（三）對中國公民、法人或者其他組織合法權益可能產生的影響；

（四）其他應當考慮的因素。

第七條 工作機制經評估，確認有關外國法律與措施存在不當域外適用情形的，可以決定由國務院商務主管部門發布不得承認、不得執行、不得遵守有關外國法律與措施的禁令（以下簡稱禁令）。

工作機制可以根據實際情況，決定中止或者撤銷禁令。

第八條 中國公民、法人或者其他組織可以向國務院商務主管部門申請豁免遵守禁令。

申請豁免遵守禁令的，申請人應當向國務院商務主管部門提交書面申請，書面申請應當包括申請豁免的理由以及申請豁免的范圍等內容。國務院商務主管部門應當自受理申請之日起30日內作出是否批準的決定；情況緊急時應當及時作出決定。

第九條 當事人遵守禁令范圍內的外國法律與措施，侵害中國公民、法人或者其他組織合法權益的，中國公民、法人或者其他組織可以依法向人民法院提起訴訟，要求該當事人賠償損失；但是，當事人依照本辦法第八條規定獲得豁免的除外。

根據禁令范圍內的外國法律作出的判決、裁定致使中國公民、法人或者其他組織遭受損失的，中國公民、法人或者其他組織可以依法向人民法院提起訴訟，要求在該判決、裁定中獲益的當事人賠償損失。

本條第一款、第二款規定的當事人拒絕履行人民法院生效的判決、裁定的，中國公民、法人或者其他組織可以依法申請人民法院強制執行。

第十條 工作機制成員單位應當依照各自職責，為中國公民、法人或者其他組織應對外國法律與措施不當域外適用提供指導和服務。

第十一條 中國公民、法人或者其他組織根據禁令，未遵守有關外國法律與措施并因此受到重大損失的，政府有關部門可以根據具體情況給予必要的支持。

第十二條 對外國法律與措施不當域外適用，中國政府可以根據實際情況和需要，采取必要的反制措施。

第十三條 中國公民、法人或者其他組織未按照規定如實報告有關情況或者不遵守禁令的，國務院商務主管部門可以給予警告，責令限期改正，并可以根據情節輕重處以罰款。

第十四條 國務院商務主管部門工作人員未按照規定為報告有關情況的中國公民、法人或者其他組織保密的，依法給予處分；構成犯罪的，依法追究刑事責任。

第十五條 中華人民共和國締結或者參加的國際條約、協定規定的外國法律與措施域外適用情形，不適用本辦法。

第十六條 本辦法自公布之日起施行。

Order of the Ministry of Commerce of the People’s Republic of China

2021 No. 1

The Rules on Counteracting Unjustified Extra-territorial Application of Foreign Legislation and Other Measures, approved by the State Council, are hereby promulgated and shall be effective as of the date of the promulgation.

Minister of Commerce

Wang Wentao

January 9, 2021

Rules on Counteracting Unjustified Extra-territorial Application of Foreign Legislation and Other Measures

Article 1 These Rules are formulated in accordance with the National Security Law of the People’s Republic of China and other relevant laws, for the purpose of counteracting the impact on China caused by unjustified extra-territorial application of foreign legislation and other measures, safeguarding national sovereignty, security and development interests, and protecting the legitimate rights and interests of citizens, legal persons and other organizations of China.

Article 2 These Rules apply to situations where the extra-territorial application of foreign legislation and other measures, in violation of international law and the basic principles of international relations, unjustifiably prohibits or restricts the citizens, legal persons or other organizations of China from engaging in normal economic, trade and related activities with a third State (or region) or its citizens, legal persons or other organizations.

Article 3 The Chinese Government pursues an independent foreign policy, adheres to the basic principles of international relations, including mutual respect for sovereignty, non-interference in each other’s internal affairs, and equality and mutual benefit, abides by the international treaties and agreements to which China is a party, and fulfills its international obligations.

Article 4 The State shall establish a working mechanism composed of relevant central departments (hereinafter referred to as “the working mechanism”), to take charge of counteracting unjustified extra-territorial application of foreign legislation and other measures. The working mechanism is led by the competent department of commerce of the State Council, and the specific matters thereof are handled by the competent department of commerce and the department of development and reform in conjunction with other relevant departments of the State Council.

Article 5 Where a citizen, legal person or other organization of China is prohibited or restricted by foreign legislation and other measures from engaging in normal economic, trade and related activities with a third State (or region) or its citizens, legal persons or other organizations, he/it shall truthfully report such matters to the competent department of commerce of the State Council within 30 days. The matters reported shall be kept confidential by the competent department of commerce of the State Council and its staff members if so requested.

Article 6 When assessing and determining whether there exists unjustified extra-territorial application of foreign legislation and other measures, the working mechanism shall take the following factors into overall account:

(1) whether international law or the basic principles of international relations are violated;

(2) potential impact on China’s national sovereignty, security and development interests;

(3) potential impact on the legitimate rights and interests of the citizens, legal persons or other organizations of China;

(4) other factors that shall be taken into account.

Article 7 Where the working mechanism, upon assessment, confirms that there exists unjustified extra-territorial application of foreign legislation and other measures, it may decide that the competent department of commerce of the State Council shall issue a prohibition order to the effect that, the relevant foreign legislation and other measures are not accepted, executed, or observed (hereinafter referred to as “prohibition order”).

The prohibition order may be suspended or withdrawn by decision of the working mechanism based on actual circumstances.

Article 8 A citizen, legal person or other organization of China may apply to the competent department of commerce of the State Council for exemption from compliance with a prohibition order.

To apply for exemption from compliance with the prohibition order, a written application shall be submitted to the competent department of commerce of the State Council, in which the reasons for the application for exemption and the scope of exemption shall be included. Decisions on whether to approve the application or not shall be made within 30 days from the date of acceptance of the application; decisions shall be made in a timely manner in case of emergency.

Article 9 Where a person complies with the foreign legislation and other measures within the scope of a prohibition order, and thus infringes upon the legitimate rights and interests of a citizen, legal person or other organization of China, the latter may, in accordance with law, institute legal proceedings in a people’s court, and claim for compensation by the person; except where the former person is granted exemption in accordance with Article 8 of these Rules.

Where a judgment or ruling made in accordance with the foreign legislation within the scope of the prohibition order causes losses to a citizen, legal person or other organization of China, the latter may, in accordance with law, institute legal proceedings in a people’s court, and claim for compensation by the person who benefits from the said judgment or ruling.

Where the person referred to in Paragraph 1 and Paragraph 2 of this Article refuses to execute an effective judgment or ruling made by the people’s court, the citizen, legal person or other organization of China may apply to the people’s court for enforcement in accordance with law.

Article 10 Members of the working mechanism shall, in accordance with their respective functions and duties, provide guidance and service for the citizens, legal persons or other organizations of China in response to unjustified extra-territorial application of foreign legislation and other measures.

Article 11 Where, in adherence to the prohibition order, a citizen, legal person or other organization of China suffers significant losses resulting from non-compliance with the relevant foreign legislation and other measures, relevant government departments may provide necessary support based on specific circumstances.

Article 12 In response to unjustified extra-territorial application of foreign legislation and other measures, the Chinese Government may take necessary counter-measures based on actual circumstances and needs.

Article 13 Where a citizen, legal person or other organization of China fails to truthfully report as required or fails to comply with the prohibition order, the competent department of commerce of the State Council may give a warning, order he/it to rectify within a specified period of time, and may concurrently impose a fine according to the severity of the circumstances.

Article 14 Where a staff member of the competent department of commerce of the State Council fails to keep confidentiality for the citizen, legal person or other organization of China who makes the report according to relevant provisions, the staff member shall be punished in accordance with law. Where a crime is constituted, criminal liability shall be investigated for in accordance with law.

Article 15 These Rules shall not apply to such extra-territorial application of foreign legislation and other measures as provided for in treaties or international agreements to which China is a party.

Article 16 These Rules shall be effective as of the date of promulgation.

(All information published on this website is authentic in Chinese. English is provided for reference only.)

保護正當合法權益 維護國際經貿秩序——權威專家就《阻斷外國法律與措施不當域外適用辦法》答記者問

經國務院批準，1月9日，商務部公布《阻斷外國法律與措施不當域外適用辦法》（以下簡稱《辦法》），自公布之日起施行?！掇k法》出臺的背景是什么？其制度設計有哪些考量？對企業有何影響？圍繞社會關切，記者采訪了長期跟蹤研究阻斷立法的中國人民大學法學院教授韓立余。

發布《辦法》是必要之舉

當前，外國法律與措施的不當域外適用時有發生，不斷沖擊以規則為基礎的多邊貿易體制，給世界經濟復蘇帶來了不利影響。

“在此背景下，根據《中華人民共和國國家安全法》等有關法律，中國政府制定出臺了這一《辦法》，以捍衛國家利益，避免或減輕對我企業產生的不利影響，維護正常的國際經貿秩序。辦法第二條明確界定了適用范圍，即違反國際法和國際關系基本準則，不當禁止或限制中國企業與第三國企業正常經貿活動的外國法律與措施的域外適用情形。這種情形，我們通常稱之為“次級制裁”。”韓立余說。

《辦法》重申，中國政府堅持獨立自主的對外政策，堅持互相尊重主權、互不干涉內政和平等互利等國際關系基本準則，遵守所締結的國際條約、協定，履行承擔的國際義務。

韓立余表示，《辦法》的出臺，表明了中國政府反對外國法律與措施不當域外適用的嚴正立場，提供了保障企業合法權益的救濟渠道，也體現了中國維護國際經貿秩序的責任擔當。

受新冠疫情沖擊，全球貿易和投資大幅萎縮。世界貿易組織發布報告，預計2020年全球貨物貿易將下降9.2%。聯合國貿發會議預測，2020年全球外國直接投資流量同比將下降近40%，多數跨國公司將2020年收益預期下調了30%。

習近平總書記強調，我們要秉持開放包容理念，堅定不移構建開放型世界經濟，維護以世界貿易組織為基石的多邊貿易體制，反對單邊主義、保護主義，維護全球產業鏈供應鏈穩定暢通。

“在全球遭受新冠疫情沖擊，導致世界經濟復蘇乏力的當下，各國更應共同努力，促進全球經貿合作與發展?！表n立余說。

國際社會普遍反對有關外國法律與措施不當域外適用

出臺阻斷外國法律與措施不當域外適用的規定是中國特有的嗎？是否是國際社會普遍做法？

韓立余表示，20世紀90年代以來，聯合國通過一系列決議，要求廢除各種對他國企業和個人具有域外效力的單方面法律與措施，呼吁各國不承認、不執行此類法律與措施。

“阻斷有關外國法律與措施的不當域外適用并非中國獨有。”韓立余說，歐盟、加拿大、墨西哥、阿根廷等國家和地區先后制定了阻斷立法。例如，歐盟（歐共體）于1996年制定了《抵制第三國立法域外適用效果及行動條例》，并于2018年更新修訂。

韓立余表示，中國政府一貫主張，在國與國交往中，要遵守國際法和國際關系基本準則。中國同世界其他絕大多數國家或地區一樣，反對借有關法律與措施的不當域外適用損害他國的正當合法權益?！掇k法》的相關制度設計與其他國家或地區的做法是一致的。

制度設計借鑒了國際通行做法，不影響履行我國承諾的國際義務

《辦法》作出了哪些制度安排？

韓立余說，總體來說，《辦法》聚焦阻斷禁止或限制中國企業與第三國企業正常經貿活動的不當域外適用，為拒絕承認、執行和遵守有關外國法律與措施提供了法律依據。從內容看，《辦法》在信息報告、發布禁令、司法救濟等方面，借鑒了歐盟等國家和地區的立法經驗和制度設計，同時也立足于中國國情，考慮了中國應對外國法律與措施不當域外適用的實際需要。

《辦法》是否會影響中國政府履行國際義務？

《辦法》規定，中華人民共和國締結或者參加的國際條約、協定規定的外國法律與措施域外適用情形，不適用本辦法。

“中國政府一貫信守條約義務，認真履行相關國際條約的規定。中國締結或者參加的國際條約，涉及外國法律與措施域外適用情形的，將不適用本《辦法》?！表n立余表示。

為企業捍衛正當合法權益提供了救濟途徑

《辦法》將如何維護企業合法權益？

韓立余說，《辦法》規定了中國公民、法人或其他組織遇到禁止或限制其與第三國正常經貿活動的不當域外適用時的報告制度，同時規定了保障企業合法權益的多種救濟渠道。

韓立余指出，在應對有關外國法律與措施不當域外適用上，中國政府將給企業提供指導和服務。如果中國企業因有關外國法律與措施的不當域外適用遭受損失，可以向人民法院尋求司法救濟。企業根據禁令沒有遵守有關外國法律與措施遭受重大損失的，中國政府有關部門可以根據具體情況給予必要支持。

“禁令制度的實施，將在考慮相關措施和企業具體情況的基礎上，嚴格評估、審慎確認。”韓立余表示，有關部門在發布、中止或撤銷禁令時，應當基于相關因素綜合考慮。

韓立余稱，需要指出的是，企業合法權益受到保護的同時，也要承擔一定的義務，比如要及時報告相關情況、遵守禁令等，否則將會受到相應處罰。同時，針對實踐中我國公民、法人或者其他組織遵守禁令可能存在特殊困難或面臨特殊情形的，《辦法》也規定了豁免制度，以保障企業的正當合法權益。