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
商业特许经营备案应在何时申请？
根据《商业特许经营管理条例》及配套备案管理办法，特许人应当在签订第一份特许经营合同之日起15日内，向相应的商务主管部门办理备案。这里的“第一份特许经营合同”是指特许人与位于中国境内的被特许人签订的首份合同，无论该合同是否已经实际履行，只要已经签署，备案义务即告触发。实务中，很多企业误以为备案可以在开展特许业务后随意拖延，甚至等到有多个加盟商后才申请，这属于违规行为，可能面临行政处罚。操作指引上，特许人应当建立内部合同台账，在签署首份合同后立即启动备案流程，准备所需材料，防止因材料不全导致延误。若在15日内未能完成提交，建议尽快补办并说明情况，但违规状态仍然存在。常见争议焦点是“第一份合同”的认定，例如加盟意向书、预约合同是否属于特许经营合同，通常认为只要具备特许经营核心要素（授权使用经营资源、统一经营模式、支付特许经营费用）即可构成。此外，若特许人分批次签订合同，应以最早一份为准。风险提示：超期备案可能被商务主管部门责令改正，并可能被处以罚款，同时影响企业信用记录。
备案所需材料主要有哪些？
特许人办理商业特许经营备案时，需向备案机关提交一系列材料，核心包括：特许经营基本信息、中国境内全部加盟门店分布情况、特许人的市场营销计划、企业法人营业执照或其他主体资格证明、与特许经营相关的商标权或专利权等经营资源注册证明、符合“两店一年”要求的证明文件（即特许人应当拥有至少两个直营店且经营时间超过一年，但2007年5月1日前已开展特许经营活动的除外）、中国境内第一份特许经营合同原件或复印件、特许经营合同样本、特许经营操作手册目录（需标注各章页数和总页数，若在内部网络提供则需注明打印估算页数）、法律法规规定需前置审批的产品或服务项目批准文件、外商投资企业还须提交外商投资企业批准证书且经营范围包含“以特许经营方式从事商业活动”、由法定代表人签章的特许人承诺书，以及备案机关要求的其他材料。实务中，境外形成的文件须经当地公证机构公证并附中文翻译，再经中国驻该国使领馆认证，或按相关条约办理；港、澳、台地区文件需办理相应认证手续。操作指引：建议企业提前梳理经营资源权属证明，确保商标注册类别覆盖特许业务范围。如果特许经营资源尚在申请注册中，可能被认定不符合备案要求。常见争议焦点是“两店一年”证明的认定标准，例如直营店的股权结构、实际控制关系是否达到要求。风险提示：材料不全或虚假将导致备案不成功，甚至被撤销备案并承担法律责任。
备案后信息变更和年报义务有哪些？
特许人在完成商业特许经营备案后，并非一劳永逸，还需履行持续性的合规义务。首先，当备案信息发生变更时，例如特许人在市场监管部门登记的信息发生变化、经营资源（商标、专利等）信息发生变化、中国境内加盟门店分布发生变化，特许人应当自变更之日起30日内向原备案机关提交变更申请。实务中，常见的问题是企业更换法定代表人、变更注册地址、新增或撤销加盟店后，忘记及时更新备案信息，导致备案信息与实际经营状况不符。操作指引：企业应指定专人负责备案信息维护，与工商登记、法务部门联动，确保变更信息及时传递。其次，特许人还应当在每年3月31日前，向备案机关报告上一年度特许经营合同的签订、解除、终止及续约情况，这是年度年报义务。报告内容应当真实、完整，包括合同数量变化、纠纷情况等。常见争议焦点在于变更备案的时限计算，例如以营业执照变更登记日期为准，还是以实际发生变更为准。实务中建议以相关证书或登记文件上的日期为依据，并保留证据。风险提示：未按时办理变更或年报，可能被备案机关责令改正，甚至影响备案效力。如果备案信息严重不实，备案机关有权撤销备案，并对外公告，这将严重影响特许经营体系的公信力，加盟商可能据此主张欺诈并追究相关责任。因此，特许人应当建立合规日历，按时履行各项报备义务。
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
