中国法律动态

CHINA LEGAL UPDATE

企业合规简讯

Enterprise Compliance Bulletins

2014 年 5 月 19 日 May 19th 2014

立法动态 News on Legislation

2013 年 2 月 8 日，国务院办公厅发布了《关于深化收入分配制度改革重点工作分工的通知》，该通知第 29 条规定打击和取缔非法收入。围绕国企改制、土地出让、矿产开发、工程建设等重点领域，强化监督管理，堵住获取非法收入的漏洞。严厉打击走私贩私、偷税逃税、内幕交易、操纵股市、制假售假、骗贷骗汇等经济犯罪活动。严厉查处权钱交易、行贿受贿行为。深入治理商业贿赂。加强反洗钱工作和资本外逃监控。

On 8th February, 2013, the General Office of the State Council issued

Notice on Further Clarifying the Division of Key Work for Reform of

Income Distribution System, Article 29th of which stipulates the

crack-down and removal of illegal incomes. Specifically, the supervision

and management shall be strengthened, and the loopholes used for

illegal incomes plugged in the significant areas such as privatization of

state-owned enterprises, land transfer, mineral development, and

construction projects, and economic criminal activities including

smuggling and bootlegging, tax evasion, insider trading, stock market

manipulations, production and sale of counterfeit goods, obtaining loans

or foreign currency by false pretences. The power-money deals and

bribery will be investigated and those involved will be severely punished.

The commercial bribery shall be further curbed and prevented. The

anti-money-laundering work shall be taken to the next level, and the

capital flight should be more closely monitored.

2013 年 5 月 30 日，国务院办公厅发布了《关于印发深化流通体制改革加快流通产业发展重点工作部门分工方案的通知》，该通知第 26 条规定，依法严厉打击侵犯知识产权、制售假冒伪劣商品、商业欺诈和商业贿赂等违

中伦新闻

ZHONG LUN NEWS

中伦荣获钱伯斯亚太 2014 年度“最佳中国律师事务所”

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关于中伦

法行为。加强网络商品交易的监督管理。规范零售商、供应商交易行为，建立平等和谐的零供关系。

On 30th May, 2013，the General Office of the State Council issued

Notice on Issuing the Schemes for the Division of Key Departments

Engaged in the Further Implementation of Distribution System Reforms

and Accelerating the Development of Distribution Industry, according to

the 26th article of which, the illicit behaviours, such as the infringement

of intellectual property rights, the production and sale of fake and

low-quality products, commercial fraud and commercial bribery shall be

strictly dealt with in accordance with the law. The online trade of goods

shall be better overseen and governed. The transactions of the retailers

and the suppliers shall be regulated, and an equal and harmonious

relationship shall be establish between the two.

2013 年 1 月 11 日，国务院办公厅发布了《关于印发降低流通费用提高流通效率综合工作方案的通知》，该通知的第 3 条旨在强化零售商供应商交易监管。 清理整顿大型零售企业向供应商违规收费，规范促销服务费。制定零售商供应商公平交易管理的法规。该通知要求：零售商向供应商的收费项目、收费标准、服务内容、限制条件等，须与供应商协商确定，并在醒目位置明确标示。零售商不得向供应商收取标示以外的任何费用，不得对交易条件相同的供应商制定差别收费标准。零售商收到供应商货物后应及时付款，禁止零售商恶意占压供应商货款。成立零售商、供应商相关行业组织。规范零售商供应商工作人员行为，严厉打击商业贿赂。

On 11th January, 2013，the General Office of the State Council issued

Notice on Issuing the Comprehensive Work Plan for Reducing

Distribution Costs and Improving Distribution Efficiency, the objective of

the third provision of which is to reinforce the supervision and

governance of the trade of retailers and suppliers. The illicit fees that the

suppliers are charged by large retailers shall be weeded out, and the

promotion service fee shall be regulated. The laws and regulations

promote the fair trade of retailers and suppliers shall be enacted.

Furthermore, the notice requires: the retailers shall consult the suppliers

regarding the items and rates of charges, the details and conditions of

service, etc. and clearly mark and plainly demonstrate such information.

The retailers shall not charge any fees beyond as marked, nor shall they

develop differential pricing scheme for suppliers with identical trading

conditions. The retailers shall make payments upon the receipt of the

good from the suppliers, and no unreasonable delay of payment shall be

allowed. Organisations of retailers and suppliers shall be established,

and the behaviours of retailers and suppliers shall be regulated.

Commercial bribery shall be strictly dealt with.

在过去的 2013 年引起轩然大波的葛兰素史克商业贿赂事件后，在医药购销领域内，2013 年 12 月 25日国家卫生计生委印发《关于建立医药购销领域商业贿赂不良记录的规定》的通知，该通知已于 2014 年 3 月 1 日生效。该规定旨在加强医疗机构的管理，规范医疗卫生机构采购药品、医用设备、医用耗材等行为，制止非法交易活动，打击商业贿赂行为。对于对 2007年 1 月 19 日建立的医药购销领域商业贿赂不良记录制度主要作了以下修改和完善： 一是要求国家卫计委政务网站转载各省级卫生计生行政部门公布的商业贿赂不良记录，使医药行业商业贿赂的不良记录得到更广泛的公开； 二是全面覆盖了行贿犯罪的情形； 三是要求医疗卫生机构在与医药生产经营企业及其代理人签署药品、医用

中伦是一家中国领先的律师事务所，能够为客户提供全方位的法律服务。

中伦总部位于北京，另设有九家分所，分别位于上海、深圳、广州、武汉、成都、东京、香港、伦敦和纽约。中伦现有170多名合伙人和700多名专业人士。

About Zhong Lun

Zhong Lun is a leading Chinese

full-service business law firm.

The firm has more than 170

partners and 700 lawyers in ten

offices: Beijing, Shanghai,

Shenzhen, Guangzhou, Tokyo,

Wuhan, Hong Kong, Chengdu,

London, New York.

专业领域：

房地产

资本市场/证券

私募股权与投资基金

公司/外商直接投资

收购兼并

银行与金融

争议解决

知识产权

建设工程与基础设施

知识产权

反垄断与竞争法

WTO/国际贸易

海外投资

劳动法

税法与财富规划

资产证券化与金融产品

破产重整与清算

酒店/旅游开发与管理

证券化/结构性融资

信息技术、电信、传媒与娱

乐

合规/反腐败

电信、传媒和娱乐

环境保护、能源与自然资源

海事海商

Practice areas include:

设备和医用耗材等采购合同时，应当同时签署廉洁购销合同； 四是加大了行政处罚力度； 五是要求医疗卫生机构应当及时向卫生计生行政部门报送实施行贿行为的医药企业及人员名单。 中伦提示： 上述通知的发布，表明了国家行业反腐之决心。并且系统反腐的范围再次扩大，不仅仅是医药购销领域的商业贿赂，而是拓展到了流通行业、基建工程、政府采购领域的商业贿赂案件。因此，企业应该在今后的商业活动中对合规经营予以充分重视。

After the 2013 GSK bribery scandal that has sparked a massive outcry,

the National Health and Family Planning Commission issued Notice on

the Establishment of Commercial Bribery Records in the Purchase and

Sale of Medicines, the notice became effective as of 1st March, 2014.

The notice proposes to enhance the management of the medical

institutions, regulate the purchase of medicine, medical equipment,

medical consumables etc., prevent illegal trading, and crack down on

commercial bribery. The notice modify and improve the rules for

establishing records of medicine dumping and commercial bribery set on

19 January 2007 in the following ways:

1. Require the National Health and Family Planning Commission to

quote the records of commercial bribery in medicine published by the

provincial health and family planning departments on its administrative

website, in order to allow such records wider audience;

2. Cover more varieties of bribe-related crimes;

3. Require the medical and health institutes to execute an agreement of

integrity when they enter into sales contract of medicine, medical

equipment, medical consumables etc. with the pharmaceutical

production enterprises and the agents thereof;

4. Increase the harshness of administrative penalty; and

5. Require the medical and health institutions to promptly report and

submit the list of individuals and enterprises participating in bribing to the

health and family planning departments.

Zhong Lun’s advice:

The issuance of the foregoing notices demonstrates the determination of

China and the relevant industries to combat corruption, and it also shows

that the regulation of commercial bribery is not limited to the purchase

and sale of medicines, but also reaches the distribution industry,

infrastructure construction, and government purchases. As a result,

enterprises should give sufficient attention to its compliance in further

business activities.

案例介绍 Summary of the Case

葛兰素史克（GSK）事件 事件概要

2013年6月28日，长沙警方在其官方微博上公布，“葛兰素史克（中国）投资有限公司有关高管人员涉嫌经济犯罪，正在接受长沙市公安机关调查。”7月11日，公安部的通报将 GSK 事件进一步升级，“因涉嫌严重商业贿赂等经济犯罪，葛兰素史克（中国）投资有限公司部分高管被依法立案侦查”。同期，上海和郑州等地也开始进行相关侦查。4名 GSK 中国高管、至少18名其他雇员和医务人员已被拘捕。

根据公安部通报，GSK 中国近年为达到打开药品销售渠道、提高药品

Real Estate

Capital Markets/Securities

Private Equity & Investment

Funds

Corporate/Foreign Direct

Investment

Mergers & Acquisitions

Banking and Finance

Dispute Resolution

Intellectual Property

Construction &

Infrastructure

Antitrust/Competition

WTO/International Trade

Overseas Investments

Taxation & Wealth Planning

Labor and Employment

Securitization & Financial

Products

Bankruptcy &

Reorganization

Hospitality

Technology, Media and

Telecoms and

Entertainment

Regulatory/Anti-bribery

Environmental, Energy and

Natural Resources

Shipping

本所为特殊的普通合伙制事务所 LLP

LIMITED LIABILITY PARTNERSHIP LLP

售价等目的，利用旅行社等渠道，采取直接行贿或赞助项目（支付现金、赠送礼券（卡）、礼品、回扣、 商业性赞助、培训、旅游）等方式，向政府部门个别官员、医药行业协会和基金会、医院、医生等大肆行贿。除了英国和中国的相关调查，GSK 还面临美国的调查。

葛兰素史克公司之所以发生这样的违规，主要是因为其虽然在公司内部建立有明确的合规制度，但是相关制度的运行机制失灵，有制度不执行，最终导致不合规的行为发生。

中伦认为，合规管控机制的完善是企业合规运营的基础，在企业合规运营中，应当注意以下几方面：1.建立全面合规的考核机制；2.建立完善的合规监控体制；3.确保完善通常的举报机制；4.建立独立有效的查处机制。

国际主要规定

1. 《联合国反腐败公约》（以下简称《公约》）

《公约》是目前国际社会全面规范和惩治以商业贿赂为中心内容和开展反腐败国际合作影响最大、内容最为广泛和全面的国际法律文件。《公约》第 15 条、第 16 条和第 21 条具体规定了贿赂本国公职人员、贿赂外国公职人员或国际公共组织官员和私营部门内的贿赂等三种类型的贿赂犯罪，较为全面地规范了国际商业贿赂犯罪的认定标准。

《公约》第 15 条和第 16 条中既规定了公职人员的受贿行为又规定了向公职人员行贿的行为。其中向本国公职人员行贿表现为，“直接或间接向公职人员许诺给予、提议给予或者实际给予公职人员本人或者其他人员或者实体不正当好处，以使该公职人员在执行公务时作为或不作为”；向外国公职人员或国际公共组织官员行贿，除了以上的客观行为外，还要求以“以便获得或者保留与进行国际商务有关的商业或者其他不正当好处”为要件。

《公约》第 21 条中既规定了私营部门的受贿行为又规定了向私营部门行贿的行为。即，“直接或间接向以任何身份领导私营部门实体或者为该实体工作的任何人许诺给予、提议给予或者实际给予该人本人或者他人不正当好处，以使该人违背职责作为或者不作为；”以及“以任何身份领导私营部门实体或者为该实体工作的任何人为其本人或者他人直接或间接索取或者收受不正当好处，以作为其违背职责作为或者不作为的条件。” 2. 英国《反贿赂法案》（以下简称《法案》）

2011 年 4 月生效的《法案》，被业界公认“最严厉的反腐败法” 。由于《法案》的适用对象非常广泛，根据《法案》第 12 条以及第 7 条规定，几乎所有与英国有密切关系的公司和个人都在法案的适用范围中：在英国注册的公司自然包含其中。对于并非在英国注册的公司，只要其在英国设有分支机构，或者在英国经营业务、或者在英国的某个证券交易所上市、甚至或者仅仅聘请了英国居民，都将受到该法案的约束。

在下述两种情形之一中，《法案》第 1 条（行贿罪）规定了本人向他人提供、允诺或给予经济上的或者其他性质的好处的犯罪：①本人意图利用好处让履行职责或者行为的他人不正当履职或者利用好处作为该不正当履职的回报；②本人知道或者相信，接受所提出、允诺或者给予好处本身即构成有关职责或者行为的不正当履职。

在下述三种情形之一中，《法案》第 2 条（受贿罪）规定了本人向他人索取、同意收取或者接受经济上的或者其他性质的好处的犯罪：①本人或他人意图不正当履职或者行为（不论由其本人或他人）；②索取、同意或者接受本身构成本人不正当履职或者行为；③作为对不正当履职或者行为的回扣（不论由其本人或他人）；④作为本人索取、同意收取或者接受经济上的或者其他性质的好处的预期或后果，不正当履职或行为是由其本人或经本人要求、同意或者默许的他人实施的。在上述行为中，本人是否直接或通过第三方（或打算）索取、同意收取或接受好处，或者该好处是否是（或将是）为了本人或他人的利益的并不重要。在上述②至④情形中本人是否知道或相信履职或者行为是不正当的并不重要。在第④情形中，如果除本人之外的有关人员正在履职或行为，则该有关人员是否知道或相

信履职或者行为是不正当的也并不重要。

3. 美国的《反海外腐败法》 也称《反海外贿赂法》简称 FCPA（Foreign CorruptPracticesAct），

该法于1977年制定，期间经过1988、1994、1998年三次修改。有两组主要条款：记录与会计条款以及反腐败条款。旨在限制美国公司利用个人贿赂外国官员的行为，并对在美国上市公司的财会制度做出了相关规定。

FCPA 的反贿赂条款规定，任何实体，不论其是否为上市公司，只要是为取得、维持业务或以获取任何不当利益为目的，而向任何“外国官员”行贿的行为，都属非法。具体而言，FCPA 禁止个人和企业向任何外国官员、政府雇员、公共国际组织官员、外国政党或政治候选人、或任何代表该实体的人直接或间接提出、承诺、或授权向这些人支付任何有价物品。该规定既禁止直接贿赂，也禁止通过中介者进行贿赂；既影响到“发行人”（即发行或拟发行任何证券的个人或实体）和“国内企业”，也影响到他们的雇员、高级职员、董事、股东和代理人。

FCPA 对“外国官员”进行了非常广泛的界定，包括“外国政府或任何部门、机构或其职能机构、或公共国际组织的官员或雇员，或者具有此类政府、部门、机构或职能机构或公共国际组织的官方身份以代表其行为的任何人。” 中国主要规定

1. 《反不正当竞争法》

1993 年 12 月 1 日生效。是一部旨在规范社会主义市场经济秩序，倡导公平有序竞争的法律。该法第 8 条规定了商业贿赂行为。例如，经营者不得采用财物或者其他手段进行贿赂以销售或者购买商品。在帐外暗中给予对方单位或者个人回扣的，以行贿论处；对方单位或者个人在帐外暗中收受回扣的，以受贿论处。 并且还规定，经营者销售或者购买商品，可以以明示方式给对方折扣，可以给中间人佣金。经营者给对方折扣、给中间人佣金的，必须如实入帐。接受折扣、佣金的经营者必须如实入帐。 2. 《刑法》 根据犯罪主体的不同，目前关于商业贿赂犯罪的罪名共有十种，分别为： （1） 非国家工作人员受贿罪（刑法第 163 条）

量刑幅度：数额较大的，处五年以下有期徒刑或者拘役；数额巨大的，处五年以上有期徒刑，可以并处没收财产；

（2） 对非国家工作人员行贿罪（刑法第 164 条） 量刑幅度：数额较大的，处三年以下有期徒刑或者拘役；数额巨大的，处三年以上十年以下有期徒刑，并处罚金；

（3） 受贿罪（刑法第 385 条） 量刑幅度：数额在十万元以上的，处十年以上有期徒刑或者无期徒刑，可以并处没收财产；情节特别严重的，处死刑，并处没收财产。数额在五万元以上不满十万元的，处五年以上有期徒刑，可以并处没收财产；情节特别严重的，处无期徒刑，并处没收财产。数额在五千元以上不满五万元的，处一年以上七年以下有期徒刑；情节严重的，处七年以上十年以下有期徒刑。数额在五千元以上不满一万元，犯罪后有悔改表现、积极退赃的，可以减轻处罚或者免予刑事处罚，由其所在单位或者上级主管机关给予行政处分。数额不满五千元，情节较重的，处二年以下有期徒刑或者拘役；情节较轻的，由其所在单位或者上级主管机关酌情给予行政处分。对多次未经处理的，按照累计数额处罚；

（4） 单位受贿罪（刑法第 387 条） 量刑幅度：情节严重的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役；

（5） 行贿罪（刑法第 389 条） 量刑幅度：处五年以下有期徒刑或者拘役；因行贿谋取不正当利益，

情节严重的，或者使国家利益遭受重大损失的，处五年以上十年以下有期徒刑；情节特别严重的，处十年以上有期徒刑或者无期徒刑，可以并处没收财产。在被追诉前主动交待行贿行为的，可以减轻处罚或者免除处罚；

（6） 对单位行贿罪（刑法第 391 条） 量刑幅度：处三年以下有期徒刑或者拘役。单位犯罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役；

（7） 介绍贿赂罪（刑法第 392 条） 量刑幅度：情节严重的，处三年以下有期徒刑或者拘役。介绍贿赂人在被追诉前主动交待介绍贿赂行为的，可以减轻处罚或者免除处罚；

（8） 单位行贿罪（刑法第 393 条） 量刑幅度：情节严重的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役。因行贿取得的违法所得归个人所有的，依照行贿罪的规定定罪处罚；

（9） 利用影响力受贿罪（刑法第 388 条之一） 量刑幅度：数额较大或者有其他较重情节的，处三年以下有期徒刑或者拘役，并处罚金；数额巨大或者有其他严重情节的，处三年以上七年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处七年以上有期徒刑，并处罚金或者没收财产；

（10） 对外国公职人员或者国际组织官员行贿罪（《刑法修正案（八）》） 量刑幅度：数额较大的，处三年以下有期徒刑或者拘役；数额巨大的，处三年以上十年以下有期徒刑，并处罚金。

3. 《关于禁止商业贿赂行为的暂行规定》 由国家工商行政管理总局于1996年11月15日公布并实行。该规定第2

条对“商业贿赂”以及“财物”、“其他手段”进行定义，即“商业贿赂”，是指经营者为销售或者购买商品而采用财物或者其他手段贿赂对方单位或者个人的行为。“财物”，是指现金和实物，包括经营者为销售或者购买商品，假借促销费、宣传、赞助费、科研费、劳务费、咨询费、佣金等名义，或者以报销各种费用等方式，给付对方单位或者个人的财物。“其他手段”，是指提供国内外各种名义的旅游、考察等给付财物以外的其他利益的手段。

另外，就“回扣”“折扣”“佣金”等分别进行了定义。该规定第5条，“回扣”，是指经营者销售商品时在帐外暗中以现金、实物或者其他方式退给对方单位或者个人的一定比例的商品价款。第6条规定“折扣”，即商品购销中的让利，是指经营者在销售商品时，以明示并如实入帐的方式给予对方的价格优惠，包括支付价款时对价款总额按一定比例即时予以扣除和支付价款总额后再按一定比例予以退还两种形式。第7条规定“佣金”，是指经营者在市场交易中给予为其提供服务的具有合法经营资格中间人的劳务报酬。并明确经营者“可以以明示方式给予对方折扣”，但给予方以及接收方必须如实入帐。

4. 《关于办理商业贿赂刑事案件适用法律若干问题的意见》（以下简称

《意见》） 由最高人民法院和最高人民检察院于2008年11月20日发布并实行，就

如何认定商业贿赂犯罪进行了详细的规定。《意见》明确了商业贿赂犯罪的范围。《意见》第2条至第6条扩大解释了商业贿赂的主体，明确了《刑法》第163条和第164条的“其他单位”包括常设性以及非常设性组织；“公司、企业或者其他单位的工作人员”，包括国有公司、企业以及其他国有单位中的非国家工作人员；将医务人员、教师、评标委员会成员、竞争性谈判采购小组成员、询价小组成员纳入受贿罪主体范畴。明确了商业贿赂犯罪对象由财物扩大到财产性利益。

GSK Scandal

Synopsis

“Senior managers of GSK China are suspicious of economic crimes

and are under Changsha police department’s investigation.” announced

Changsha police department on its official Weibo (Microblog) on 28

June, 2008. On 11 July, the ministry of public security took things to the

next level by announcing that “suspected of economic crimes, some of

the executives of GSK China are under investigation as filed for in

accordance with law”. Meanwhile, related investigations were carried out

in Shanghai, Zhengzhou and other regions. Four GSK executives, at

least 18 other employees and medical staff were under arrest.

According to the announcement by Ministry of Public Security, for

the purposes that include developing sales channels and increasing

medicine prices, GSK China in recent years has been using direct

bribing or various forms of sponsorship (cash, gift cards, presents,

rebate, commercial endorsement, training programme, and the coverage

of travelling expenditures) to recklessly bribe a few officials in the

governmental departments, pharmaceutical industry associations and

foundations, hospitals, and doctors. Aside from investigation conducted

by China and the UK, GSK is facing the probe by American.

The main reason for GSK China’s offense is that the company’s

internal rules of compliance is duly established but not effectively

implemented.

Zhong Lun advised that, as the management and control

mechanism is the base for the compliance operation of an enterprise,

the following are rendered necessary and noteworthy: 1. a thorough

compliance-checking scheme; 2. a well-functioning supervision

mechanism; 3. a readily accessible offense reporting system; 4. an

independent investigating and punishing authority.

Main International Regulations

1. United Nations Convention against Corruption （hereafter referred

to as “the Convention”）

The Convention is considered the most influential and

comprehensive instrument in the field of international law for the

international cooperation in the battle against corruption with the focus

on the world-scale regulation and punishment of commercial bribery. The

15th, 16

th and 21

st articles of the Convention set forth the bribery of

national public officials, bribery of foreign public officials and officials of

public international organisation, and bribery in the private sector，respectively, standardising the definition of international commercial

bribery.

The 15th and 16

th articles of the Convention contain both the

acceptance of bribe by and bribing of public officials. Specifically, to bribe

a public official of the same nation is defined as “[the] promise, offering

or giving, to a public official, directly or indirectly, of an undue advantage,

for the official himself or herself or another person or entity, in order that

the official act or refrain from acting in the exercise of his or her official

duties”. The bribing of foreign public officials shares the same external

behaviour, but an additional condition is required that such bribing is

committed “in order to obtain or retain business or other undue

advantage in relation to the conduct of international business”.

The 21st articles of the Convention specifies the acceptance of bribe

by and the bribing any person in the private sector, that is, “[the] promise,

offering or giving, directly or indirectly, of an undue advantage to any

person who directs or works, in any capacity, for a private sector entity,

for the person himself or herself or for another person, in order that he or

she, in breach of his or her duties, act or refrain from acting”, and “[the]

solicitation or acceptance, directly or indirectly, of an undue advantage

by any person who directs or works, in any capacity, for a private sector

entity, for the person himself or herself or for another person, in order

that he or she, in breach of his or her duties, act or refrain from acting”.

2. Bribery Act of UK (hereafter the “act”)

The Act, effective in April, 2011, is recognised as the “strictest

legislation against Corruption” by the professionals, mainly because the

Act has a very broad coverage. Pursuant to Article 12 and Article 7, the

Act is applicable to almost all the corporations and individuals who have

a close connection with the United Kingdom, which naturally include

companies registered in UK. For a company that are not registered in the

British Isles, as long as it has a branch in, carry on a business in or goes

public in a stock exchange in UK, or merely employs a UK citizen, it will

be bound by the Act.

The 1st article of the Act (Offences of bribing another person)

provides that a person (“P”) is guilty of an offence if either of the two

following cases applies ①P intends the advantage (i) to induce a person

to perform improperly a relevant function or activity, or (ii) to reward a

person for the improper performance of such a function or activity. ② P

knows or believes that the acceptance of the advantage would itself

constitute the improper performance of a relevant function or activity.

Article 2 of the Act (Offences relating to being bribed) defines the

offences of a person (“R”) who requests, agrees to receive or accepts a

financial or other advantage, if any of the following cases applies: ①

intending that, in consequence, a relevant function or activity should be

performed improperly (whether by R or another person); ② the request,

agreement or acceptance itself constitutes the improper performance by

R of a relevant function or activity; ③ R requests, agrees to receive or

accepts a financial or other advantage as a reward for the improper

performance (whether by R or another person) of a relevant function or

activity; ④ in anticipation of or in consequence of R requesting,

agreeing to receive or accepting a financial or other advantage, a

relevant function or activity is performed improperly (a) by R, or (b) by

another person at R’s request or with R’s assent or acquiescence. In all

foregoing cases, it does not matter (a) whether R requests, agrees to

receive or accepts (or is to request, agree to receive or accept) the

advantage directly or through a third party,(b) whether the advantage is

(or is to be) for the benefit of R or another person. In cases ② to ④ it

does not matter whether R knows or believes that the performance of the

function or activity is improper. In case ④, where a person other than R

is performing the function or activity, it also does not matter whether that

person knows or believes that the performance of the function or activity

is improper.

3. Foreign Corrupt Practices Act of the US

The Foreign Corrupt Practices Act (“FCPA”), effective in 1977 and

amended in 1988, 1994 and 1998, is known primarily for two of its main

provisions, one concerning accounting transparency requirements and

another concerning bribery, the objectives of which are to curb

individuals’ bribery of the foreign officials, and to regulate the accounting

rules of public companies in the US.

FCPA provides that it is against the law for any entity, whether it is a

public traded company or not, to bribe any “foreign official” in a corrupt

effort to obtain, retain or direct business to any person. To be more

specific, FCPA forbid any individual or company to pays, offers, promises

to pay, or authorizes the payment of money or anything of value to a

foreign official, foreign political party, candidate for political office, or

official of a public international organisation. Both direct bribery and

bribery using intermediaries are proscribed by the FCPA. The FCPA

applies to “issuers” (any individual or entity who issues securities) and

“domestic companies”, as well as any of their officers, directors,

employees, agents or shareholders.

The “foreign officials” in the FCPA is broadly defined and includes

“officers or employees of any foreign government or any department or

agency, instrumentality thereof, or of a public international organisation,

or anyone acting on behalf of such government or department.”.

Main Legislations of China

1. Anti-Unfair Competition Law

Effective on 1st December, 1993, Anti-Unfair Competition Law sets out to

regulate the socialist market and promote fair competition. Article 8

states the commercial bribery practices. To be more specific, this article

stipulates “an operator shall not sell or purchase goods by offering bribes

with money or valuables or otherwise. Where an operator secretly pays

kickbacks to the counterparty, be it an entity or individual, off the books,

the operator shall be punished for offering bribes; where the

counterparty, be it an entity or individual, secretly accepts kickbacks off

the books, the transaction counterparty shall be punished for taking

bribes”. In addition, “in selling or purchasing goods, an operator may

expressly offer discounts to the counterparty and may pay commissions

to the middlemen. Where an operator gives discounts to the

counterparty or pays commissions to the middlemen, it shall enter the

items in accounts faithfully. An operator accepting discounts or

commissions shall enter such receipt in the accounts faithfully”.

2. Criminal Law

Criminal Law specifies ten types of commercial bribery according to the

difference in the subjects that commit such crimes.

1) The Crime of Non-Governmental Individuals Accepting Bribes

(Article 163)

Sentence: if the amount involved is relatively large, he shall be

sentenced to fixed-term imprisonment of not more than five years or

criminal detention; if the amount involved is huge, he shall be

sentenced to fixed-term imprisonment of not less than five years

and may also be sentenced to confiscation of property.

2) The Crime of Non-Governmental Individuals Offering Bribes (Article

164)

Sentence: if the amount involved is relatively large, shall be

sentenced to fixed-term imprisonment of not more than three years

or criminal detention; if the amount involved is huge, he shall be

sentenced to fixed-term imprisonment of not less than three years

but not more than ten years and shall also be fined.

3) Crime of Accepting Bribes (Article 385)

Sentence: An individual who embezzles not less than 100,000 shall

be sentenced to fixed-term imprisonment of not less than ten years

or life imprisonment and may also be sentenced to confiscation of

property; if the circumstances are especially serious, he shall be

sentenced to death and also to confiscation of property. An

individual who embezzles not less than 50,000 but less than

100,000 shall be sentenced to fixed-term imprisonment of not less

than five years and may also be sentenced to confiscation of

property; if the circumstances are especially serious, he shall be

sentenced to life imprisonment and confiscation of property. An

individual who embezzles not less than 5,000 but less than 50,000

shall be sentenced to fixed-term imprisonment of not less than one

year but not more than seven years; if the circumstances are

serious, he shall be sentenced to fixed-term imprisonment of not

less than seven years but not more than ten years. If an individual

who embezzles not less than 5,000 and less than 10,000, shows

true repentance after committing the crime, and gives up the

embezzled money of his own accord, he may be given a mitigated

punishment, or he may be exempted from criminal punishment but

shall be subjected to administrative sanctions by his work unit or by

the competent authorities at a higher level. An individual who

embezzles less than 5,000, if the circumstances are relatively

serious, shall be sentenced to fixed-term imprisonment of not more

than two years or criminal detention; if the circumstances are

relatively minor, he shall be given administrative sanctions at the

discretion of his work unit or of the competent authorities at a higher

level. Whoever repeatedly commits the crime of embezzlement and

goes unpunished shall be punished on the basis of the cumulative

amount of money he has embezzled.

4) The Crime of Units (referring to State organ, State-owned company,

enterprise, institution or mass organisation) Accepting Bribes

(Article 387)

Sentence: if the circumstances are serious, it shall be fined, and the

persons who are directly in charge and the other persons who are

directly responsible for the offence shall be sentenced to fixed-term

imprisonment of not more than five years or criminal detention.

Sentence: Whoever commits the crime of offering bribes shall be

sentenced to fixed-term imprisonment of not more than five years or

criminal detention; whoever offers bribes to secure illegitimate

benefits, if the circumstances are serious or if heavy losses are

caused to the interests of the State, shall be sentenced to fixed-term

imprisonment of not less than five years but not more than ten

years; if the circumstances are especially serious, he shall be

sentenced to fixed-term imprisonment of not less than ten years or

life imprisonment and may also be sentenced to confiscation of

property .

Any briber who, before he is investigated for criminal liability,

voluntarily confesses his act of offering bribes may be given a

mitigated punishment or exempted from punishment.

5) The Crime of Offering Bribes to a Unit (a State organ, State-owned

company, enterprise, institution or mass organisation) (Article 391)

Sentence: be sentenced to fixed-term imprisonment of not more

than three years or criminal detention.

Where a unit commits the crime mentioned in the preceding

paragraph, it shall be fined, and the persons who are directly in

charge and the other persons who are directly responsible for the

offence shall be punished in accordance with the provisions of the

preceding paragraph.

6) Crime of Facilitating a Bribe (Article 392)

Sentence: Sentence: if the circumstances are serious, shall be

sentenced to fixed-term imprisonment of not more than three years

or criminal detention. introduces a bribe. Any person who introduces

a bribe but voluntarily confesses the act before he is investigated for

criminal liability may be given a mitigated punishment or exempted

from punishment.

7) The Crime of Units offering a Bribe (Article 393)

Sentence: if the circumstances are serious, it shall be fined, and the

persons who are directly in charge and the other persons who are

directly responsible for the offence shall be sentenced to fixed-term

imprisonment of not more than five years or criminal detention.

8) The Crime of Securing Bribes using Powers (Article 388)

Sentence: if the amount involved is relatively large, be sentenced to

fixed-term imprisonment of not more than three years or criminal

detention and shall also be fined; if the amount involved is huge, or

if there are other serious circumstances, he shall be sentenced to

fixed-term imprisonment of not less than three years but not more

than seven years and shall also be fined; if the amount involved is

especially huge, or if there are other especially serious

circumstances, he shall be sentenced to fixed-term imprisonment of

not less than seven years or life imprisonment and shall also be

fined or be sentenced to confiscation of property

9) The Crime of Offering Bribes to Foreign Public Officials or Officials

of International Organisations (Amendment of the Criminal Law of

the People’s Republic of China (VIII))

Sentence: if the amount involved is relatively large, be sentenced to

fixed-term imprisonment of not less than three years but not more

than ten years and shall also be fined

3. Tentative Regulations of the State Administration for Industry and

Commerce on Prohibition of Commercial Bribery (The “Tentative

Regulations”)

The Tentative Regulations was issued by State Administration for

Industry and Commerce and went into effect on 15 November, 1996. The

2nd

Article of the Tentative Regulations defines “commercial bribery”,

“property”, and “other means”. In specific, the "commercial bribery"

means the acts of a business operator who bribes the opposite entity or

individuals by using property or other means with the purpose of selling

or purchasing commodities. The "property" refers to cash and physical

objects, including the property paid to the opposite entity or individuals

by a business operator in the false name of promotion costs, publicity

expense, contributions, research costs, remuneration, consulting fees

and commissions, or by reimbursing all kinds of fees, in order to sell or

purchase commodities. "Other means" refer to the methods by which the

concerned party may provide some benefits other than property, such as

all kinds of overseas and domestic travels of various descriptions and

considerations as well as investigation.

In addition, terms such as rake-off, discount and commission are

clearly defined in the following articles. In Article 5, the definition of

"rake-off" is stated as the proportion of the money paid for commodity

returned to the opposite entity or individuals by a business operator by

cash, physical objects or other means off the book secretly. Article 6

define "discount" as the profits surrendered by sellers in commodities

sales, means the favourable prices given to the opposite party by a

business operator when selling commodities in an expressed way and

by recording the surrendered profits in the accounts, including deducting

a proportion of money immediately or returning a proportion of money

after the total payment. The "commission", as defined in Article 7, means

the remunerations given by a business operator to the broker, which

provides the services to the operator in the market deal and has the legal

operational qualification. It is provided that business operators may,

when selling or purchasing commodities, give commissions to the broker

in an expressed way. If a business operator gives the broker

commissions, it shall truthfully record them in its accounts; if a broker

takes commissions, it shall truthfully record them in its accounts.

4. Opinions on Some Issues Concerning the Application of Laws for

Handling Criminal Cases of Commercial Bribery (The “Opinions”)

The Opinions was issued by Supreme People's Court and Supreme

People's Procuratorate and came into effect on 20 November, 2008. The

Opinions gives detailed description so that commercial bribery can be

accurately recognised. The Opinions clear demarcate the range of

commercial bribery, and Article 2 to Article 6 of the Opinions explain the

definition of subjects of commercial bribery to include more possibilities,

in specific, the “other units” in Articles 163 and 164 of Criminal Law was

expanded to contain standing organisations and non-permanent

organisations, and the "personnel of companies, enterprises or other

units" specified in Articles 163 and 164 of the Criminal Law shall include

non-State functionaries of state-owned companies and enterprises as

well as other state-owned units. Medical staff, teachers, panel members

of the legally established awarding committee, negotiating team in

competitive negotiating procurement are all included as subjects of

accepting bribery. The objects of bribery are no longer limited to

property, but also include the interests on or related to property.

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