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第一章 总 则

Article 1 These Measures are formulated in accordance with the Auction Law of the People's Republic of China (hereinafter referred to as the Auction Law) and relevant laws, administrative regulations and rules on foreign investment in order to regulate auction behavior, maintain auction order, promote the opening up of the auction industry and promote the healthy development of the auction industry。

第二条 本办法适用于中华人民共和国境内拍卖企业进行的拍卖活动。 各种经营性拍卖活动，应当由依法设立的拍卖企业进行。

Article 3 The term "auction enterprise" as mentioned in these Measures refers to a limited liability company or joint stock limited company established within the territory of China in accordance with law to engage in commercial auction activities。

第四条 商务部是拍卖行业主管部门，对全国拍卖业实施监督管理。 The competent commercial departments of the people's governments of provinces, autonomous regions and municipalities directly under the Central Government (hereinafter referred to as the provincial level) and the people's governments of cities divided into districts (hereinafter referred to as the municipal level) shall exercise supervision and administration over the auction industry within their respective administrative areas。

Article 5 Auction enterprises engaged in auction activities shall abide by the provisions of the Auction Law and other relevant laws, administrative regulations and rules, and follow the principles of openness, fairness, justice, honesty and credit。

第二章 拍卖企业的设立、变更和终止

Article 6 The investor who applies for the establishment of an auction enterprise shall have a good reputation and shall not violate the laws, administrative regulations and rules of China。

第七条 设立拍卖企业，应当具备下列条件：
（一）有一百万元人民币以上的注册资本；
（二）有自己的名称、组织机构和章程；
（三）有固定的办公场所；
(4) There are three or more persons who have obtained qualifications for the auction industry, of whom at least one is an auctioneer;Full-time or part-time personnel with qualifications in industries closely related to the main business;
（五） 有符合有关法律、行政法规及本办法规定的拍卖业务规则；
（六）符合商务主管部门有关拍卖行业发展规划。

第八条 申请设立拍卖企业，应当提交下列材料：
（一）申请书；
（二）公司章程、拍卖业务规则；
（三）工商行政管理机关核发的《电子pg游戏官网》；
（四）拟任法定代表人简历和有效身份证明；
（五）拟聘任的拍卖师执业资格证书及从业人员的相关资质证明；
（六）固定办公场所产权证明或租用合同；

Article 9 An auction enterprise engaged in the auction of cultural relics shall comply with the provisions of the relevant laws and administrative regulations on the auction of cultural relics。国家行政机关依法没收的物品，充抵税款、罚款的物品、人民法院依法没收的物品，The auction of the objects of the fine, the fine, the recovered items that cannot be returned and other special state-owned assets shall be undertaken by the auction enterprises with the corresponding auction qualifications，The specific qualification conditions shall be formulated by the provincial competent Commerce Department in conjunction with relevant departments in accordance with the principle of standardized management and selection of the best，并报商务部备案。

第十条 拍卖企业的名称应当符合企业名称登记管理的有关规定。拍卖企业名称中的行业表述应当标明“拍卖”字样。

第十一条 拍卖企业申请设立分公司，应当符合下列条件：
（一）符合拍卖业发展规划；
（二）年检合格；
(3) The registered capital of the enterprise shall be no less than RMB 5 million yuan and fully paid, and the auction enterprise shall allocate no less than RMB 1 million yuan in capital or kind for each branch;
(4) The branch shall have two or more persons who have obtained the qualification of the auction industry, and full-time or part-time persons who have the qualification of the industry closely related to the main business;
（五）有固定的办公场所；
(6) engaged in auction business for more than three years, made profits in the last two years, and the auction turnover of the previous year exceeded 50 million yuan;Or auction turnover of more than 200 million yuan last year。

第十二条 拍卖企业设立分公司，申请人需要提交下列材料 :
（一）拟设立分公司的申请报告；
（二）企业法人营业执照副本（复印件）；
（三）最近两年经会计师事务所审计的年度财务会计报表；
（四）拟任分公司负责人简历及有效身份证明；
（五）拟聘任的拍卖师执业资格证书及从业人员的相关资质证明；
（六）固定办公场所的产权证明或租用合同。

Article 13 The establishment of auction enterprises and branches shall be handled in accordance with the following procedures: The application for the establishment of auction enterprises and branches shall first be examined by the municipal competent department of commerce where the enterprise or branch is located, and then submitted to the provincial competent department of commerce for approval and issuance of the auction operation approval certificate。申请人持拍卖经营批准证书向所在地工商行政管理机关办理登记手续。 省级商务主管部门对拍卖企业及分公司的设立许可可以采取听证方式。 拍卖经营批准证书由商务部统一印制。

Article 14 Before an auction enterprise applies to the administrative authority for industry and commerce for the alteration of a registered item, it shall first report to the provincial competent department of commerce for approval, and the auction operation approval certificate shall be renewed by it。

Article 15 If an auction enterprise or a branch fails to obtain a business license within six months from the date of receipt of the auction operation approval certificate, its auction operation approval certificate shall automatically become invalid。 Where an auction enterprise or a branch fails to open for business six months after its establishment, or fails to hold an auction for six consecutive months without justifiable reasons or has no business tax certificate after its opening, the relevant department shall revoke its business license according to law, and the competent department of commerce shall withdraw the approval certificate of auction operation。

Article 16 An auction enterprise is dissolved according to the causes specified in the articles of association, resolutions of the shareholders' meeting or other causes;Or is ordered to close down due to violation of laws, administrative regulations and the provisions of these Measures;Or if it is declared bankrupt according to law because it is unable to repay debts due, the relevant department shall cancel it according to law。

第三章 外商投资拍卖企业的设立、变更和终止

Article 17 Foreign-invested auction enterprises may engage in commercial auction activities, except as otherwise provided for by laws and administrative regulations。

Article 18 Foreign investors with strong economic strength, advanced auction technology and management experience, and extensive international auction marketing network are encouraged to set up foreign-invested auction enterprises。

Article 19 The establishment of foreign-invested auction enterprises shall meet the following conditions in addition to the provisions of Article 7 of these Measures:
（一）符合外商投资企业注册资本和投资总额的有关规定；
(2) The operating term of foreign-invested auction enterprises is generally not more than 30 years, and the operating term of foreign-invested auction enterprises established in the central and western regions is generally not more than 40 years。

Article 20 The approved foreign-invested auction enterprise applying for the establishment of a branch shall, in addition to conforming to Article 11 of these Measures, participate in the joint annual inspection of foreign-invested enterprises on time and pass the annual inspection。

Article 21 To establish a foreign-invested auction enterprise, the applicant shall submit the following materials in addition to the materials prescribed in Article 8 of these Measures:
（一）合同、章程（外资拍卖企业只报送章程）及其附件等；
（二）投资各方的银行资信证明、登记注册证明（复印件）；
（三）投资各方经会计师事务所审计的最近一年的审计报告；
(4) Evaluation reports of state-owned assets intended to be invested by Chinese investors in Chinese-foreign joint ventures or cooperative auction enterprises;
(5) The list of members of the board of directors of the proposed foreign-invested auction enterprise and the letter of appointment of directors from the parties to the investment。
When a foreign-invested auction enterprise establishes a branch, the applicant shall submit a capital verification report in addition to the materials provided for in Article 12 of these Measures。

Article 22 The establishment of foreign-invested auction enterprises and branches shall be handled in accordance with the following procedures: The applicant shall submit the application materials prescribed in Article 20 to the Ministry of Commerce。The Ministry of Commerce shall, from the date of receiving all the application materials, make a decision on whether to approve or not within the prescribed time. For the approved establishment, it shall issue the certificate of approval for foreign-invested enterprises and the certificate of approval for auction operation; for the disapproval, it shall explain the reasons。 The applicant shall, within one month from the date of receipt of the approval certificate for foreign-invested enterprises and the approval certificate for auction operation, complete the registration formalities with the local administrative department for industry and commerce。 商务部对外商投资拍卖企业及分公司的设立许可可以采取听证方式。

Article 23 Before an auction enterprise with foreign investment applies to the administrative department for industry and commerce for alteration of its registered items, it shall report to the Ministry of Commerce for approval and issue a new auction operation approval certificate and a foreign investment enterprise approval certificate。

Article 24 If a foreign-invested auction enterprise or branch fails to open for business six months after its establishment, or fails to hold an auction or has no business tax certificate for six consecutive months after its establishment, the relevant department shall revoke its business license according to law, and the Ministry of Commerce shall withdraw the approval certificate of auction operation。

Article 25 A foreign-invested auction enterprise is dissolved according to the causes specified in the articles of association, resolutions of the shareholders' meeting or the board of directors or other causes;Or is ordered to close down due to violation of laws, administrative regulations and the provisions of these Measures;Or if it is declared bankrupt according to law because it is unable to repay debts due, the relevant department shall cancel it according to law。

第四章 拍卖从业人员及拍卖活动

Article 26 The State applies a qualification system to professional and technical auction personnel. Persons who have obtained the qualification certificate for practicing auctioneers may preside over auction activities only after they have been registered。 The term "auctioneer" as mentioned in these Measures refers to the person who has passed the national unified examination, obtained the seal jointly used by the Ministry of Personnel and the Ministry of Commerce, issued by the China Auction Industry Association, the Practicing Qualification Certificate of Auctioneer of the People's Republic of China, and has been registered。

第二十七条 拍卖师只能在一个拍卖企业注册执业且不得以其拍卖师个人身份在其他拍卖企业兼职； 拍卖师不得将《线上电子游戏官网》借予他人或其他单位使用。

第二十八条 拍卖师可以变更执业注册单位。If an auctioneer changes his registered unit, he shall go through the formalities for registration change with the China Auction Industry Association。 The China Auction Industry Association shall report the registration and changes of auctioneers to the Ministry of Commerce on a monthly basis for the record。

第二十九条 下列物品或者财产权利禁止拍卖：
（一）法律、法规禁止买卖的；
（二）所有权或者处分权有争议，未经司法、行政机关确权的；
（三）尚未办结海关手续的海关监管货物。

第三十条 拍卖企业应当依法开展拍卖活动，不得有下列行为：
（一）出租、擅自转让拍卖经营权；
（二）对拍卖标的进行虚假宣传，给买受人造成经济损失；
(3) Employing auctioneers or other persons who are not registered according to law to act as auctioneers to preside over auction activities;
(4) engaging in unfair competition by maliciously reducing the commission ratio or charging commission lower than the cost of auction activities, or even not charging commission (except for free auction) or giving kickback to the client;
（五）其他违反法律法规的行为。

Article 31 An auction enterprise shall immediately report to the local public security organ if it finds that there are articles or stolen goods notified by the public security organ in the auction object。

Article 32 Where a bidder entrusts another person to bid on his behalf, he shall produce a power of attorney and a copy of the identity certificate of the bidder or the agent。 The power of attorney shall set forth the name of the agent, the matters of agency, the authority of agency and the duration。

Article 33 Before the auction is carried out, the auction enterprise and the client shall reach a written agreement on matters related to the failure of the auction or the liability for compensation for losses caused by the client's suspension or termination of the auction。

Article 34 The auction enterprise shall assign special persons to take proper care of the auction articles submitted by the client, establish a system of keeping, on duty and changing over the auction articles, and take necessary safety precautions。

Article 34 The auction enterprise shall assign special persons to take proper care of the auction articles submitted by the client, establish a system of keeping, on duty and changing over the auction articles, and take necessary safety precautions。

Article 35 When an auction enterprise holds auction activities, it shall make a public announcement according to the attributes of the subject matter of the auction and the nature of the auction, in accordance with the date stipulated in the Auction Law and relevant laws and administrative regulations。The announcement shall be published in the place where the auction object is located and the commercial authority of the place where the auction is held designated a large circulation newspaper or other media with the same influence。

Article 36 An auction enterprise shall display auction objects before the auction meeting, provide bidders with conditions for viewing auction objects and provide bidders with relevant information。 展示时间应不少于两日，鲜活物品或其他不易保存的物品除外。

Article 37 An auction enterprise shall have the right to identify or require the client to explain in writing the sources and defects of auction objects。 拍卖企业应当向竞买人说明其知道或者应当知道的拍卖标的的瑕疵。

Article 38 Where laws, administrative regulations and rules have special provisions on the assignee of an auction object, an auction enterprise shall auction the auction object to a bidder that meets the requirements of the laws, administrative regulations and rules。 If an auction object requires the operation qualification of an administrative license in accordance with laws, administrative regulations and rules and can be transferred according to law, the client shall obtain the consent of the administrative licensing authority before the auction。

Article 39 An auction enterprise may set up an entrusted bidding table at the auction site and make an explanation to all bidders at the beginning of the auction。

第四十条 有下列情形之一的，应当中止拍卖：
（一）没有竞买人参加拍卖的；
(2) The third party has a dispute over the ownership or disposal of the auction object and provides valid proof on the spot;
（三）委托人在拍卖会前以正当理由书面通知拍卖企业中止拍卖的；
（四）发生意外事件致使拍卖活动暂时不能进行的；
（五）出现其他依法应当中止的情形的。
中止拍卖由拍卖企业宣布。中止拍卖的事由消失后，应恢复拍卖。

第四十一条 有下列情形之一的，应当终止拍卖：
(1) Where the people's court, arbitration institution or relevant administrative organ determines that the client has no power to delegate to the object of auction and notifies the auction enterprise in writing;
（二）拍卖标的被认定为赃物的；
（三）发生不可抗力或意外事件致使拍卖活动无法进行的；
（四）拍卖标的在拍卖前毁损、灭失的；
（五）委托人在拍卖会前书面通知拍卖企业终止拍卖的；
（六）出现其他依法应当终止的情形的。
终止拍卖由拍卖企业宣布。拍卖终止后，委托人要求继续进行拍卖的，应当重新办理拍卖手续。

Article 42 Where foreign-invested auction enterprises and domestic auction enterprises jointly hold auctions within the territory of the People's Republic of China, the auction objects shall comply with the relevant provisions of laws, administrative regulations and these Measures。

第五章 监督管理

Article 43 The Ministry of Commerce shall organize the formulation of relevant rules and policies for the auction industry, guide all localities to formulate development plans for the auction industry, and establish supervision and verification, industry statistics and credit management systems for the auction industry according to law.To be responsible for the promotion and management of the utilization of foreign capital in the auction industry;Conduct business guidance for self-regulatory organizations in the auction industry。

Article 44 The provincial Commerce Department is responsible for formulating and implementing the development plan of the auction industry in the region, and reporting the plan to the Ministry of Commerce for the record。 Provincial commercial authorities should establish local auction enterprises and employees of the supervision and verification and industry statistics and credit management system;To be responsible for the examination and approval of the establishment of auction enterprises and branch companies;To manage and direct the auction industry self-regulatory organizations in the region。 The provincial competent department of commerce shall create conditions, establish an Internet network with the computer file system of auction enterprises and other relevant administrative organs, and record the situation of supervision and inspection of auction business activities and the results of processing。每年度应当出具对拍卖企业的监督核查意见。Auction enterprises that fail to pass the verification shall be ordered to rectify within a time limit and notify the relevant departments of the verification。

Article 45 The auction industry association shall exercise supervision over auction enterprises and auctioneers according to law and its articles of association。The auction industry association shall formulate auction industry norms, strengthen self-discipline management of the industry, coordinate the relationship between member enterprises and relevant government departments and member enterprises, provide services for member enterprises, and safeguard the legitimate rights and interests of member enterprises。 Under the guidance of the Ministry of Commerce, the China Auction Industry Association implements the national credit management system for auction enterprises and organizes the examination, assessment and qualification of auctioneers。

第六章 法律责任

Article 46 Any enterprise engaged in commercial auction activities without permission shall be banned in accordance with the relevant provisions of the State。

Article 47 Auctioneers violate the provisions of Article 26 and 27 of these Measures or have other violations such as concealing information from the regulatory authorities or providing false materials，省级商务主管部门可将其违规事实及处理建议通告中国拍卖行业协会，中国拍卖行业协会应依照有关规定对违规拍卖师进行处理，The results will be copied in writing within ten working days to the provincial commercial authorities and industry associations where the auctioneer is practicing。

Article 48 Where an auction enterprise violates the provisions of Article 29 of these Measures and causes losses to the buyer, the auction enterprise shall pay compensation;If the responsibility falls to the client, the auction enterprise shall have the right to seek compensation from the client。

Article 49 If an auction enterprise violates item (1) of Article 30, it shall be ordered by the competent Commerce Department at the provincial level to make corrections and be fined not more than 30,000 yuan。

Article 50 Auction enterprises in violation of the provisions of Article 30 (3) of these measures, by the provincial department of commerce according to the seriousness of the case to give a warning, and impose a fine of more than twice the amount of illegal income, but the maximum is not more than 30,000 yuan;If there are no illegal gains, a fine of not more than 10,000 yuan shall be imposed。造成委托人和买受人损失的，拍卖企业应当依法给予赔偿。

Article 51 Where an auction enterprise violates the provisions of item (2) and (4) of Article 30 of these Measures, it shall be punished by the relevant administrative authorities according to law。

Article 52 Auction enterprises in violation of the provisions of Article 35 and Article 36 of these measures, before the auction of illegal announcement or display, by the provincial department of commerce according to the seriousness of the case to give a warning, order correction, delay the auction or impose a fine of less than 10,000 yuan。

Article 53 Where an auction enterprise or a client violates the provisions of Article 37 of these Measures and fails to explain the defects of the auction objects, thereby causing damage to the buyer, the buyer has the right to demand compensation from the auction enterprise;If the responsibility falls to the client, the auction enterprise shall have the right to seek compensation from the client。 If the auction enterprise or the client declares before the auction that it cannot guarantee the authenticity or quality of the auction object, it shall not be liable for the guarantee of defects (hereinafter referred to as the disclaimer).。However, when the auction enterprise or the client clearly knows or should know that the auction object is defective, the disclaimer shall be invalid。

Article 54 After the auction is completed, if the client fails to assist the buyer in handling the formalities of changing the license or transferring the property rights according to law, resulting in losses to the buyer or the auction enterprise, the client shall pay compensation according to law。 Where the consignor proposes to suspend or terminate the auction, thereby causing losses to the auction enterprise or the bidder, compensation shall be given according to law。

Article 55 Under any of the following circumstances, the provincial competent department of Commerce or the Ministry of Commerce may revoke the licensing decision on the establishment of auction enterprises and branches:
（一）工作人员滥用职权、玩忽职守作出准予设立决定的；
(b) in violation of the Auction Law and the conditions for the establishment of these measures to make a decision to approve the establishment;
（三）超越法定职权作出准予设立决定的。

Article 56 If the staff members of the competent commercial departments and trade associations abuse their power, engage in malpractices for personal gains, neglect their duties, or solicit bribes in their work, the responsible persons in charge and the persons directly responsible shall be given administrative sanctions according to law;If the case constitutes a crime, criminal responsibility shall be investigated according to law。

Article 57 The staff of the competent department of commerce shall keep confidential the confidential contents of auction enterprises, consignors, bidders and buyers that they are informed of in the performance of their official duties in accordance with the confidentiality provisions, and shall deal with the disclosure according to the relevant provisions。拍卖企业认为向管理机关报送的材料有保密内容的，应注明“保密”字样并密封。

第七章 附 则

Article 58 The administration of introducing auction methods into commodity trading markets such as wholesale agricultural products markets and motor vehicle trading markets and using the Internet to operate auction business shall, in principle, be implemented with reference to these Measures, and specific measures shall be formulated separately。

第五十九条 国有独资拍卖企业应按照国家有关规定进行改制。

第六十条 本办法由商务部负责解释。

第六十一条 本办法自 2005 年 1 月 1 日起施行。