TRADEIN SERVICES(ENGLISH)

ANNEXVI

REFERREDTOIN ARTICLE8.21

TRADEIN SERVICES

ANNEXVI REFERRED TO INARTICLE8.21

TRADEINSERVICES

 

ARTICLE1

Scope

ThisAnnexprovidesfordisciplinesandregulatoryprinciplesofhorizontalor sectoral applicationrelatingtotradeinservicesbetween thePartiesandcomplementing the otherrights andobligations ofthe Partiesunderthis Chapter.

 

SECTIONI HORIZONTAL PROVISIONS

ARTICLE2

 

Provisions ofGeneralApplication

 

1.       EachPartyshallpublishinits officialjournal,byappropriateclassificationorby service sector where relevant, a list of all authorities of the central government, includingorganisationswithdelegatedauthorityfrom thecentral government,thatare responsibleforauthorising,approvingor regulatingservices activitieswhetherthrough grantof licenceor otherapproval.Requirementsandprocedures andtheconditionsfor obtainingsuchlicences orapprovalshallalsobe published.

 

2.       EachPartyshallensurethatlicensingrequirementsandproceduresdonotactas barrierstomarketaccessandarenotmoretraderestrictivethannecessary.Insectors wherespecific commitments areundertaken,each Partyshallensurethat:

 

(a)     licensingrequirementsandproceduresarepublishedpriortobecoming effective;

 

(b)     such publication specifiesreasonabletime­framesforthereviewof applications anddecisionbythe competentauthorityorauthorities;

 

(c)        applicants areable to requestlicensingwithoutindividualinvitation;

 

(d)     any fees charged, excluding fees determined through auction or a tenderingprocess,shallbecommensurate with theadministrativecost of processinganapplication;

 

(e)     its competent authorities, after receipt of an application, inform the applicant whether the application is considered complete under that

 

Party’sdomesticlawsandregulationsandin thecaseofincomplete applications,identifywithoutunduedelaytheadditionalinformationthat isrequiredtocompletetheapplicationandprovidetheopportunityto curedeficiencies;

 

(f)       attherequestof theapplicant,itscompetentauthoritiesprovide,without unduedelay,informationconcerningthe statusoftheapplication;

 

(g)     decisions by its competent authorities are taken promptly on all applications;

 

(h)     ifanapplicationisterminatedordenied,theapplicantisinformedin writingandwithoutdelay concerning thereasonsforsuchaction.The applicantshallhavethepossibilityofresubmitting,atitsdiscretion,a newapplicationthataddressesthe reasonsforterminationordenial;and

 

(i)       ifanapplicationisapproved,theapplicantisinformedinwritingand withoutdelay.Thelicenceorapproval shallenabletheapplicanttostart thecommercial operationsuponregistrationofthecommercial presence. Thisregistration shallbecompleted,asarule,withintwomonthsof the submissionofa complete application.

 

3.     In sectorswherespecificcommitmentsareundertaken,relevantregulatory authoritiesofeachParty shallbeseparatefrom,andnotaccountableto,anyservice suppliers theyregulate,exceptforpostal,courierand railwaytransportation services.

 

 

 

SECTIONII

MOVEMENTOFNATURALPERSONS

 

ARTICLE3

 

MovementofNaturalPersons

 

1.       This Article applies to measures affecting natural persons who are service suppliersofaParty,andnatural personsofaParty whoareemployedbyaservice supplierofa Party,inrespectofthe supplyofa service.

 

2.       This Chapter shall not apply to measures affecting natural persons seeking accesstotheemploymentmarketofaParty,norshallitapplytomeasuresregarding nationality,residence oremploymentona permanentbasis.

 

3.       Naturalpersons coveredbya specific commitmentshallbeallowedtosupplythe serviceinaccordance withthe terms ofthatcommitment.

 

4.       ThisChaptershallnotpreventaPartyfromapplyingmeasurestoregulatethe entry ofnatural personsoftheotherPartyinto,ortheirtemporary stayin,itsterritory, includingthosemeasuresnecessary toprotecttheintegrity of,andtoensuretheorderly movementofnaturalpersonsacross,itsborders,providedthatsuchmeasuresarenot

 

appliedinsuchamannerastonullifyorimpairthebenefitsaccruingtothatotherParty undertheterms ofa specific commitment.1

 

 

 

ARTICLE4

 

Scope

 

Articles6to9apply tomeasuresbyaParty affectingthemovementofnatural personsoftheotherPartyintotheterritoryofthatPartycoveredbythecategoriesof naturalpersons supplyingservices definedwithrespecttothatPartyinArticle 5.

 

 

 

ARTICLE5

 

Definitions

 

Forthepurposeofthis Section: (a)withrespecttoChina:

BUSINESSVISITORSANDSERVICES SALESPERSONS

(i)         “business visitor” means a naturalpersonofSwitzerlandwhois: (A)  a service seller being a natural person who is a sales

representativeofaservicesupplierofSwitzerlandandis

seekingtemporary entryintoChinaforthepurposeof negotiatingthesaleof servicesforthatservicesupplier, wheresuchrepresentativewillnotbeengagedinmaking directsalestothegeneralpublicorinsupplyingservices directly;or

 

(B)   an investor of Switzerland, or a duly authorised representativeof aninvestor of Switzerland,seeking temporaryentryintoChinatoestablish,expand,monitor, ordisposeofa commercialpresence ofthatinvestor;

 

CONTRACTUAL SERVICESUPPLIERS

 

(ii)        “contractual service   supplier”    means    a   natural person  of

Switzerlandwho:

 

(A)   isanemployeeof aservicesupplieroranenterpriseof Switzerland,whetheracompany,partnershipor firm,who entersintoChinatemporarilyinordertoperformaservice

 

 

1                     Thesolefactofrequiringavisafornaturalpersonsshallnotberegardedasnullifyingor impairingbenefitsunderaspecific commitment.

 

pursuanttoacontract(s)betweenhisorheremployerand a service consumer(s)inChina;

 

(B)   isemployedby acompany,partnershipor firm of Switzerland,whichhasnocommercialpresenceinChina wheretheserviceis tobe supplied;

 

(C)      receives his orherremunerationfromthatemployer;and

 

(D)     hasappropriateeducationalandprofessionalqualifications relevanttothe service tobe supplied;

 

INTRA­CORPORATETRANSFEREES

 

(iii)   “intra­corporatetransferee”meansamanager,anexecutive,ora specialist,whoisanemployeeof aservicesupplier orinvestor of Switzerlandwitha commercialpresenceinChina;

 

(A)     “manager”meansanaturalpersonwithinanorganisation whoprimarilydirectstheorganisationoradepartmentor subdivisionoftheorganisation, supervisesand controls thework ofothersupervisory,professional ormanagerial employees,hastheauthority tohireandfireortakeother personnel actions (such aspromotion orleave authorisation),andexercisesdiscretionary authority over day­to­dayoperations;

 

(B)     “executive”meansanaturalpersonwithinanorganisation whoprimarilydirects themanagementoftheorganisation, exerciseswidelatitudein decisionmaking,andreceives only generalsupervision ordirectionfromhigherlevel executives,theboardofdirectors orstockholdersofthe business.An executivewouldnotdirectly perform tasks relatedtotheactual provisionoftheservicenorthe operationofaninvestment;

 

(C)     “specialist”meansanaturalpersonwithinanorganisation who possesses knowledge at an advanced level   of technical expertise,andwhopossessesproprietary knowledgeof theorganisation’sservice,research equipment, techniques ormanagement;

 

OTHER

 

(iv)   “installersandmaintainers”meansanatural personwhoisan installer or maintainer of machinery and/or equipment, where suchinstallation and/ormaintenanceserviceby thesupplying companyisacondition ofpurchaseofthesaidmachinery or equipment. An installer or maintainer cannot performservices

 

whicharenotrelated tothe service activitywhichis thesubjectof the contract;

 

(b)       withrespecttoSwitzerland:

 

BUSINESSVISITORSANDSERVICES SALESPERSONS

 

(i)     (A)   “Business visitors” means persons responsible for establishingacommercial presencewhoareemployeesof an   enterprise not having commercial presence in Switzerlandandwhohavebeenbeforehandemployees of thatenterpriselocatedinChinaforaperiodofnotless than oneyearimmediatelyprecedingtheirapplicationfor admission,andwhofulfiltheconditionsofsubparagraph (iii)(A)below,andwhoare enteringSwitzerlandforthe purposeofestablishingacommercial presenceofthat enterprisein Switzerland.Personsresponsiblefor establishingacommercialpresencemaynotsellservices directly to the general public or supply services themselves.

 

(B)   “Services salespersons”means persons employedor mandatedbyanenterpriseandwhostay temporarilyin Switzerlandinordertoconcludethecontractforthesale ofaserviceonbehalfoftheenterprisewhichemploys themorhasmandatedthem.Servicessalespersonsmay notsellservicesdirectly to thegeneral publicorsupply servicesthemselves.

 

CONTRACTUAL SERVICESUPPLIERS

 

(ii)     “Contractualservice suppliers”means persons whoareemployees ofanenterprise(juridical person)locatedinChinanothaving commercial presenceinSwitzerland(andotherthanenterprises supplyingservicesasdefinedbyCPC872),whichhasconcluded aservicescontractwith an enterpriseengagedin substantive businessinSwitzerland,andwho have beenbeforehand employeesof theenterpriselocatedinChinaforatimeperiodof notlessthanoneyearimmediately precedingtheirapplicationfor admission,whohavethreeyearsofrelatedexperience,andwho fulfil the conditions of subparagraph (iii)(B) below and who supplyaservice inSwitzerland asaprofessionalinaservice sector assetout below onbehalfoftheenterprise locatedin China.Percontract,temporary entryforalimitednumberof servicesupplierswillbegrantedforasingleperiodof three months,thenumberof servicesuppliersdependingonthesizeof thetasktobeperformedunderthecontract. Individual service suppliersnotemployedbysuchenterpriselocatedinChinaare

 

consideredaspersonsseekingaccesstotheSwissemployment market.

 

Services sectors:

­          architecturalservices (CPC8671);

­          engineeringservices (CPC8672);

­          integratedengineeringservices (CPC8673);

­          urbanplanningservices (CPC86741);

­          consultancy services relatedtothe installationofcomputer hardware (CPC841);

­          softwareimplementationservices (CPC842);

­          managementconsultingservices (CPC865);

­          technicaltestingandanalysis services(CPC8676);

­          translationandinterpretation servicesfromorintoa

nationallanguage ofChina (part ofCPC87905). INTRA­CORPORATETRANSFEREES

(iii)   “Intra­corporatetransferees”meansessentialpersonstransferred toSwitzerlandwithinaspecificbusinessorcompanyofChina anddefinedunder(A)and(B)belowwhoareemployees of that businessorcompany (hereinafterreferredtoas“enterprise”) supplyingservicesinSwitzerlandthroughabranch,subsidiary or affiliate establishedinSwitzerlandandwhohavebeenbeforehand employeesof theirenterpriselocatedin Chinaforaperiodof not lessthan oneyearimmediately preceding theirapplicationfor admission.

 

(A)     Executivesandseniormanagers:Personswhoprimarily directtheenterpriseor oneof itsdepartmentsandwho receiveonly generalsupervision ordirectionfromhigh­ level executives,theboardof directorsor thestockholders oftheenterprise.Executivesandseniormanagerswould notdirectlyperformtasksrelatedtotheactualsupplyof servicesofthe enterprise.

 

(B)   Specialists:Highly qualifiedpersonswho,withinan enterprise,areessentialforthesupply ofaspecificservice by reason oftheirknowledgeatanadvancedlevel of expertiseinthefieldof services,researchequipment, techniques ormanagementofthe enterprise.

 

OTHER

 

(iv)   “Installersandmaintainers”means qualifiedspecialists whoare employees of   an enterprise located in China not having commercial presenceinSwitzerland,supplyinginstallation or maintenanceservicesformachinery orindustrialequipment.The supplyofthatservicehastooccuronafeeorcontractualbasis

 

(installation/maintenancecontract)betweenthebuilderof the machinery orequipmentandtheownerofthatmachinery or equipment,bothofthembeingenterprises(excludinganysupply ofservicesinconnectionwithenterprisesmentionedby CPC872).

 

 

 

ARTICLE6

 

Expeditious ApplicationProcedures

 

1.       ThecompetentauthoritiesofeachPartyshall,asarulewithin45calendardays afteranapplicationrequestingtemporarystay andworkpermitforanatural person coveredbyits specific commitmentsis consideredcomplete underits domesticlaws and regulations,informthe applicantofthe finaldecisionconcerningtheapplication.

 

2.       ThecompetentauthoritiesofeachPartyshallfinalisewithintencalendardays theprocedurerelatedtovisaapplicationssubmittedby servicesuppliersoftheother Party.

 

3.       WhenthecompetentauthoritiesofaPartyrequireadditionalinformationfrom theapplicantfortemporary stay,workpermitorvisainorder toprocessitsapplication, theyshallnotifythe applicantwithoutundue delay.

 

4.       Uponrequestbytheapplicantfortemporarystayorworkpermit,thecompetent authoritiesofaPartyshallprovide,withoutunduedelay,informationconcerningthe statusofits application.

 

5.       Uponrequestbytheapplicantfortemporarystayorworkpermit,thecompetent authoritiesofeachParty shallnotify theapplicantoftheoutcomeofitsapplication promptlyafteradecisionhasbeentaken.Thenotificationshallinclude,ifapplicable, the periodofstayandanyotherterms andconditions.

 

 

 

ARTICLE7

 

MarketAccess

 

Withrespecttothenaturalpersonscoveredbyitsspecificcommitments,neither

Partyshall:

(a)        requirelabourcertificationtests; (b)  imposequantitative restrictions;or (c)       requireeconomicneeds test.2

 

 

 

2                     The meaningof“economic needstest” andofothertermsusedinthisArticle shall be understood asintheGATS.

 

 

ARTICLE8

 

ProvisionofInformation

 

1.       IntheapplicationofArticle8.9,eachPartyshallmakepubliclyavailable,or shall ensure that its competent authorities make publicly available, information necessaryforaneffectiveapplicationforthegrantofentry,temporarystay andworkin its territory.Suchinformationshallbe keptupdated.

 

2.       Theinformation referredtoin paragraph 1shallincludeadescription of,in particular:

 

(a)     allcategoriesofvisasandworkpermitsrelevanttotheentry,temporary stayandworkofnaturalpersons coveredbythis Section;

 

(b)     requirementsandproceduresforapplicationfor,andissuanceof,first­ time entry,   temporary stay and,   where applicable, work permits, includinginformation on documentation required,conditionstobemet andmethodoffiling;and

 

(c)     requirements and procedures for application for, and issuance of, renewedtemporarystayand,whereapplicable,workpermits.

 

3.       EachPartyshallprovidetheotherPartywithdetailsofrelevantpublicationsor web­sites whereinformationreferred toinparagraph2ismade available.

 

4.     Shouldtheimplementationofparagraph1provenottobepracticableforaParty, thatParty shall providetheinformationreferredtoinparagraph2,aswellasany subsequentchangethereto, totheotherParty.Inaddition, thatPartyshallindicatetothe otherParty thecontactdetailsofanauthorityfromwhichservicesuppliersoftheother Partycan,uponrequest,obtaintheinformationreferredtounderparagraph2.

 

 

 

ARTICLE9

 

ContactPoints

 

ThecontactpointsestablishedinArticle14.2oftheAgreementshallfacilitate theaccessoftheotherParty’s service supplierstotheinformationreferredtoinArticle8.

 

SECTIONIII FINANCIAL SERVICES

 

ARTICLE10

 

ScopeandDefinitions

 

  1. This SectionappliestomeasuresbyPartiesaffectingtrade infinancial services.3

 

  1. Forthepurposeofthis Section:

 

(a)     a“financial service”isany serviceof afinancialnatureofferedbya financialservicesupplierof aParty.Financialservicesincludeall insuranceandinsurance­relatedservices,and all bankingandother financial services(excludinginsurance).Financial servicesincludethe followingactivities:

 

Insurance andinsurance­related services

 

(i)        directinsurance(includingco­insurance): (A)   life;

(B)      non­life;

 

(ii)        reinsurance and retrocession;

 

(iii)      insuranceintermediation,suchasbrokerage andagency;

 

(iv)      servicesauxiliaryto insurance, suchasconsultancy, actuarial, riskassessmentandclaimsettlementservices;

 

Bankingandotherfinancial services(excludinginsurance)

(v)       acceptance ofdeposits andotherrepayablefundsfromthepublic; (vi)     lendingofalltypes,includingconsumercredit,mortgagecredit,

factoringandfinancingofcommercialtransaction; (vii)       financialleasing;

(viii)    allpaymentandmoneytransmissionservices,includingcredit, chargeanddebitcards, travellerscheques andbankers drafts;

 

(ix)      guarantees andcommitments;

 

 

 

3                     “Tradeinfinancialservices”shallbeunderstoodinaccordancewiththedefinitioncontainedin subparagraph(a)of Article 8.2ofthe Agreement.

 

(x)     tradingforownaccountorforaccountofcustomers,whetheron an exchange,inanover­the­countermarketorotherwise,the following:

 

(A)      money market instruments   (including cheques, bills, certificatesofdeposits);

 

(B)       foreignexchange;

 

(C)       derivativeproductsincluding,butnotlimitedto,futures andoptions;

 

(D)      exchange rate and interest rate instruments, including products suchasswaps,forwardrateagreements;

 

(E)       transferablesecurities;

 

(F)       other    negotiable     instruments     and    financial    assets, includingbullion;

 

(xi)   participationinissuesofall kindsofsecurities,including underwritingandplacementasagent(whetherpublicly or privately) andprovisionofservicesrelated tosuch issues;

 

(xii)     moneybroking;

 

(xiii)   asset management, suchas cash or portfolio management, all formsof collectiveinvestmentmanagement,pensionfund management,custodial,depositaryandtrustservices;

 

(xiv) settlementand clearingservicesforfinancial assets,including securities,derivative products andothernegotiableinstruments;

 

(xv)   provisionandtransfer offinancialinformation,andfinancial data processingandrelatedsoftwareby suppliersofotherfinancial services;

 

(xvi)   advisory,intermediation and otherauxiliary financial serviceson all the activities listed in subparagraphs (v) through (xv), includingcreditreferenceandanalysis,investmentandportfolio researchandadvice,adviceonacquisitionsand oncorporate restructuringandstrategy.

 

(b)     A“financialservicesupplier”meansanynatural orjuridical personofa Party wishingtosupply orsupplyingfinancialservicesbuttheterm “financial service supplier”doesnotinclude apublicentity.

 

(c)        “Publicentity”means:

 

(i)       agovernment,acentralbankoramonetaryauthority,ofaParty, oranentity ownedorcontrolledbyaParty,thatisprincipally engagedincarryingoutgovernmentalfunctionsoractivitiesfor governmental purposes,notincludinganentityprincipally engagedin supplyingfinancial services oncommercialterms;or

 

(ii)     aprivateentity,performingfunctionsnormallyperformedby a central bankormonetary authority,when exercisingthose functions.

 

(d)     Forthepurposeof subparagraph(b)of Article8.2of theAgreement, “servicessuppliedintheexerciseof governmentalauthority”means the following:

 

(i)       activitiesconducted bya centralbankormonetaryauthorityorby anyotherpublicentityinpursuitofmonetaryorexchangerate policies;

 

(ii)     activitiesformingpartofastatutory system ofsocialsecurity or publicretirementplans;and

 

(iii)     otheractivitiesconductedbyapublicentityfortheaccountor withtheguaranteeorusingthefinancial resourcesofthe Government.

 

(e)     Forthepurposeofsubparagraph (b)ofArticle8.2oftheAgreement,ifa Partyallowsanyoftheactivitiesreferredtoinsubparagraphs(d)(ii)or (d)(iii)ofthis paragraphtobe conducted byitsfinancialservicesuppliers incompetitionwithapublicentity orafinancialservicesupplier, “services”shallinclude suchactivities.

 

(f)       Subparagraph(c)ofArticle8.2oftheAgreement shallnot applyto servicescoveredbythis Section.

 

 

 

ARTICLE11

 

DomesticRegulation

 

1.       Notwithstanding any other provisions of this Chapter, a Party shall not be preventedfrom adoptingormaintainingreasonablemeasuresforprudential reasons, includingfor:

 

(a)     theprotectionofinvestors,depositors,policy­holders,policy­claimants, personstowhomafiduciarydutyis owedbyafinancialservicesupplier, oranysimilarfinancialmarketparticipants;or

 

(b)        ensuringtheintegrityandstabilityofthatParty’sfinancialsystem.

 

Wheresuchmeasuresdonotconformwiththeprovisions ofthisChapter,theyshallnot beusedasameansof avoidingthatParty’scommitmentsor obligationsunderthis Chapter.Suchmeasuresshallnotconstitute adisguisedrestrictionontradeinservices andshallnotdiscriminateagainstfinancialservices orfinancialservicesuppliersof the otherParty in comparison to theParty’sown likefinancial servicesorlikefinancial servicesuppliers.

 

2.       Nothing in this Chapter shall be construed to require a Party to disclose information relatingtotheaffairs andaccounts ofindividualcustomers orany confidentialorproprietaryinformationinthe possessionofpublicentities.

 

 

 

ARTICLE12

 

RecognitionofPrudentialMeasures

 

1.       APartymayrecogniseprudentialmeasuresofanon­partyindetermininghow theParty’smeasures relating tofinancialservicesshallbeapplied.Such recognition, whichmaybeachievedthroughharmonisationor otherwise,maybebaseduponan agreementorarrangementwith thenon­partyconcernedormay beaccorded autonomously.

 

2.       APartythat isapartyto suchanagreement orarrangement referredto in paragraph1,whetherfuture orexisting,shallaffordadequate opportunityfortheother Party tonegotiateitsaccession tosuchagreementsorarrangements,ortonegotiate comparableoneswithit,undercircumstancesin which therewouldbeequivalent regulation,oversight,implementationofsuch regulation,and,ifappropriate,procedures concerningthesharingofinformation between thepartiesto theagreementor arrangement.WhereaParty accordsrecognitionautonomously,itshallaffordadequate opportunityforthe otherPartytodemonstratethatsuchcircumstancesexist.

 

 

 

ARTICLE13

 

ExchangeofInformation betweentheParties

 

1.       ThePartiesshallexchangedetailedinformation,uponrequest,onregulations andrulesapplicabletofinancial productsandservicesofinterestsfortheirservice suppliers.

 

2.       Uponrequest,thePartiesshallclarifytheextentofexistinglevelofmarket accessandlimitationsregardingtheitemsreferredtoinparagraph1.Onthatbasisand bycommonagreement,theymay prepareappropriateinstrumentswithprovisions correspondingtomarketaccess tocommitmutually.

 

SECTIONIV

TRADITIONAL CHINESEMEDICINESERVICES ARTICLE14

DialoguebetweentheParties

 

1.       BothPartiesshallexchangeinformationandhavediscussionsonissuesrelated toany policies,regulationsandactionsthatareconsideredtohaveanimpacton traditionalChinesemedicine(TCM)servicesinSwitzerland,aimingtofindsolutions forfurthercooperationonthe basis ofmutualbenefits.

 

  1. Both Parties shall strengthen the cooperation on the movement of TCM

practitioners,includingthe followingareas:

 

(a)       therequirementsandconditionsofqualificationforapplyingthework permitofthe TCM practitioners;

 

(b)       thecriteriaforTCMpractitioners’applyingofworkpermitfromshort­

termtoannual;and

 

(c)       theexisting possibilityoffacilitating thesupplyofTCM services in accordance withapplicable regulations.

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