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E-commerce Entry / 电商入华

Cross-Border E-Commerce Retail Import: how foreign brands reach Chinese consumers via bonded and direct models

  • Cross-border e-commerce retail import (跨境电商零售进口) lets foreign brands sell to Chinese consumers without a full general-trade product registration, using two customs models: bonded import (网购保税进口, code 1210) and direct purchase import (直购进口, code 9610).
    跨境电商零售进口让外国品牌无需完成一般贸易的完整产品注册即可向中国消费者销售，采用两种海关模式：网购保税进口（监管代码 1210）与直购进口（监管代码 9610）。
  • Goods must appear on the official “positive list” (跨境电商零售进口商品清单) — currently around 1,476 HS-code items covering apparel, cosmetics, food & beverage, electronics, toys and more; items not on the list cannot be sold via this channel.
    商品须列入官方”正面清单”（跨境电商零售进口商品清单）——目前约 1,476 个税则号列，涵盖服装、化妆品、食品饮料、电子、玩具等；未列入清单的商品不得经此渠道销售。
  • Preferential tax applies within limits: single-transaction limit ¥5,000 and annual limit ¥26,000 per person; import tariff is provisionally 0%, and import VAT + consumption tax are levied at 70% of the statutory amount.
    限额内享受优惠税收：单次交易限值 5,000 元、个人年度限值 26,000 元；关税暂设 0%，进口环节增值税与消费税按法定应纳税额的 70% 征收。
  • The regime rests on “three-order comparison” (三单比对): the platform, payment and logistics operators must each transmit signed electronic data (order, payment, logistics) to Customs for cross-checking.
    该制度以”三单比对”为基础：平台、支付与物流经营者须各自向海关传输经电子签名的订单、支付、物流电子数据以供交叉核验。
  • Consumers are the “importer of record” for personal use only — goods bought this way cannot be resold, and buyer identity must be verified; a return window (30 days to apply, 45 days to return) restores the annual quota.
    消费者仅作为”个人自用”的进口人——所购商品不得二次销售，且须核验购买人身份；退货窗口（30 日内申请、45 日内退回）可恢复年度额度。
  • Bonded import (1210) pre-positions bulk stock in a special customs supervision zone for fast last-mile delivery; direct import (9610) ships parcel-by-parcel from an overseas warehouse after each order.
    网购保税进口（1210）将批量货物预先备货于海关特殊监管区域以实现快速末端配送；直购进口（9610）则在每笔订单后从海外仓逐件寄送。
  • Cross-border retail import is a market-testing on-ramp; scaling up or selling off-list products eventually pushes brands toward general-trade import with full product registration and Chinese labelling.
    跨境电商零售进口是市场试水的入口；规模扩大或销售清单外商品，最终会推动品牌转向需完整产品注册与中文标签的一般贸易进口。

Cross-Border E-Commerce Retail Import: how foreign brands reach Chinese consumers via bonded and direct models | 跨境电商零售进口：外国品牌如何经保税与直购模式触达中国消费者

Overview

For a foreign brand testing the China market, cross-border e-commerce retail import (跨境电商零售进口) is often the fastest, lowest-friction way in. Instead of the full general-trade path — with mandatory product registration, Chinese labelling and higher taxes — a brand can sell to Chinese consumers through a recognized platform, ship via bonded warehouses or overseas fulfilment, and benefit from preferential import tax within personal-use limits.

But the channel has firm boundaries: only goods on an official positive list, only within per-person value limits, only for personal use (no resale), and only under a data-driven “three-order comparison” supervision system. This guide explains the two customs models, the tax and quota rules, the compliance mechanics, and when a brand should graduate to general-trade import — grounded in the joint rules of the Ministry of Finance, MOFCOM, NDRC, Customs, the tax authority and SAMR.

What the channel is — and who’s who

Cross-border e-commerce retail import is a transaction in which a consumer in China buys, via a cross-border e-commerce platform, goods that are then delivered under cross-border retail supervision. The key parties:

  • Cross-border e-commerce enterprise (跨境电商企业): the overseas-registered seller that owns the goods.
  • Platform operator (跨境电商平台): registered in China, providing the marketplace, rules and matching.
  • Domestic service providers: China-registered agents handling declaration, payment, logistics and warehousing, who transmit data to Customs and bear corresponding responsibility.
  • Consumer: the domestic buyer, treated as the importer for personal use.

Two customs models: 1210 vs 9610

  • Bonded import — “网购保税进口” (customs code 1210): the e-commerce enterprise ships goods in bulk into a special customs supervision zone or bonded logistics centre in China ahead of demand. When a consumer orders and pays, the parcel ships directly from the domestic bonded warehouse. This model gives fast last-mile delivery and suits high-velocity SKUs.
  • Direct purchase import — “直购进口” (customs code 9610): goods sit in the enterprise’s overseas warehouse; after each order, the enterprise ships from abroad, the parcel clears Chinese customs, and enters domestic delivery. This model needs no pre-stocked inventory in China and suits long-tail or higher-value items.

A subset of listed goods (certain animal/plant products such as dairy, eggs, honey, nuts, fresh fruit, spices, rice, meat, cocoa) may only enter via 1210 bonded import, reflecting quarantine rules on items barred from direct postal/express entry.

The positive list

Cross-border retail import may only sell goods on the Cross-Border E-Commerce Retail Import Commodity List (跨境电子商务零售进口商品清单) — the “positive list.” Since 2016, the Ministry of Finance, NDRC, Customs and others have jointly revised it several times; the current list runs to roughly 1,476 tariff-code (HS) items, covering apparel and footwear, cosmetics and skincare, food and beverage, sports goods, toys and stationery, and electronics. A 2022 adjustment (Finance and eight ministries) added items such as ski equipment, dishwashers and tomato juice and removed one item.

Off-list goods cannot be sold through this channel — they must go through general-trade import. Some listed items also carry per-person annual quantity caps (e.g., certain sugars capped at 2 kg/person/year; rice at 20 kg/person/year), noted in the list’s remarks column.

Tax and value limits

Under the *Notice on Improving the Tax Policy for Cross-Border E-Commerce Retail Imports* (Finance, Customs, State Taxation Administration):

  • Single-transaction limit: ¥5,000. Annual limit per person: ¥26,000.
  • Within the limits: import tariff provisionally 0%; import VAT and consumption tax at 70% of the statutory payable amount (no duty-free allowance).
  • If a single order exceeds ¥5,000 but is one indivisible item and the annual limit is not exceeded, it may still go through the cross-border channel, but tariff and import VAT/consumption tax are levied in full at the goods rate, and the amount counts toward the annual total.
  • Exceeding the annual limit means the goods must be handled as general-trade imports (or returned).
  • The annual quota resets each calendar year (zeroed on 31 December, restarts 1 January).

Supervision: the “three-order comparison”

Before declaration, the platform (or the enterprise’s domestic agent), the payment enterprise and the logistics enterprise must each transmit signed electronic data — the order, payment and logistics records — to Customs. Customs cross-checks these “three orders” (三单比对) to confirm the transaction is genuine.

Additional controls:

  • Identity verification: the platform must verify the authenticity of the transaction and of the buyer’s identity. Where the buyer’s identity is not verified by an authorized national body, the payer and orderer must be the same person.
  • No resale: goods bought through cross-border retail import are for personal use only and may not be resold domestically.
  • Returns: the return enterprise may apply within 30 days of release and return the goods within 45 days; the tax is then not collected and the consumer’s annual quota is adjusted back (Customs Announcement No. 45 of 2020).

When to graduate to general trade

Cross-border retail import is a superb market-testing on-ramp, but it has a ceiling. A brand should plan the transition to general-trade import when it wants to:

  • sell products not on the positive list;
  • serve B2B buyers or offline retail (not just consumer personal-use);
  • exceed per-person limits at scale; or
  • build a registered, Chinese-labelled product with full domestic distribution rights.

General trade brings full product registration/filing, Chinese labelling and standard import taxes — more overhead, but no channel ceiling. Many foreign brands run both in parallel: cross-border retail for launch and testing, general trade for scale.

What to do next

  1. Check the positive list for your product’s HS code before committing to the channel.
  2. Choose the model: 1210 bonded for fast-moving SKUs; 9610 direct for long-tail/high-value.
  3. Partner with a compliant platform and domestic service providers who can transmit the three-order data.
  4. Design pricing around the tax rule (0% tariff + 70% VAT/consumption tax within limits).
  5. Communicate the personal-use / no-resale and quota rules clearly to customers.
  6. Plan the general-trade path early if you intend to scale or sell off-list items.
  7. Keep records of orders, payments, logistics and returns for Customs verification.

Sources

  • Notice on Improving the Regulation of Cross-Border E-Commerce Retail Imports (MOFCOM, NDRC, Ministry of Finance, GACC, State Taxation Administration, SAMR) — www.mofcom.gov.cn.
  • Notice on Improving the Tax Policy for Cross-Border E-Commerce Retail Imports (Ministry of Finance, GACC, State Taxation Administration) — www.mof.gov.cn.
  • Announcement on Adjusting the Cross-Border E-Commerce Retail Import Commodity List (Ministry of Finance and eight departments, 2022) — Ministry of Finance / MOFCOM: www.mofcom.gov.cn.
  • GACC Announcement No. 194 of 2018 on the supervision of cross-border e-commerce retail import/export goods; GACC Announcement No. 45 of 2020 on returns — General Administration of Customs: www.customs.gov.cn.

Related reading

  • E-commerce market entry for foreign brands
  • Import-export licensing & customs clearance
  • Cross-border data transfer rules (PIPL)

跨境电商零售进口：外国品牌如何经保税与直购模式触达中国消费者

概述

对试水中国市场的外国品牌而言，跨境电商零售进口往往是进入门槛最低、最快捷的通路。无需走一般贸易的完整路径——强制产品注册、中文标签与更高税负——品牌即可通过合规平台向中国消费者销售，经保税仓或海外履约发货，并在个人自用限额内享受优惠进口税。

但该通路边界清晰：仅限官方正面清单内商品、仅限个人限额内、仅限个人自用（不得转售）、且须接受数据驱动的“三单比对”监管体系。本指南依据财政部、商务部、发改委、海关总署、税务总局与市场监管总局的联合规则，说明两种海关模式、税收与额度规则、合规机理，以及品牌何时应升级至一般贸易进口。

通路是什么——各方角色

跨境电商零售进口，是指中国境内消费者通过跨境电商平台购买、并按跨境零售监管方式运递进境的交易。主要各方：

  • 跨境电商企业： 自境外向境内销售、拥有货权的境外注册卖方。
  • 平台经营者： 在境内登记，提供交易场所、规则与撮合。
  • 境内服务商： 在境内登记、办理申报/支付/物流/仓储并向海关传输数据、承担相应责任的代理方。
  • 消费者： 作为个人自用进口人的境内购买人。

两种海关模式：1210 与 9610

  • 网购保税进口（监管代码 1210）： 电商企业以海外集采、批量报关方式提前将商品运入境内海关特殊监管区域或保税物流中心。消费者下单付款后，包裹直接从境内保税仓发出。该模式末端配送快，适合高周转 SKU。
  • 直购进口（监管代码 9610）： 商品存放于企业的海外仓；每笔订单后从境外发货，包裹清关后进入国内派送。该模式在华无需备货，适合长尾或高价商品。

清单商品中有一部分（乳制品、蛋、蜂蜜、坚果、鲜果、香料、大米、肉类、可可等特定动植物产品）只能经 1210 网购保税进口进境，反映了对禁止邮寄/快件直购进境物品的检疫要求。

正面清单

跨境电商零售进口仅能销售《跨境电子商务零售进口商品清单》（”正面清单”）内商品。自 2016 年起，财政部、发改委、海关总署等多次联合修订；现行清单约 1,476 个税则号列（HS），涵盖服装鞋帽、美妆护肤、食品饮料、运动用品、玩具文具与电子产品。2022 年一次调整（财政部与八部委）新增滑雪用具、家用洗碟机、番茄汁等，并删除 1 项。

清单外商品不得经此渠道销售，须走一般贸易进口。部分清单内商品还设有个人年度数量上限（如部分糖类每人每年合计不超过 2 公斤、大米每人每年不超过 20 公斤），标注于清单备注栏。

税收与限额

依据《财政部 海关总署 国家税务总局关于完善跨境电子商务零售进口税收政策的通知》：

  • 单次交易限值 5,000 元。个人年度限值 26,000 元。
  • 限额内：关税暂设 0%；进口环节增值税与消费税按法定应纳税额的 70% 征收（无免税额度）。
  • 单次订单超过 5,000 元但为一件不可分割商品且未超年度限值的，仍可经跨境渠道进口，但按货物税率全额征收关税与进口环节增值税/消费税，交易额计入年度总额。
  • 超过年度限值的，须按一般贸易办理（或退运）。
  • 年度额度按自然年计算（12 月 31 日清零，1 月 1 日重启）。

监管：三单比对

申报前，平台（或企业境内代理人）、支付企业与物流企业须各自向海关传输经电子签名的订单、支付、物流数据。海关对“三单”（三单比对）交叉核验，以确认交易真实。

其他控制：

  • 身份核验： 平台须核验交易真实性与购买人身份真实性。身份未经国家授权机构认证的，支付人与订购人应为同一人。
  • 不得转售： 跨境零售进口商品仅供个人自用，不得在境内二次销售。
  • 退货： 退货企业可在放行之日起 30 日内申请、45 日内运回；相应税款不予征收，并回调消费者年度额度（海关总署 2020 年第 45 号公告）。

何时升级至一般贸易

跨境零售进口是极佳的市场试水入口，但存在天花板。品牌在以下情形应规划转向一般贸易进口：

  • 销售正面清单外产品；
  • 服务 B2B 买家或线下零售（而非仅消费者个人自用）；
  • 规模化突破个人限额；或
  • 打造已注册、带中文标签、拥有完整境内分销权的产品。

一般贸易需完整的产品注册/备案、中文标签与标准进口税——成本更高，但无渠道天花板。许多外国品牌双轨并行：跨境零售用于上市与试水，一般贸易用于放量。

下一步建议

  1. 先查正面清单中你产品的 HS 编码，再决定是否采用该渠道。
  2. 选择模式： 快消 SKU 用 1210 保税；长尾/高价用 9610 直购。
  3. 对接合规平台与境内服务商，确保可传输三单数据。
  4. 围绕税规设计定价（限额内 0% 关税 + 70% 增值税/消费税）。
  5. 向客户清晰说明个人自用/不得转售与额度规则。
  6. 及早规划一般贸易路径，以备放量或销售清单外商品。
  7. 留存订单、支付、物流与退货记录，供海关核验。

来源

  • 《关于完善跨境电子商务零售进口监管有关工作的通知》（商务部、发改委、财政部、海关总署、税务总局、市场监管总局）——www.mofcom.gov.cn。
  • 《财政部 海关总署 国家税务总局关于完善跨境电子商务零售进口税收政策的通知》——www.mof.gov.cn。
  • 《关于调整跨境电子商务零售进口商品清单的公告》（财政部等八部门，2022）——财政部/商务部：www.mofcom.gov.cn。
  • 海关总署 2018 年第 194 号公告（跨境电子商务零售进出口商品监管）；海关总署 2020 年第 45 号公告（退货）——海关总署：www.customs.gov.cn。

相关阅读

  • 外国品牌的电商入华
  • 进出口许可与海关清关
  • 跨境数据传输规则（个保法）
E-commerce Entry / 电商入华

E-commerce market entry for foreign brands

  • The first strategic decision is the trade model (domestic stock vs. CBEC bonded vs. CBEC direct mail), not the platform, because the model determines the licence, label, and tax path.
    首要战略决策是贸易模式（国内现货 vs. 保税跨境 vs. 直邮跨境），而非平台，因为模式决定许可证、标签与税务路径。
  • China had approved 165 cross-border e-commerce pilot zones across 31 provincial-level regions by end-2022, with more (including Hainan island-wide and 15 cities) added in 2025.
    截至2022年底中国已批复165个跨境电商综试区，覆盖31个省级行政区，2025年又新增海南全岛及15个城市地区。
  • CBEC retail imports are limited to a positive list and, within per-transaction and annual caps, enjoy duty-free treatment with reduced VAT and consumption tax.
    跨境电商零售进口受正面清单限制，在单笔与年度限额内免征关税并适用优惠的增值税与消费税税率。
  • A foreign-invested website reachable from China needs an ICP filing, and paid/commercial services require an ICP licence subject to the negative list and MIIT approval.
    在华可访问的外资网站须完成ICP备案，提供有偿/商业服务须取得ICP许可证，并受负面清单与工信部审批约束。
  • The practical bottleneck is product-level compliance (cosmetics notification, food business licence) rather than opening the store itself.
    实务瓶颈在于产品级合规（化妆品备案、食品经营许可），而非开店本身。
  • Consumer-data handling must satisfy PIPL and CAC cross-border data rules, and the brand should register Chinese trademarks early for platform brand protection.
    消费者数据处理须满足《个人信息保护法》与网信办跨境数据规则，且品牌应尽早注册中国商标以启用平台品牌保护。

E-commerce market entry for foreign brands | 外国品牌的电商入华

Overview

China is the world’s largest e-commerce market, and foreign brands can reach Chinese consumers through several distinct routes: selling via domestic platforms such as Tmall and JD flagship stores, using cross-border e-commerce (CBEC) models that treat imports differently from general trade, or operating their own online storefront. Each route carries a different mix of licensing, customs, tax, and compliance obligations. For a foreign brand, the first strategic decision is not “which platform?” but “which trade model?” — because the model determines the licence you need, the label you must print, and the tax you will pay.

This article maps the principal entry routes, the licences and filings they require, and the customs and tax treatment of online sales. It is written for foreign brand owners, distributors, and their advisers. Figures and policies change frequently; where a number is time-sensitive we phrase it as “as of” rather than assert a fixed value.

Route A — Domestic-platform flagship stores (Tmall

The most common route for an established foreign brand is to open a flagship store on a domestic platform (Tmall Global is a distinct cross-border channel; Tmall/Tmall Mall is the domestic channel). To sell goods already imported into China and held in mainland warehouses, the selling entity must be a properly licensed Chinese company — typically a Wholly Foreign-Owned Enterprise (WFOE) or a local distributor acting as the merchant of record.

A domestic e-commerce merchant generally needs a business licence with the appropriate scope and, for food, cosmetics, or medical-related products, the relevant product and operational licences (see the food & beverage and healthcare articles in this series). Platforms also require the merchant to hold a valid ICP filing or ICP licence for its own website if it operates a branded site, and to comply with platform-specific brand authorisation and product-compliance checks. The practical bottleneck is usually product registration or filing (e.g., cosmetics notification, food business licence) rather than the store itself.

Route B — Cross-border e-commerce (CBEC)

Cross-border e-commerce lets overseas sellers ship directly to Chinese consumers (B2C) or to bonded warehouses, with goods cleared under CBEC rules rather than general-trade import rules. China has built a national network of CBEC comprehensive pilot zones — as of the end of 2022 the State Council had approved 165 such zones across 31 provincial-level regions, and further zones (including Hainan island-wide and 15 additional cities) were added in 2025. Goods that enter through these zones under the retail-import CBEC model benefit from a simplified customs regime and, within set per-transaction and annual caps, a reduced and deferred tax treatment.

There are two main CBEC sub-models: (1) bonded (BSB / “保税”) — goods are imported in bulk into a bonded warehouse inside a pilot zone and dispatched to consumers order-by-order after sale; and (2) direct mail (BC / “直邮”) — goods are posted from overseas after each order. Both require the overseas seller (or its appointed mainland responsible entity) to register in the customs cross-border e-commerce system and to submit electronic order, payment, and logistics data. CBEC retail imports are limited to a positive list of eligible products; goods outside the list must enter as general trade.

Licensing & filing: ICP, business licence, and platform rules

Foreign-invested enterprises operating a website reachable from within China must complete an ICP filing (备案) with the provincial communications administration; if the site provides paid/commercial services such as an online marketplace or value-added telecoms services, an ICP licence (经营许可证) is required instead. An ICP licence for value-added telecoms (e.g., online data and transaction processing) is generally open to foreign investment but is subject to the telecoms foreign-investment restrictions in the negative list and to MIIT approval, and in many cases is best held by a compliant mainland entity. Separately, the brand should secure its Chinese trademarks early, because platform brand protection and anti-counterfeit programmes depend on them.

Customs, tax, and consumer-protection compliance

Under CBEC, customs duties are generally exempt within the policy caps, and the imported-goods value-added tax and consumption tax are levied at a reduced rate with a per-transaction limit; amounts above the caps are taxed as general trade. The merchant must transmit true, traceable transaction data; false declarations trigger suspension. Consumer protection is stringent: CBEC imports are deemed to have met origin standards only for customs purposes, the platform and the responsible entity share recall and after-sales obligations, and personal-information handling must satisfy the PIPL (Personal Information Protection Law) and the data-export rules administered by the CAC (Cyberspace Administration of China). Cosmetic, food, and device products still need their China-specific registration/filing before they can be lawfully sold.

What to do next

  • Decide the trade model first (domestic stock vs. CBEC bonded vs. CBEC direct mail) before choosing a platform, because each changes the licence and tax path.
  • Incorporate or appoint a compliant mainland entity to hold the ICP filing/licence and to act as the CBEC responsible party or merchant of record.
  • Register in the customs cross-border e-commerce system and prepare order/payment/logistics data feeds to a single, consistent standard.
  • Complete product-level compliance early: cosmetics notification, food business licence, health-food registration, or device registration as applicable.
  • File Chinese trademarks for the brand and key sub-brands before launch to enable platform brand protection.
  • Brief your data and logistics teams on PIPL and CAC cross-border data rules before any consumer data is collected or transferred.

Sources

  • Ministry of Commerce (MOFCOM) — press conference on expanding cross-border e-commerce exports and overseas warehouses: https://english.mofcom.gov.cn/News/PressConference/art/2024/art_f2bd0621f8354841893548c14aa61d54.html
  • State Council (English) — China’s cross-border e-commerce pilot zones cover 31 provincial-level regions: https://english.www.gov.cn/statecouncil/ministries/202302/24/content_WS63f808cfc6d0a757729e7275.html
  • Ministry of Commerce (MOFCOM) — policy release portal: https://wms.mofcom.gov.cn/zcfb/index.html
  • State Administration for Market Regulation (SAMR) — market regulation and business licensing (official portal): https://www.samr.gov.cn/
  • General Administration of Customs (GACC) — customs clearance and CBEC imports (official portal): https://www.customs.gov.cn/customs/index/index.html

Related reading

  • see also: Food & beverage market entry & licensing (48-fnb-market-entry-licensing)
  • see also: Healthcare & pharma market access (45-healthcare-pharma-market-access)
  • see also: Import-export licensing & customs clearance (50-import-export-customs-clearance)

外国品牌的电商入华

概述

中国是全球最大的电商市场，外国品牌触达中国消费者主要有几条路径：通过天猫、京东等国内平台开设旗舰店；采用跨境电商（CBEC）模式，其进口监管与一般贸易不同；或自行运营独立网店。每条路径对应的许可、海关、税务与合规义务组合各不相同。对外国品牌而言，首要战略决策不是”选哪个平台”，而是”选哪种贸易模式”——因为模式决定了你需要什么许可证、必须印制什么标签，以及你将缴纳何种税。

本文梳理主要入华路径、各自所需的许可与备案，以及在线销售的海关与税务处理，面向外国品牌方、经销商及其顾问。政策与数据变动频繁，对时效敏感的数字，本文以”截至某时”的方式表述，而非给出固定数值。

路径 A — 国内平台旗舰店（天猫

成熟外国品牌最常见的路径，是在国内平台开设旗舰店（天猫国际属跨境渠道，天猫/天猫商城属国内渠道，二者不同）。若要销售已进口到中国、存放于内地仓库的现货，销售主体必须是持牌的中国公司——通常是外商独资企业（WFOE）或作为商户的本地经销商。

国内电商商户一般需有含相应经营范围的营业执照；若经营食品、化妆品或医疗相关产品，还需相应的产品与经营许可（详见本系列的食品餐饮、医疗医药文章）。平台还要求商户若自营品牌网站须持有有效的 ICP 备案或 ICP 许可证，并满足平台特定的品牌授权与产品合规审查。实务瓶颈通常在于产品注册或备案（如化妆品备案、食品经营许可），而非店铺本身。

路径 B — 跨境电商（CBEC）

跨境电商让境外卖家直接向中国消费者发货（B2C）或发往保税仓，货物按跨境电商规则而非一般贸易进口规则清关。中国已建成全国性的跨境电商综合试验区网络——截至 2022 年底，国务院已批复 165 个综试区，覆盖 31 个省级行政区，2025 年又新增海南全岛及 15 个城市地区。通过综试区以零售进口跨境电商模式进境的货物，适用简化海关监管，并在单笔与年度限额内享受减免且递延的税收待遇。

跨境电商主要有两种子模式：（1）保税模式（BSB）——货物整批进口至综试区内保税仓，售出后逐单发给消费者；（2）直邮模式（BC）——每笔订单产生后从境外寄出。二者都要求境外卖家（或其指定的内地责任主体）在海关跨境电商系统注册，并报送电子订单、支付与物流数据。跨境电商零售进口受正面清单限制，清单外商品须按一般贸易进口。

许可与备案：ICP、营业执照与平台规则

外资企业在华运营可境内访问的网站，须向省级通信管理局完成 ICP 备案；若网站提供有偿/商业服务（如网络交易类增值电信业务），则须取得 ICP 经营许可证。涉及增值电信业务（如在线数据处理与交易处理）的 ICP 许可证原则上对外资开放，但受负面清单中电信外资限制约束，并需工信部审批，实践中常由合规的内地主体持有。此外，品牌应尽早注册中国商标，因为平台的品牌保护与打假机制均依赖于此。

海关、税务与消费者保护合规

跨境电商进口在政策限额内通常免征关税，进口环节增值税与消费税按优惠税率征收并设单笔上限，超出限额部分按一般贸易征税。商户须传输真实、可溯源的交易数据，虚假申报将导致暂停。消费者保护十分严格：跨境电商进口仅在海关意义上视为已符合原产标准，平台与责任主体共担召回与售后义务，个人信息处理须满足《个人信息保护法》（PIPL）及网信办（CAC）的数据出境规则。化妆品、食品、器械类产品仍须先完成其中国特有的注册/备案方可合法销售。

下一步建议

  • 在选平台之前先定贸易模式（国内现货 vs. 保税跨境 vs. 直邮跨境），因为每种模式改变许可与税务路径。
  • 设立或指定合规的内地主体，持有 ICP 备案/许可证，并担任跨境电商责任主体或商户。
  • 在海关跨境电商系统注册，并将订单/支付/物流数据按统一标准准备数据接口。
  • 尽早完成产品级合规：化妆品备案、食品经营许可、保健食品注册或器械注册（视情况而定）。
  • 上市前注册品牌及关键子品牌的中国商标，以启用平台品牌保护。
  • 在收集或传输任何消费者数据前，让数据与物流团队了解 PIPL 与 CAC 跨境数据规则。

来源

  • 商务部（MOFCOM）——关于扩大跨境电商出口、发展海外仓的例行发布会：https://english.mofcom.gov.cn/News/PressConference/art/2024/art_f2bd0621f8354841893548c14aa61d54.html
  • 国务院（英文）——中国跨境电商综试区覆盖 31 个省级行政区：https://english.www.gov.cn/statecouncil/ministries/202302/24/content_WS63f808cfc6d0a757729e7275.html
  • 商务部（MOFCOM）——政策发布门户：https://wms.mofcom.gov.cn/zcfb/index.html
  • 国家市场监督管理总局（SAMR）——市场监管与经营许可（官方门户）：https://www.samr.gov.cn/
  • 海关总署（GACC）——清关与跨境电商进口（官方门户）：https://www.customs.gov.cn/customs/index/index.html

相关阅读

  • 参见：餐饮食品入华与许可（48-fnb-market-entry-licensing）
  • 参见：医疗医药准入（45-healthcare-pharma-market-access）
  • 参见：进出口许可与海关清关（50-import-export-customs-clearance）
E-commerce Entry / 电商入华

Cross-Border E-Commerce Retail Import: Market-Entry Roadmap for Foreign Brands

  • Cross-border e-commerce retail import into China is governed primarily by two customs supervision modes: bonded stock (code 1210) and direct purchase import (code 9610).
    中国跨境电商零售进口主要适用两种海关监管方式：保税备货（代码 1210）与直购进口（9610）。
  • The GACC Notice No. 486 (2018) remains effective in 2026 and sets a single-transaction limit of RMB 5,000 and an annual limit of RMB 26,000.
    海关总署《关于跨境电子商务零售进口监管有关工作的通知》（署贸发〔2018〕486号）在 2026 年仍然有效，确立单次交易限值人民币 5000 元、年度限值人民币 26000 元。
  • Within the limits, import tariff is temporarily set at 0%, while VAT and consumption tax on import are levied at 70% of the statutory taxable amount.
    限值内进口关税税率暂设为 0%，进口环节增值税、消费税按法定应纳税额的 70% 征收。
  • The Positive List is adjusted annually by the Ministry of Finance, GACC and the STA, covering categories such as maternity, beauty, health supplements and household goods.
    财政部、海关总署、国家税务总局按年度动态调整正面清单，涵盖母婴、美妆、保健品、家居等品类。
  • Foreign brands entering via cross-border retail import must obtain value-added telecom / ICP licensing, with the platform bearing primary responsibility and imported food requiring GACC registration.
    外资品牌通过跨境电商零售进口入华需办理增值电信/ICP 业务，平台承担主体责任，进口食品须完成 GACC 注册。
  • The State Council’s 15th Five-Year Consumption Expansion Plan (issued 2026-07-13) calls for optimizing cross-border retail import policy to expand imports of quality foreign goods.
    国务院《扩大消费”十五五”规划》（2026-07-13 发布）提出优化完善跨境电商零售进口政策、扩大境外优质商品进口。
  • Bonded cross-border import is within the regulatory scope of the draft amendment to the E-Commerce Law, which introduces extraterritorial application and countermeasure clauses.
    跨境进口保税业务纳入《电子商务法》修正草案监管视野，该草案引入域外适用与反制条款。

Cross-Border E-Commerce Retail Import: Market-Entry Roadmap for Foreign Brands | 跨境电商零售进口：外资品牌入华合规路线图

Overview

Cross-border e-commerce retail import has become one of the most practical channels for foreign brands to reach Chinese consumers without first establishing a fully licensed domestic distribution entity. Rather than shipping goods through conventional general-trade import procedures, a foreign seller can fulfil orders placed by individual Chinese consumers through dedicated customs supervision modes, enjoying a lighter tax regime and a simplified clearance path.

The policy framework rests on a few foundational instruments. The Ministry of Commerce (MOFCOM) is the lead authority for cross-border e-commerce development and for facilitating foreign investment in the e-commerce sector. The General Administration of Customs (GACC) supervises the physical movement of goods and administers the Positive List and transaction limits. The State Taxation Administration (STA) sets and collects the preferential import taxes applicable to this channel. Together, these agencies maintain a stable, codified regime that foreign brands can plan around.

China’s e-commerce sector continued to record relatively fast growth in the first half of 2026, and the State Council’s Consumption Expansion Plan for the 15th Five-Year Plan period, issued on 13 July 2026, explicitly states the intention to “optimize and improve the cross-border e-commerce retail import policy and expand imports of quality foreign goods.” This policy signal reinforces the channel’s role as a long-term, supported route to market.

Regulatory modes

Two customs supervision modes sit at the centre of cross-border e-commerce retail import.

The first is bonded stock, recorded under customs supervision code 1210. In this model, a foreign brand or its Chinese partner pre-positions inventory inside a designated bonded zone in China. When a Chinese consumer places an order, the goods are cleared individually from the bonded warehouse and delivered domestically. This mode suits high-velocity, predictable SKUs because it minimizes delivery time and avoids paying duties on unsold stock.

The second is direct purchase import, recorded under customs supervision code 9610. Here, goods are shipped from overseas to the individual consumer after the order is placed, cleared at the point of entry. This mode suits long-tail, lower-volume or seasonal products where pre-positioning inventory is uneconomic.

Both modes route through a registered cross-border e-commerce platform that transmits order, payment and logistics (“three-stream”) data to customs in real time. The platform acts as the interface between the foreign supplier and the Chinese regulatory system.

Positive list and limits

The regime is built on a Positive List (正面清单) of permitted cross-border retail import commodities. Only goods appearing on the Positive List may enter through these channels. The list is jointly adjusted on an annual basis by the Ministry of Finance, the GACC and the STA, and it currently covers categories such as maternity and baby products, cosmetics and beauty, health supplements, and household goods, among others.

Transaction limits are fixed by the GACC Notice No. 486 (2018), which remains effective in 2026:

  • Single-transaction limit: RMB 5,000.
  • Annual limit per individual consumer: RMB 26,000.

Orders that exceed the single-transaction limit but remain within the annual limit are still treated as retail imports only if they fall within prescribed thresholds; otherwise they revert to general-trade treatment. Brands and platforms must therefore monitor cumulative annual spend per consumer identity to remain compliant.

Tax treatment

Within the transaction limits, the tax treatment is materially more favourable than general trade:

  • Import tariff: temporarily set at 0%.
  • Import-stage VAT and consumption tax: levied at 70% of the statutory taxable amount.

This means a qualifying cross-border retail import order is subject only to a reduced composite tax on VAT and consumption tax, with no ad valorem tariff. The tax is collected at the point of customs clearance and typically passed through to the consumer as part of the displayed price. The STA administers the collection and any subsequent reconciliation.

It is important to note that goods exceeding the limits, or goods not on the Positive List, do not enjoy this treatment and must follow ordinary import procedures, including full tariff and tax liability.

Platform and brand obligations

Foreign brands cannot simply ship directly to consumers; they must operate through a compliant cross-border e-commerce platform and meet several obligations.

Value-added telecom / ICP licensing. Providing e-commerce services to the public in China requires the appropriate value-added telecommunications business licence (commonly the ICP licence / 增值电信业务经营许可证). A foreign-invested entity must also navigate the foreign-investment restrictions and approvals applicable to telecom and value-added telecom services.

Platform primary responsibility. Under the regulatory framework, the platform bears primary responsibility for the authenticity of the transaction, the accuracy of transmitted data, and the legality of goods sold. The platform is the accountable party before customs and tax authorities.

GACC registration for imported food. Where the imported commodity is food, the overseas manufacturer must complete registration with the GACC (GACC registration / 进口食品境外生产企业注册) before the product may be imported. This applies regardless of whether the goods enter via 1210 or 9610.

E-Commerce Law draft amendment. Bonded cross-border import is within the regulatory scope of the draft amendment to the E-Commerce Law, which introduces extraterritorial application and countermeasure clauses. Foreign brands should track this legislative development, as it may extend compliance expectations beyond China’s borders.

Practical market-entry steps

A structured entry path for a foreign brand typically follows these steps:

  1. Confirm Positive List eligibility. Verify that the target SKUs appear on the current Positive List. If a product is absent, plan for general-trade import or await the next annual adjustment.
  2. Choose a supervision mode. Select 1210 bonded stock for fast-moving, predictable products and 9610 direct purchase for long-tail or seasonal items.
  3. Secure platform and licensing. Engage a compliant cross-border platform and, where the brand operates its own China-facing service, obtain the required value-added telecom / ICP licence, observing foreign-investment rules.
  4. Complete GACC registration for food. If importing food, register the overseas manufacturer with the GACC well ahead of launch.
  5. Integrate data transmission. Ensure order, payment and logistics data flow to customs through the platform in real time to enable smooth clearance.
  6. Price within the limits. Set pricing and bundling so typical orders stay within the RMB 5,000 single and RMB 26,000 annual limits to preserve the preferential tax regime.
  7. Monitor policy updates. Track the annual Positive List adjustment and the progressing E-Commerce Law amendment to stay ahead of compliance changes.

Related reading

  • MOFCOM resources on cross-border e-commerce and foreign-invested e-commerce operations.
  • GACC guidance on cross-border e-commerce retail import supervision and the Positive List.
  • STA guidance on import-stage VAT and consumption tax treatment for cross-border retail imports.

跨境电商零售进口：外资品牌入华合规路线图

概述

跨境电商零售进口已成为外资品牌触达中国消费者最务实的渠道之一——品牌无需先在中国设立完整的持牌分销实体，即可开展对华销售。与传统的一般贸易进口流程不同，外资卖家可依托专门的海关监管方式，履行中国个人消费者所下订单，享受更轻的税收制度与更简化的通关路径。

这一政策框架建立在若干基础性文件之上。商务部（MOFCOM）是跨境电商发展及电商领域外资引进的主管部门。海关总署（GACC）监管货物实际流动，并负责正面清单与交易限值的执行。国家税务总局（STA）制定并征收适用于该渠道的优惠进口税收。三部门共同维护着一套稳定、成文的制度，供外资品牌据此规划。

2026 年上半年，中国电子商务继续保持较快增长；国务院于 2026 年 7 月 13 日发布的《扩大消费”十五五”规划》明确提出”优化完善跨境电商零售进口政策，扩大境外优质商品进口”。这一政策信号进一步巩固了该渠道作为长期、受支持的市场准入路径地位。

监管方式

两种海关监管方式居于跨境电商零售进口的核心。

第一种为保税备货，对应海关监管方式代码 1210。在此模式下，外资品牌或其中国合作方将库存预先布置在中国指定的保税区内。当中国消费者下单时，货物从保税仓逐单清关后国内配送。该模式适合高周转、需求可预测的 SKU，因为它能缩短配送时效，且无需对未售库存先行缴税。

第二种为直购进口，对应海关监管方式代码 9610。此处，货物在消费者下单后从海外发运，于入境口岸清关。该模式适合长尾、低销量或季节性商品，对这类商品预先布货并不经济。

两种模式均通过已备案的跨境电商平台运行，由平台向海关实时传输订单、支付、物流”三单”数据。平台是外资供货商与中国监管体系之间的接口。

正面清单与限值

该制度建立在允许开展跨境电商零售进口的正面清单（Positive List）之上。只有列入正面清单的商品方可经这些渠道入境。清单由财政部、海关总署、国家税务总局按年度联合动态调整，目前涵盖母婴、美妆、保健品、家居等品类。

交易限值由海关总署《关于跨境电子商务零售进口监管有关工作的通知》（署贸发〔2018〕486号）固定，该文件在 2026 年仍然有效：

  • 单次交易限值：人民币 5000 元。
  • 年度限值（每人）：人民币 26000 元。

超过单次交易限值但仍处于年度限值内的订单，仅在符合规定门槛时才按零售进口对待；否则将退回一般贸易处理。因此，品牌与平台必须监控每位消费者身份的年度累计消费，以保持合规。

税收待遇

在交易限值内，税收待遇明显优于一般贸易：

  • 进口关税：暂设为 0%。
  • 进口环节增值税、消费税：按法定应纳税额的 70% 征收。

这意味着一笔符合条件的跨境电商零售进口订单，仅就增值税与消费税承担缩减后的综合税，且不计从价关税。税款在海关清关环节征收，通常作为展示价格的一部分转嫁给消费者。国家税务总局负责征收及后续核算。

需注意，超出限值的商品，或未列入正面清单的商品，不享受上述待遇，须遵循一般进口流程，承担全额关税与纳税义务。

平台与品牌义务

外资品牌不能简单直接向消费者发货，而须通过合规的跨境电商平台运营，并满足多项义务。

增值电信/ICP 许可。 在中国面向公众提供电商服务，需取得相应的增值电信业务经营许可证（通常即 ICP 证 / 增值电信业务经营许可证）。外资持股实体还须应对适用于电信及增值电信业务的外资准入限制与审批。

平台主体责任。 在监管框架下，平台对交易的真实性、传输数据的准确性以及所售商品的合法性承担主体责任。平台是面向海关与税务机关的责任主体。

进口食品 GACC 注册。 当进口商品为食品时，境外生产企业须先完成海关总署注册（GACC 注册 / 进口食品境外生产企业注册），产品方可进口。无论经 1210 还是 9610 入境，此要求均适用。

《电子商务法》修正草案。 跨境进口保税业务已纳入《电子商务法》修正草案的监管视野，该草案引入了域外适用与反制条款。外资品牌应跟踪这一立法进展，因其可能将合规要求延伸至中国境外。

实操入华步骤

外资品牌结构化的入华路径通常遵循以下步骤：

  1. 确认正面清单资格。 核实目标 SKU 是否列入当前正面清单。若产品缺席，则规划一般贸易进口或等待下一次年度调整。
  2. 选择监管方式。 对高周转、可预测产品选 1210 保税备货；对长尾或季节性商品选 9610 直购进口。
  3. 落实平台与许可。 接入合规跨境电商平台；若品牌自行运营对华服务，须取得所需增值电信/ICP 许可，并遵守外资准入规则。
  4. 完成食品 GACC 注册。 若进口食品，须于上市前尽早完成境外生产企业 GACC 注册。
  5. 打通数据传输。 确保订单、支付、物流数据经平台实时流向海关，以实现顺畅清关。
  6. 在限值内定价。 设定价格与组合，使典型订单处于人民币 5000 元单次、26000 元年度限值内，以保留优惠税制。
  7. 跟踪政策更新。 关注正面清单年度调整及《电子商务法》修正草案进展，提前应对合规变化。

延伸阅读

  • 商务部关于跨境电商及外资电商运营的公开资源。
  • 海关总署关于跨境电商零售进口监管与正面清单的指引。
  • 国家税务总局关于跨境电商零售进口进口环节增值税、消费税待遇的指引。

Sources

  • https://www.mofcom.gov.cn/ （商务部，跨境电商与电商入华主管部门）
  • http://www.customs.gov.cn/ （海关总署，跨境电商零售进口监管与正面清单执行）
  • https://www.chinatax.gov.cn/ （国家税务总局，跨境电商零售进口税收）
E-commerce Entry / 电商入华

Compliance Roadmap for Foreign Brands Entering China via E-Commerce Platforms (2026)

  • Cross-border e-commerce retail imports are regulated as “personal self-use inbound articles,” not general trade — meaning no first-import licence, registration, or filing is required for list goods, but the model is capped at personal use and cannot be resold domestically.
    跨境电商零售进口按”个人自用进境物品”监管而非一般贸易——清单内商品无需首次进口许可、注册或备案，但该模式限于个人自用，不得进入国内市场二次销售。
  • The 2018 six-ministerial notice (Shang Cai Fa [2018] No. 486) still governs the model and allocates responsibility: the cross-border e-commerce enterprise owns product-safety accountability, the platform owes first-instance compensation, and the domestic service provider bears joint liability.
    2018年六部委《通知》（商财发〔2018〕486号）仍为该模式的基础并划分责任：跨境电商企业承担商品质量安全主体责任，平台履行先行赔付，境内服务商承担连带责任。
  • Foreign brands must appoint an in-China incorporated entity as the responsible party and a bonded or direct-import fulfilment path (customs codes 1210 or 9610) with “three-single” (order, payment, logistics) data matched to Customs.
    外国品牌须指定在中国境内注册的企业作为责任主体，并走保税（1210）或直购（9610）进口履约路径，实现订单、支付、物流”三单”与海关比对。
  • From 2026, origin and qualification verification tightened; platforms now check overseas real-store and supply-chain evidence to weed out fake “overseas” brands.
    2026年起，原产地与资质核验趋严；平台核查境外实店与流通链路证据，清理虚假”海外”品牌。
  • Compliance essentials: Chinese electronic labels, risk-disclosure to consumers, recall and defective-product systems, and adherence to product-safety, labelling, and PIPI-related data rules.
    合规要点：中文电子标签、向消费者风险告知、召回与缺陷产品制度，以及产品安全、标签与个人信息相关数据处理规则。
  • The 2026 cross-border trade facilitation campaign adds differentiated inspection for first-launch consumer goods, easing market entry for genuine international brands.
    2026年跨境贸易便利化专项行动对首发消费品实施差异化检验，为真国际品牌进入市场提供便利。

Compliance Roadmap for Foreign Brands Entering China via E-Commerce Platforms (2026) | 外国品牌通过电商平台进入中国市场的合规路线图（2026）

Why this matters now

China is the world’s largest and most demanding consumer e-commerce market, and for foreign brands the fastest legal on-ramp is no longer a wholly owned import subsidiary with full product registration — it is cross-border e-commerce retail import (CBEC). Under this model, a foreign brand can reach Chinese consumers through a third-party platform while list goods are treated as personal inbound articles, bypassing first-import licensing and registration. But the convenience comes with strict, and tightening, guardrails.

For a foreign brand planning its China entry in 2026, the question is not “can I sell online?” but “through which compliant structure, with which responsible entity, and under which evolving supervisory rules?”

The regulatory backbone: Shang Cai Fa [2018] No. 486

The *Notice on Improving Supervision of Cross-Border E-Commerce Retail Imports* (Shang Cai Fa [2018] No. 486), issued by MOFCOM with five co-ministers and confirmed still in force by MOFCOM in 2024, is the governing document. Its key features:

  • Goods within the *Cross-Border E-Commerce Retail Import List* and meeting conditions are supervised as personal self-use inbound articles — no first-import licence, registration, or filing required.
  • The model is limited to personal self-use and may not be resold in the domestic market.
  • Four responsible parties are defined: the cross-border e-commerce enterprise (overseas seller), the platform, the domestic service provider, and the consumer.

Allocating responsibility

The notice assigns clear accountability:

  • Cross-border e-commerce enterprise — owns product quality-safety responsibility, consumer-protection duties (disclosure, returns, recall, compensation), and must be an entity that can be held liable.
  • Platform — must be incorporated in China, build a quality-safety risk-control mechanism, and perform first-instance compensation.
  • Domestic service provider — incorporated in China, accepts supervision, and bears joint liability.
  • Consumer — confirms a risk-disclosure statement; list goods may carry no physical Chinese label but must provide a Chinese electronic label accessible on the ordering page.

This allocation is why a foreign brand cannot simply “ship from overseas” anonymously: it must designate an in-China responsible party.

The entry structure for a foreign brand

A practical compliant structure:

  1. Appoint a responsible entity. Either incorporate a China entity, or engage a qualified domestic service provider/platform that accepts the liability chain.
  2. Choose a fulfilment path. Bonded import (customs code 1210, goods pre-positioned in a bonded centre) or direct purchase import (code 9610). Both require “three-single” (order, payment, logistics) electronic data matched to Customs via the single window.
  3. Confirm list eligibility. The product must be on the retail-import list; goods outside the list fall under general trade and need normal registration/filing.
  4. Provide the Chinese electronic label and risk disclosure at the point of order.
  5. Stand up a recall and defective-product system and consumer redress, reported to Customs when issues arise.

The 2026 tightening and facilitation

Two countervailing trends shape 2026:

  • Tighter verification. Customs has deepened data linkage with platforms, payment institutions, and logistics firms, cross-checking order, payment, and logistics to combat false origin (“transshipment washing”), missing qualifications, and fake-import schemes. Leading platforms now require overseas storefront and supply-chain evidence, clearing out “empty-shell” overseas brands.
  • Facilitation for genuine brands. The 2026 cross-border trade facilitation campaign introduces differentiated inspection for first-launch consumer goods: small-batch (≤20 units) first-show items may be exempted from sampling; a “white-list” of recognised international brands allows repeated imports without re-applying; and the electronic *Entry-Exit Inspection and Quarantine Certificate* is issued in seconds to the single window.

Product-safety and labelling rules

Even under CBEC, product-safety, labelling, and recall obligations apply. Customs’ 2026 consumer-goods guidance reiterates that cross-border e-commerce enterprises bear product-quality-safety主体责任 and must recall and properly dispose of non-conforming or risky goods. For categories like food, cosmetics, and infant products, mandatory national standards (GB series), 3C certification for applicable electrical goods, and energy-efficiency labels still matter; electronic labels supplement but do not fully replace physical labels for statutory content.

Practical compliance checklist

  • Map the product to the retail-import list; if outside, plan a general-trade registration route.
  • Lock the responsible-entity and liability chain before launch.
  • Build the three-single data feed and single-window connection.
  • Prepare Chinese electronic labels and the risk-disclosure statement.
  • Establish recall, returns, and consumer-compensation workflows.
  • Keep supply-chain and origin evidence ready for platform and customs verification.

Related reading

  • See our articles on CBEC pilot zones and retail import, livestream e-commerce supervision, and import-export customs clearance for the broader entry picture.

外国品牌通过电商平台进入中国市场的合规路线图（2026）/ Compliance Roadmap for Foreign Brands Entering China via E-Commerce Platforms (2026)

为何当下重要

中国是全球最大也最严苛的消费品电商市场，对外国品牌而言，最快的合法入口已不再是配备完整产品注册的独资进口子公司，而是跨境电商零售进口（CBEC）。在该模式下，外国品牌可通过第三方平台触达中国消费者，清单内商品按个人自用进境物品监管，绕开首次进口许可与注册。但便利伴随着严格且不断收紧的护栏。

对于计划在2026年进入中国的外国品牌，问题不再是”能否在线销售”，而是”通过哪种合规结构、以哪个责任主体、在哪些演进的监管规则下”。

监管主干：商财发〔2018〕486号

由商务部会同五部委印发的《关于完善跨境电子商务零售进口监管有关工作的通知》（商财发〔2018〕486号），经商务部2024年确认仍然有效，是 governing 文件。其核心特征：

  • 《跨境电子商务零售进口商品清单》内且符合条件的商品按个人自用进境物品监管——无需首次进口许可、注册或备案。
  • 该模式限于个人自用，不得进入国内市场二次销售。
  • 界定四方责任主体：跨境电商企业（境外卖方）、平台、境内服务商与消费者。

责任分配

《通知》明确分配责任：

  • 跨境电商企业——承担商品质量安全主体责任与消费者权益保障责任（披露、退货、召回、赔付），且须为可被追责的实体。
  • 平台——须在中国境内注册，建立质量安全风险防控机制，并履行先行赔付责任。
  • 境内服务商——在中国境内注册，接受监管，并承担连带责任。
  • 消费者——确认风险告知书；清单商品可无实体中文标签，但须在订购页面提供可查询的中文电子标签。

正因如此，外国品牌不能简单地”从海外匿名发货”，而必须指定中国境内的责任主体。

外国品牌的进入结构

一套务实的合规结构：

  1. 指定责任主体。 要么在中国设立实体，要么委托接受责任链的合格境内服务商/平台。
  2. 选择履约路径。 保税进口（海关监管代码1210，货物前置在保税中心）或直购进口（代码9610）。两者均须通过单一窗口实现订单、支付、物流”三单”与海关比对。
  3. 确认清单资格。 产品须在零售进口清单内；清单外商品按一般贸易管理，需正常注册/备案。
  4. 在订购环节提供中文电子标签与风险告知。
  5. 建立召回与缺陷产品制度及消费者救济，遇问题向海关报告。

2026年的收紧与便利化

两股相反趋势塑造2026年：

  • 核验趋严。 海关深化与平台、支付机构、物流企业的数据联通，交叉比对订单、支付、物流，打击虚假原产地（”中转洗产地”）、资质缺失与虚假进口。头部平台现已要求境外门店与流通链路证据，清理”空壳”海外品牌。
  • 对真品牌的便利化。 2026年跨境贸易便利化专项行动对首发消费品实施差异化检验：单款20件及以下首秀新品可免取样送检；”白名单”国际品牌一年内同规格重复进口无需重新申请；《入境货物检验检疫证明》电子化秒级出证至单一窗口。

产品安全与标签规则

即便在CBEC模式下，产品安全、标签与召回义务仍适用。海关2026年消费品指引重申跨境电商企业承担商品质量安全主体责任，须对不合格或风险商品召回并妥善处置。对食品、化妆品、婴童用品等类目，强制性国家标准（GB系列）、适用电器的3C认证与能效标识依然重要；电子标签补充但不完全替代法定内容的实体标签。

实用合规清单

  • 将产品映射到零售进口清单；若不在清单内，规划一般贸易注册路径。
  • 上线前锁定责任主体与责任链。
  • 搭建”三单”数据报送与单一窗口连接。
  • 准备中文电子标签与风险告知书。
  • 建立召回、退货与消费者赔付流程。
  • 备妥供应链与原产地证据，以应对平台与海关核验。

延伸阅读

  • 请参阅我们关于跨境电商综合试验区与零售进口、直播电商监管、进出口清关的文章，了解更完整的进入图景。

Sources

E-commerce Entry / 电商入华

Cross-Border E-Commerce Pilot Zones and Retail Import List Management

  • China’s cross-border e-commerce (CBEC) runs on a nationwide network of Comprehensive Pilot Zones — now 175-plus covering all provinces — and a positive-list regime that defines which goods may enter via the retail-import channel.
    中国跨境电商依托覆盖全国的跨境电子商务综合试验区网络（现175个以上、覆盖所有省份）运行，并以正面清单界定哪些商品可经零售进口通道入境。
  • The retail-import positive list sets the product scope; the 2018 tax policy (Cai Guanshui [2018] No. 49) fixes a CNY 5,000 per-order and CNY 26,000 annual cap, with tariff at 0% and import VAT/consumption tax at 70%.
    零售进口正面清单界定商品范围；2018年税收政策（财关税〔2018〕49号）设定单次5000元、年度26000元限值，关税为0、进口环节增值税与消费税按70%征收。
  • Both the bonded (BBC) and direct-purchase (BC) models rely on “three-document matching” — order, payment and waybill pushed to Customs’ Single Window — enabling near-instant release.
    保税备货（BBC）与直购进口（BC）均依赖”三单比对”（订单、支付单、物流单推送至海关单一窗口），实现近乎秒级放行。
  • Retail exports inside pilot zones enjoy tax preferences: exported goods are exempt from VAT and consumption tax, with an optional assessed enterprise-income-tax collection.
    综试区内零售出口享受税收优惠：出口货物免征增值税与消费税，并可选择企业所得税核定征收。
  • Foreign brands entering via CBEC must localise compliance — platform/logistics/payment enterprise filing, commodity-list mapping, Chinese labelling and import-food recall responsibility.
    经跨境电商进入的外国品牌须在地合规：平台/物流/支付企业备案、商品清单映射、中文标签及进口食品召回责任。
  • 2026 policy elevates “CBEC + overseas warehouses” to a national priority, with simplified overseas-warehouse filing and expanded return-centre pilots easing cross-border fulfilment.
    2026年政策将”跨境电商+海外仓”上升为国家任务，简化海外仓备案并扩大退货中心仓试点，便利跨境履约。

Cross-Border E-Commerce Pilot Zones and Retail Import List Management | 跨境电商综合试验区扩围与零售进口清单管理

Why this matters now

For a foreign brand or retailer, China’s cross-border e-commerce (CBEC) channel is the fastest legal route to sell directly to Chinese consumers without first establishing a domestic distribution company. The channel rests on two pillars: a sprawling network of Comprehensive Pilot Zones (综试区) that confer tax and customs conveniences, and a positive-list (正面清单) regime that defines exactly which products may enter as retail imports. Understanding both is the difference between a smooth market entry and a costly misclassification.

Market context: scale and momentum

China’s CBEC has moved from niche to mainstream. Official figures show retail imports through the pilot-zone channel running into the hundreds of billions of yuan annually, with double-digit year-on-year growth sustained for several consecutive years. The policy logic is deliberate: the State Council has expanded the pilot-zone network in successive tranches precisely to spread fulfilment capacity beyond the original coastal pioneers and into inland and border regions — a structural push that matters to foreign sellers choosing where to land goods. Against a broader consumption slowdown, CBEC is treated by Beijing as a rare bright spot for import demand, which explains why 2026 measures lean toward *facilitation* (simplified filing, expanded returns) rather than tighter controls. For a foreign brand, two practical signals stand out: first, the channel is now large and liquid enough to support national launches without a domestic entity; second, the compliance burden is concentrated in *filing and list-mapping* rather than tariffs, so the marginal cost of entry is operational, not fiscal.

The pilot-zone network

The State Council has approved cross-border e-commerce comprehensive pilot zones across the country; the network has expanded to more than 175 zones covering all 31 provincial-level regions. Inside a zone, retail exports benefit from streamlined customs and tax treatment, while imported goods can leverage bonded warehousing. The Ministry of Commerce issues innovation guidance encouraging zones to build industry belts and regional brands around local supply chains. For a foreign seller, the practical implication is choice of landing city — coastal hubs (Shanghai, Hangzhou, Guangzhou, Shenzhen, Zhengzhou) concentrate volume and fulfilment maturity.

The retail-import positive list

The Cross-Border E-Commerce Retail Import Positive List is the gatekeeper: only goods on the list may be imported through the CBEC retail-import channel, enjoying tariff preferences and clearance convenience. The list has been revised repeatedly since its 2016 launch (roughly 1,240 items initially, expanded through 2019 and 2022 iterations to about 1,476 tariff lines), with categories refined to track consumption upgrading. Goods outside the list must use general trade or cannot be imported through this channel at all.

The tax and limit regime

The tax treatment is defined by Cai Guanshui [2018] No. 49 (Ministry of Finance, General Administration of Customs, State Taxation Administration):

  • single-transaction limit raised to CNY 5,000, annual individual limit to CNY 26,000;
  • within the limits, tariff is 0%, and import VAT and consumption tax are levied at 70% of the statutory amount;
  • goods purchased are final consumer goods and may not be resold domestically;
  • where the transaction exceeds the single limit but stays under the annual limit with only one item, goods-rate taxation applies, and exceeding the annual limit triggers general-trade treatment.

How clearance works: bonded vs direct

Two models dominate. Bonded (BBC) sees goods batched into a customs-special zone, then picked, packed and cleared upon consumer order — fast and low-cost for repeat-purchase categories. Direct purchase (BC) ships from overseas per order under “list release, summary declaration.” Both rely on three-document matching: the order, payment slip and waybill are pushed to Customs’ Single Window; the system auto-checks consistency and releases in hours. Enterprise, commodity and declaration filing are prerequisites, and the positive-list mapping must be completed for each SKU.

Compliance for foreign brands

  1. Confirm list eligibility for every SKU before launch — if a product is off-list, plan for general trade.
  2. File the three entities — platform, logistics and payment enterprises — and complete commodity registration.
  3. Prepare Chinese labelling and, for food, a domestic recall responsible party; platforms must suspend non-compliant importers.
  4. Price within the limits or model the general-trade tax impact for high-value single items.
  5. Leverage overseas warehouses — 2026 policy simplifies overseas-warehouse filing and expands return-centre pilots, easing cross-border fulfilment and returns.

Choosing a landing zone

Not all pilot zones are equivalent for a foreign brand. Coastal pioneers — Shanghai, Hangzhou, Guangzhou, Shenzhen and Zhengzhou — concentrate bonded-warehouse capacity, customs maturity and cross-border logistics talent, and remain the default for volume launches. Inland and border zones (Chengdu, Chongqing, Kunming, Urumqi, Manchuria) offer lower fulfilment cost and proximity to emerging consumer markets or neighbouring export corridors, and several have built specialised cross-border industrial belts. The decision should follow the product profile: high-velocity, temperature-controlled or high-value SKUs favour mature coastal hubs, while price-sensitive, bulky or regionally sourced goods can exploit inland cost advantages. Critically, zone choice does not change the positive-list or tax regime — those are national — so the variable is purely operational efficiency and local service ecosystem.

Related reading

CBEC complements, rather than replaces, general trade and the foreign-invested e-commerce presence. Foreign groups should map which SKUs belong on the positive list, which need general trade, and how an in-China entity changes the compliance posture.

跨境电商综合试验区扩围与零售进口清单管理

为何当下值得关注

对外国品牌与零售商而言，中国跨境电商（CBEC）通道是在尚未设立境内分销公司之前，直接向中国消费者销售的最快合法路径。该通道建立在两大支柱之上：赋予税收与海关便利的庞大跨境电子商务综合试验区（综试区）网络，以及界定哪些商品可作为零售进口入境的正面清单制度。理解二者，决定了市场准入是顺畅还是因归类错误付出高昂代价。

市场背景：规模与动能

中国跨境电商已从边缘走向主流。官方数据显示，经综试区通道的零售进口年规模已达数千亿元级别，并连续多年保持两位数同比增长。政策逻辑是有意为之：国务院分批扩围综试区网络，正是为了将履约能力从最初的沿海先行区向内陆与边境地区扩散——这对选择落地城市的外国卖家意义重大。在整体消费放缓的背景下，跨境电商被北京方面视为进口需求的少数亮点之一，这也解释了为何 2026 年措施偏向”便利化”（简化备案、扩大退货）而非收紧管控。对外国品牌而言，两个实操信号尤为突出：其一，该通道如今规模足够大、流动性足够强，足以支撑无在岸实体的全国性上新；其二，合规负担集中在”备案与清单映射”而非关税，故边际进入成本是运营性的，而非财政性的。

综试区网络

国务院已在全国批复设立跨境电商综合试验区；该网络已扩至175个以上、覆盖全部31个省区市。在区内，零售出口享受简化的海关与税收待遇，进口商品则可利用保税仓储。商务部印发创新发展指引，鼓励各综试区围绕本地供应链打造跨境电商产业带与区域品牌。对外国卖家而言，实操含义是落地城市的选择——上海、杭州、广州、深圳、郑州等沿海枢纽流量集中、履约成熟。

零售进口正面清单

《跨境电子商务零售进口商品清单》是把关者：只有清单内的商品方可经跨境电商零售进口通道入境，享受关税优惠与通关便利。该清单自2016年推出后多次修订（初期约1240项，经2019、2022年版扩至约1476个税目），品类持续优化以契合消费升级。清单外商品须走一般贸易，或根本无法经此通道进口。

税收与限值制度

税收待遇由财关税〔2018〕49号（财政部、海关总署、国家税务总局）界定：

  • 单次交易限值提高至5000元，个人年度限值提高至26000元；
  • 限值内关税为0%，进口环节增值税与消费税按法定应纳税额的70%征收；
  • 已购电商进口商品属消费者个人使用的最终商品，不得再次进入国内市场销售；
  • 完税价格超单次限值但低于年度限值且订单仅一件时，按货物税率全额征税；超过年度限值则按一般贸易管理。

通关模式：保税与直购

两大模式为主。保税备货（BBC）将商品批量入区，消费者下单后分拣、打包、清关出区——适合高频复购品类，速度快、成本低。直购进口（BC）按订单从境外发货，实行”清单核放、汇总申报”。二者均依赖三单比对：订单、支付单、物流单推送至海关单一窗口，系统自动比对一致性并在数小时内放行。企业、商品与申报备案是前置条件，且每个SKU须完成正面清单映射。

外国品牌合规要点

  1. 上架前确认每个SKU的清单资格——若商品不在清单内，须规划一般贸易路径。
  2. 完成三类主体备案——平台、物流、支付企业，并完成商品注册。
  3. 准备中文标签；食品须设境内召回责任主体；平台须对未主动召回的进口商暂停服务。
  4. 在限值内定价，或对高价值单品测算一般贸易税负影响。
  5. 善用海外仓——2026年政策简化海外仓备案并扩大退货中心仓试点，便利跨境履约与退货。

选择落地枢纽

对国外品牌而言，综试区并非等价。沿海先行区——上海、杭州、广州、深圳、郑州——集中了保税仓储能力、海关成熟度与跨境物流人才，仍是走量上新的默认之选。内陆与边境综试区（成都、重庆、昆明、乌鲁木齐、满洲里）提供更低的履约成本，贴近新兴消费市场或毗邻出口走廊，且多个已建成专业化跨境产业带。决策应跟随商品画像：高频、温控或高价值SKU宜选成熟沿海枢纽，而价格敏感、体积大或区域性采购的商品可借内陆成本优势。关键在于，枢纽选择不改变正面清单与税收制度——这些是全国统一的——变量纯粹是运营效率与本地服务生态。

延伸阅读

跨境电商是对一般贸易与外资电商在岸布局的补充而非替代。外国集团应厘清哪些SKU属于正面清单、哪些须走一般贸易，以及设立在China实体后将如何改变合规姿态。

Sources

  • 财政部、海关总署、国家税务总局：《关于完善跨境电子商务零售进口税收政策的通知》（财关税〔2018〕49号）— http://gss.mof.gov.cn/zhengwuxinxi/zhengcefabu/201811/t20181129_3079073.html
  • 财政部：《跨境电子商务零售进口商品清单》— http://gss.mof.gov.cn/zhengwuxinxi/zhengcefabu/201811/t20181129_3079063.html
  • 商务部：《跨境电子商务零售进口商品清单》（PDF）— https://www.mofcom.gov.cn/cms_files/filemanager/1077459795/attach/20239/20160707164808374.pdf
E-commerce Entry / 电商入华, Policy Updates / 政策动态

China’s Livestream E-commerce Supervision Measures in Force from 1 February 2026: Four Categories of Duty-Bearers, AI Virtual Host Labelling and Traffic-Based Enforcement

  • China’s first dedicated livestream e-commerce regulation — SAMR and CAC Order No. 117, published on 18 December 2025 — takes effect on 1 February 2026.
    中国首部直播电商领域专门规章——市场监管总局、国家网信办令第117号，2025年12月18日公布——自2026年2月1日起施行。
  • The Measures divide the industry into four duty-bearers: platform operators, livestream room operators, livestream marketing personnel and marketing personnel service agencies (MCNs).
    《办法》将行业划分为四类主体：直播电商平台经营者、直播间运营者、直播营销人员、直播营销人员服务机构（MCN机构）。
  • Whoever actually operates someone else’s livestream room must perform the room operator’s obligations, so agency operators cannot hide behind “the account is not mine”.
    实际运营他人直播间的，也应当履行直播间运营者的相应义务，代运营服务商无法以”账号不是我的”免责。
  • Where AI-generated human images or videos are used to sell, the room must continuously disclose to consumers that the persona is technology-generated.
    使用人工智能等技术生成的人物图像、视频从事直播电商活动的，直播间应当持续向消费者提示该形象由技术生成。
  • Traffic itself becomes an enforcement tool: non-compliant rooms can be throttled or shut down, supported by SAMR–CAC joint supervision and three penetrating-regulation initiatives.
    流量本身成为执法工具：违规直播间可被限流甚至关停，并由市场监管与网信部门联动协作及三项穿透式监管举措支撑。
  • Enforcement is already heavy: SAMR fined Chengdu Kuaigou Technology, the Kuaishou e-commerce operating entity, RMB 26.6929 million for seven categories of violations.
    执法力度已然可观：市场监管总局对快手电商平台运营主体成都快购科技有限公司七项违法行为罚没2669.29万元。
  • Order No. 116, the Online Trading Platform Rules Measures, takes effect the same day and curbs “choose one of two”, unreasonable fees, arbitrary “fines” and differential pricing.
    同日公布的令第116号《网络交易平台规则监督管理办法》同步施行，规制”二选一”、不合理收费、不合理”罚款”与差别定价。
  • Foreign brands should map their own role among the four categories, pre-clear product and advertising qualifications, label digital hosts and retain replays and scripts.
    外资品牌应先厘清自身在四类主体中的定位，前置商品资质与广告审查，标识数字人主播，并留存直播回放与脚本。

China’s Livestream E-commerce Supervision Measures in Force from 1 February 2026: Four Categories of Duty-Bearers, AI Virtual Host Labelling and Traffic-Based Enforcement | 《直播电商监督管理办法》2026年2月1日施行：四类主体责任、AI数字人主播标识与流量监管

Overview

On 18 December 2025 SAMR and CAC jointly promulgated the *Measures for the Supervision and Administration of Livestream E-commerce* as Order No. 117, effective 1 February 2026; Order No. 116, the *Measures for the Supervision and Administration of Online Trading Platform Rules*, was issued and takes effect the same day. Order No. 117 is China’s first dedicated livestream-e-commerce regulation, and livestream selling is the largest first-buyer channel for many foreign brands entering China.

What the Measures Cover

Made under the E-commerce Law, the Consumer Rights and Interests Protection Law and the Cybersecurity Law, the Measures apply (Article 2) within the PRC to livestream e-commerce and its supervision by market regulation and cyberspace administration departments. “Livestream e-commerce” means selling goods or services through websites, applications and similar channels by video or audio streaming or a combination, including a brand’s own mini-programme. Article 3 requires voluntariness, equality, fairness, good faith, law compliance, commercial ethics, fair competition and supervision acceptance; Articles 4 and 5 set innovation-with-bottom-lines and online/offline parity, and encourage first-enquiry responsibility, advance compensation, online dispute resolution, self-discipline and consumer-organisation supervision.

Four Categories of Duty-Bearers

  • Platform operators — entities providing online business premises, transaction matching, information publication and similar services that let two or more parties transact independently.
  • Livestream room operators — parties registering accounts on a platform, or opening rooms through self-built websites or other network services. A party actually operating another’s room shall likewise perform the corresponding room-operator obligations.
  • Livestream marketing personnel — natural persons directly promoting goods or services to the public: the hosts.
  • Livestream marketing personnel service agencies — organisations providing planning, operations, talent management, training and technical support to hosts: the MCNs.

Much of the foreign-brand market runs through agency operators (代运营); the agency actually running a room bears room-operator obligations regardless of account ownership.

Platform, Room and Host Obligations

Platforms must verify qualifications, report information, train, manage by grade and category, evaluate credit, dispose of unlawful conduct, control dynamically, disclose information and protect consumers, vetting room operators, MCNs and hosts. Room operators must maintain review, disclosure and identity-verification systems and avoid false promotion; hosts must introduce goods truthfully, accurately and comprehensively.

AI-Generated Virtual Hosts

Where AI-generated human images or videos are used, the room must continuously prompt consumers that the image is technology-generated — not merely a splash screen or a buried line; the duty sits with the room operator, including an agency actually operating it. Round-the-clock digital-human streaming is allowed; presenting a synthetic persona as human is not, and truthfulness duties apply to the avatar’s script. The Measures also set twelve categories of prohibited conduct — false promotion, traffic/transaction fabrication, commercial disparagement — as one sector-specific basis for action.

Traffic Supervision and Penetrating Regulation

Traffic is a regulatory instrument: the Measures strengthen traffic supervision and explore traffic-based supervision of infringing entities, letting non-compliant rooms be throttled or shut down, backed by a SAMR–CAC coordination mechanism. SAMR advances three penetrating-regulation initiatives — a livestream e-commerce entity database (直播电商主体库) prioritising room operators for data connection; a product-code pilot (“platforms display, consumers scan, regulators use”); and a monitoring system for cross-monitoring high-risk activity with penetrating-supervision pilots in active platform economies.

Enforcement in Practice

SAMR penalised Chengdu Kuaigou Technology Co., Ltd. (成都快购科技有限公司), operator of the Kuaishou e-commerce platform, with fines and confiscations of RMB 26.6929 million — precisely RMB 26,692,904.62 — in a case opened September 2025 and decided December 2025. Seven violations were found: failure to continuously disclose credential information, service agreements and transaction rules (E-commerce Law Articles 15, 33); unreasonable fees and punitive non-fixed liquidated damages charged to platform businesses (Article 35); failure of safety guarantee obligations (Article 38); failure to act on IP infringement (Articles 42, 45); inadequate advertising review for drugs, medical devices, food, health food and veterinary drugs, plus efficacy guarantees, efficacy comparisons and inducement to purchase (Advertising Law Articles 9, 16, 46); a “sales data only increases and never decreases” display function helping merchants and hosts fabricate transaction value and volume (Anti-Unfair Competition Law (2019 revision) Article 8); and Wildlife Protection Law Article 33, with penalties resting on the E-commerce Law, the Advertising Law, the Anti-Unfair Competition Law (2019 revision), the Wildlife Protection Law and the Administrative Penalty Law.

Room-level cases match. A Sihui, Guangdong jewellery shop staged a scripted “north versus south price-cutting contest” and a “foreign jade merchant in urgent need of a sale” and claimed therapeutic effects for jade: RMB 500,000, under Articles 8(1), 9(1) and 34 of the Interim Provisions on Anti-Unfair Competition Online with Articles 8(1) and 20(1) of the Anti-Unfair Competition Law (2019 revision). A Yangpu, Shanghai health-technology company claiming in private-domain livestreams that health food treats disease: RMB 350,000. A Tongliao, Inner Mongolia media company fabricating transaction value by order brushing: RMB 400,000, under Articles 9(1)(2) and 34 of the Interim Provisions and Article 25(1) of the Anti-Unfair Competition Law. Since 2025 SAMR has published four batches totalling 30 typical cases and a fifth. Scripted dramatisation is false promotion.

The Companion Platform Rules Measures

Order No. 116 bars platforms from using rules to restrict businesses’ independent operation, charge unreasonable fees, impose unreasonable “fines” or cut membership rights — covering “choose one of two”, fee-without-service, forced below-cost dumping and forced paid promotions — and from restricting free goods choice, complaint rights, or “big data price discrimination”. Rules or links must be continuously displayed with charges and dispute resolution highlighted; negative measures need disclosed reasons, basis and an appeal channel; membership changes need pre-renewal notice.

A Compliance Checklist for Foreign Brands

  • Map your role. Your own room makes you a room operator; a signed host is livestream marketing personnel; an MCN is a separate duty-bearer; an agency actually operating the room carries room-operator obligations whoever owns the account. Put the allocation and matching indemnities into contracts.
  • Pre-clear products and advertising. Drugs, medical devices, food and health food, veterinary drugs, cosmetics and imported food labelling carry sector-specific review and claim limits. Fix the claim set before the script.
  • Disclose cross-border retail import status where that model is used; see our No. 83.
  • Label digital hosts persistently, building the prompt into the room template.
  • Ban order brushing and display manipulation in agency and MCN contracts.
  • Stand up first-enquiry responsibility and advance compensation.
  • Retain replays, scripts, qualification files and approval trails.
  • Audit the platform agreement against Order No. 116 and use the new appeal rights.

Related Reading

See our overview of routes into the Chinese e-commerce market (No. 43), the cross-border e-commerce retail import guide (No. 83), the note on expanded opening of value-added telecom services (No. 86) and the cross-border e-commerce export overseas warehouse guide (No. 93).

《直播电商监督管理办法》2026年2月1日施行：四类主体责任、AI数字人主播标识与流量监管

概述

2025年12月18日，国家市场监督管理总局（市场监管总局）与中央网络安全和信息化委员会办公室（国家网信办）联合公布《直播电商监督管理办法》，即第117号令，自2026年2月1日起施行；同日公布、同日施行的还有第116号令《网络交易平台规则监督管理办法》。第117号令是我国直播电商领域首部专门规章，结束了该行业长期依赖并非为直播间设计的通用规则的局面。对众多进入中国市场的外资消费品牌而言，直播带货正是获取首批消费者的最大渠道。

适用范围与基本原则

《办法》依据电子商务法、消费者权益保护法和网络安全法制订，第二条明确适用于中华人民共和国境内的直播电商活动，以及市场监管、网信部门在各自职责范围内的监督管理。”直播电商”指通过互联网站、应用程序等网络服务，以视频、音频直播或二者结合方式销售商品或提供服务；纯音频、音视频结合的直播均包含在内，品牌以自有小程序开播亦在监管范围内。

第三条要求自愿、平等、公平、诚信，遵守法律法规、商业道德、公序良俗，公平竞争并接受政府与社会监督；第四条确立鼓励创新、守住底线、线上线下一体化监管的理念；第五条鼓励首问负责、先行赔偿、在线争议解决、行业自律与消费者组织监督。

四类主体责任

  • 平台经营者——提供网络经营场所、交易撮合、信息发布等服务的法人或非法人组织，供多方独立交易。
  • 直播间运营者——在平台注册账号，或通过自建网站、其他网络服务开设直播间的自然人、法人或非法人组织。实际运营他人直播间的，亦应履行相应的直播间运营者义务。
  • 直播营销人员——直接面向公众营销商品或服务的自然人，即主播。
  • 直播营销人员服务机构——为主播提供策划、运营、经纪、培训、技术支持的机构，即MCN机构。

外资品牌市场多经代运营开展。实际运营直播间的服务商，应独立承担直播间运营者义务；外包并不转移品牌风险，服务商亦不得以”账号非己方所有”推卸责任。厘清自身在四类主体中的定位，是合规的第一步。

平台、直播间与主播义务

平台应履行资质核验、信息报送、培训、分级分类管理、信用评价、违法行为处置、动态管控、信息公示、消费者保护、投诉机制等，并真实身份认证和审核直播间运营者、MCN与主播，依规定报送数据、协助维权、建立黑名单。信用评价与动态管控会将品牌合规记录转化为审核时效、类目权限与流量分配。

直播间运营者应建立商品和服务信息发布审核、信息公示、身份核验等机制，不得虚假或引人误解的商业宣传；主播应真实、准确、全面介绍商品或服务，不得欺骗、误导。遗漏关键限制或折扣条件，即便未说假话，亦可能构成违规。”全面”要求很高，主播话术的每一处省略都可能触发责任。

AI生成的数字人主播

使用人工智能等技术生成的人物图像、视频从事直播电商的，直播间应持续向消费者提示该形象由技术生成——而非仅在开场闪屏或描述中埋设一行；中途进入的消费者亦应看到。该义务归于直播间，由直播间运营者（含实际运营的服务商）承担，而非技术供应商。

全天候数字人直播仍被允许；但将合成形象呈现为真实人物则不被允许，主播话术同样受真实义务约束。《办法》还划出十二类禁止行为红线——虚假宣传、流量与交易造假、商业诋毁等，统合为专门的执法依据。

流量监管与穿透式监管

流量本身成为监管工具：《办法》强化流量监管、探索对侵权主体的基于流量的监管，违规直播间可被限流乃至关停，并由市场监管与网信部门联动机制支撑。在直播场景里，可见度是最稀缺的资源，限流比罚款来得更快。

市场监管总局推进三项穿透式监管举措：以直播间运营者为重点对接平台的直播电商主体库（直播电商主体库）；”平台展示码、消费者扫码、监管用码”的产品码赋码核验试点；对高风险行为交叉监测的监测系统，并在平台经济活跃地区开展穿透式监管试点。因此应假定提供给平台的数据会到达监管方，并使其与在其他地方的备案一致。

执法实践

市场监管总局对快手电商平台运营主体成都快购科技有限公司罚没2669.29万元，精确为人民币26,692,904.62元；案件2025年9月立案、2025年12月作出处罚。查实七类违法：未持续公示证照、服务协议与交易规则（电子商务法第15、33条）；向平台内经营者收取不合理费用及惩罚性不固定违约金（第35条）；未履行安全保障义务（第38条）；未采取必要措施制止知识产权侵权（第42、45条）；对药品、医疗器械、食品、保健食品、兽药广告审查不到位，并存功效断言、功效比较、诱导购买（广告法第9、16、46条）；”销量只增不减”展示功能帮助商家与主播虚构交易额与成交量（反不正当竞争法（2019年修订）第8条）；以及野生动物保护法第33条。处罚依据电子商务法、广告法、反不正当竞争法（2019年修订）、野生动物保护法及行政处罚法相关条款。

直播间层面案件同样严重。广东四会一家珠宝店编排”南北砍价对决””外国玉商急售”剧本并宣称玉石疗效，罚50万元，依据《规范网络不正当竞争行为暂行规定》第8条第1款、第9条第1款、第34条及反不正当竞争法（2019年修订）第8条第1款、第20条第1款。上海杨浦一家健康科技公司在私域直播宣称保健食品治病，罚35万元。内蒙古通辽一家传媒公司通过刷单虚构交易额，罚40万元，依据《暂行规定》第9条第1款第2项、第34条及反不正当竞争法第25条第1款。2025年以来，市场监管总局已公布四批共30件典型案例，并发布第五批。剧本式演绎无论多”精彩”均属虚假宣传，而虚增数据的展示功能会令平台担责——这也正是平台把要求层层传导至品牌的原因。

配套的平台规则办法

第116号令是配套约束。平台不得借规则不合理限制经营者自主经营、不合理收取费用、施加不合理”罚款”或减损会员权益；列明行为包括”二选一”、只收费不服务、强制低于成本倾销、强制付费参与促销。消费者侧：限制商品自由选择权、限制投诉举报权、”大数据杀熟”——在同等交易条件下对相同商品或服务向消费者收取不同价格或标准且未明示。

平台规则或链接须持续公示，收费与争议解决以加粗等显著方式提示；负面管理措施须充分说明理由与依据并提供申诉渠道；会员规则变更须于续费前告知。对外资品牌而言，这是撬动长期”不可谈判”条款的难得抓手。

外资品牌合规清单

  • 厘清角色定位。自有直播间即直播间运营者；签约主播为直播营销人员；MCN为独立责任主体；实际运营直播间的服务商，不论账号归属均承担直播间运营者义务。将分工与对应赔偿写进合同。
  • 前置商品与广告资质。药品、医疗器械、食品与保健食品、兽药、化妆品及进口食品标签均有限制与宣称边界，先定口径再写脚本。
  • 若采用跨境电商零售进口模式，须公示相关状态；见本站第83篇。
  • 持续标识数字人主播，将提示嵌入直播间模板。
  • 在代运营与MCN合同中禁止刷单与数据展示操纵。
  • 建立首问负责与先行赔偿，这是投诉中最省成本的防线。
  • 留存回放、脚本、资质文件与审批轨迹；直播证据易逝，须主动保全。
  • 对照第116号令审查平台协议，善用新增申诉权。

相关阅读

参见本站第43篇（中国电商市场进入路径概览）、第83篇（跨境电商零售进口指南）、第86篇（增值电信业务扩大开放说明）、第93篇（跨境电商出口海外仓指南）。

Sources

Data Export / 数据出境

Cross-border data: scenario-based, field-level negative lists

  • The 2026 action plan supports FTZs and service-opening pilot cities in exploring scenario-based, field-level data-export negative lists.
    2026年行动方案支持自贸区、服务业扩大开放试点城市在更多领域制定场景化、字段级数据出境负面清单。
  • National standards for “important data” identification catalogs will be promoted for eight industries (industrial, telecom, geoinformation, automotive, pharma, seeds, aerospace, civil aviation).
    将推动工业、电信、地理信息、汽车、医药、种业、航天、民航等八个行业领域重要数据识别目录国家标准制定。
  • This refines the general PIPL cross-border-transfer rules with more granular, locally-tailored negative lists.
    这以更细粒度、因地制宜的负面清单，细化了个保法项下的一般跨境传输规则。
  • FIEs should check whether an applicable FTZ negative list or industry important-data catalog covers their cross-border transfers.
    外资企业应核实在适用的自贸区负面清单或行业重要数据目录是否覆盖其跨境传输。
  • It complements the existing cross-border data transfer rules and PIPL compliance articles rather than replacing them.
    该举措是对现有跨境数据传输规则与个保法合规文章的补充，而非替代。
  • Watch for releases from the Cyberspace Administration (CAC) and the pilot cities’ negative-list catalogs.
    请关注国家网信办及试点城市负面清单目录的发布。

Cross-border data: scenario-based, field-level negative lists | 数据跨境场景化、字段级负面清单

Overview

A specific measure in the Action Plan for Stabilizing and Improving Foreign Investment (利用外资固稳促优行动方案) targets cross-border data flows. Issued 16 June 2026 (商资发〔2026〕97号) and effective from 1 July 2026, it supports free-trade zones (FTZs) and service-opening pilot cities in exploring scenario-based, field-level data-export negative lists, and promotes national standards for “important data” identification catalogs across eight industries.

This article explains what changes for foreign-invested enterprises moving data out of China, building on the general cross-border data transfer rules.

Informational guidance only; the exact negative lists and catalogs are issued by the competent authorities and pilot cities, so verify before acting.

What is new

Scenario-based, field-level negative lists

  • FTZs and service-opening pilot cities may, in more areas, formulate scenario-based (i.e., by business scenario) and field-level (i.e., down to specific data fields) data-export negative lists.
  • A field-level list tells an enterprise precisely which data fields are restricted for export, instead of a broad category ban — reducing uncertainty for compliant transfers.

Important-data catalogs for eight industries

  • Promote national standards for important-data identification catalogs in: industrial, telecom, geoinformation, automotive, pharma, seeds, aerospace, and civil aviation.
  • Once published, these catalogs define which data is “important data” and therefore subject to stricter cross-border controls.

How it differs from the general rules

  • The general PIPL/cybersecurity framework still applies: important/large-volume/sensitive personal data exports follow the standard routes (security assessment, certification, or standard contract).
  • The new approach adds a local, granular negative list layer: within an FTZ or pilot city, if your specific scenario and fields are NOT on the negative list, the path can be clearer and faster.
  • It is a refinement and localisation, not a repeal, of the existing cross-border data transfer rules.

What to do next

  • Map your cross-border data flows by business scenario and by specific data field.
  • Check whether your FTZ or pilot city has published (or is consulting on) a scenario-based / field-level data-export negative list covering your scenario.
  • Determine whether your industry’s “important data” catalog (when issued) classifies your data as important.
  • If not on a negative list and not “important data”, document the basis and proceed under the applicable streamlined route.
  • Where uncertainty remains, use the standard statutory route (assessment / certification / standard contract) and consult the local cyberspace authority.
  • Keep records; negative lists and catalogs are expected to be updated iteratively.

Sources

  • 中华人民共和国中央人民政府（国务院）— 《利用外资固稳促优行动方案》全文：https://www.gov.cn/zhengce/zhengceku/202606/content_7072838.htm
  • 国家互联网信息办公室（官方门户）— https://www.cac.gov.cn
  • 商务部 — 关于印发《利用外资固稳促优行动方案》的通知（商资发〔2026〕97号）：https://tradeinservices.mofcom.gov.cn/article/zcfb/zcfg/202606/183553.html

Related reading

  • see also: Cross-border data transfer rules (PIPL) / 跨境数据传输规则（个保法）
  • see also: PIPL compliance for foreign companies / 外资企业个人信息保护法合规
  • see also: Stabilizing Foreign Investment Action Plan: 15 measures at a glance / 利用外资固稳促优行动方案：15条举措总览

数据跨境场景化、字段级负面清单

概述

《利用外资固稳促优行动方案》中的一项具体举措指向数据跨境流动。方案于2026年6月16日印发（商资发〔2026〕97号），自2026年7月1日起落地，支持自由贸易试验区、服务业扩大开放试点城市探索场景化、字段级数据出境负面清单，并推动八个行业“重要数据”识别目录国家标准制定。

本文在一般跨境数据传输规则之上，说明外资企业数据出境有何变化。

本文仅为信息性指引；具体负面清单与目录由主管机关及试点城市发布，行动前请核实。

新在何处

场景化、字段级负面清单

  • 自贸区与服务业扩大开放试点城市可在更多领域制定场景化（按业务场景）与字段级（细化至具体数据字段）的数据出境负面清单。
  • 字段级清单精确告知企业哪些数据字段受限出境，而非笼统类别禁止，降低合规传输的不确定性。

八行业重要数据目录

  • 推动工业、电信、地理信息、汽车、医药、种业、航天、民航等八个行业领域重要数据识别目录国家标准制定。
  • 目录发布后，将界定何为”重要数据”，从而适用更严格的跨境管控。

与一般规则的区别

  • 个保法/网络安全一般框架仍然适用：重要、大体量或敏感个人信息出境走标准路径（安全评估、认证或标准合同）。
  • 新方案增加了一层地方、细粒度负面清单：在自贸区或试点城市内，若具体场景与字段不在负面清单上，路径可更清晰、更快。
  • 这是对现有跨境数据传输规则的细化与本地化，而非废止。

下一步建议

  • 按业务场景与具体数据字段梳理跨境数据流。
  • 核查所在自贸区或试点城市是否已发布（或正征求意见）覆盖你方场景的场景化/字段级数据出境负面清单。
  • 判断所在行业”重要数据”目录（发布后）是否将你方数据列为重要数据。
  • 若不在负面清单且非”重要数据”，留存依据并按适用的简化路径办理。
  • 仍有不确定时，走法定标准路径（评估/认证/标准合同）并咨询地方网信部门。
  • 保留记录；负面清单与目录预计将迭代更新。

来源

  • 中华人民共和国中央人民政府（国务院）— 《利用外资固稳促优行动方案》全文：https://www.gov.cn/zhengce/zhengceku/202606/content_7072838.htm
  • 国家互联网信息办公室（官方门户）— https://www.cac.gov.cn
  • 商务部 — 关于印发《利用外资固稳促优行动方案》的通知（商资发〔2026〕97号）：https://tradeinservices.mofcom.gov.cn/article/zcfb/zcfg/202606/183553.html

相关阅读

  • see also: 跨境数据传输规则（个保法） / Cross-border data transfer rules (PIPL)
  • see also: 外资企业个人信息保护法合规 / PIPL compliance for foreign companies
  • see also: 利用外资固稳促优行动方案：15条举措总览 / Stabilizing Foreign Investment Action Plan: 15 measures at a glance
Data Export / 数据出境

Cross-border data transfer rules (PIPL)

  • Under PIPL (in force 1 Nov 2021), personal information may leave China only through one of three mechanisms: a CAC security assessment, a standard contract (SCC), or certification.
    依《个人信息保护法》（2021 年 11 月 1 日施行），个人信息出境仅可经三种机制之一：安全评估、标准合同或认证。
  • The applicable route is driven mainly by who is exporting and the cumulative volume counted from 1 January of the current year.
    所适用的路径主要取决于出境方身份，以及自当年 1 月 1 日起累计的数量。
  • A CIIO exporting any PI, or a non-CIIO above 1 million non-sensitive PI / 10,000 sensitive PI / important data, must undergo the CAC security assessment.
    CIIO 出境任何个人信息，或非 CIIO 超过 100 万人非敏感个人信息 / 1 万人敏感个人信息 / 重要数据的，须申报安全评估。
  • A non-CIIO exporting 100,000–1,000,000 non-sensitive PI (or under 10,000 sensitive PI) uses the standard contract or certification.
    非 CIIO 出境 10 万至不满 100 万人非敏感个人信息（或不满 1 万人敏感个人信息）的，适用标准合同或认证。
  • A non-CIIO providing fewer than 100,000 individuals’ non-sensitive PI in the year is exempt from all three mechanisms.
    非 CIIO 当年累计提供不满 10 万人非敏感个人信息的，免予三种机制。
  • Regardless of route, separate consent from the individual and a Personal Information Protection Impact Assessment (PIPIA, retained ~3 years) are mandatory.
    无论采用何种路径，取得个人的单独同意并完成个人信息保护影响评估（PIPIA，留存约 3 年）均为强制义务。
  • Exemptions exist for contract necessity, cross-border HR management, emergencies, and data outside an FTZ’s published negative list.
    为订立/履行合同的必需、跨境人力资源管理、紧急情况，以及自贸区负面清单之外的数据，可获豁免。

Cross-border data transfer rules (PIPL) | 跨境数据传输规则（个保法）

Overview

For any foreign business operating in China, moving personal information (PI) out of the country — to a global HR system, a overseas parent, or a foreign cloud — triggers China’s cross-border data-transfer regime. The *Personal Information Protection Law* (PIPL, in force since 1 November 2021) makes cross-border PI provision lawful only through one of three recognised mechanisms, and the 2024 *Provisions on Promoting and Regulating Cross-border Data Flows* clarified the thresholds that decide which mechanism applies. The trend is liberalisation, but the obligations are real and the thresholds are quantitative. This article explains the three mechanisms, the volume thresholds, the exemptions, and the baseline duties (separate consent and impact assessment).

Informational guidance only; the rules are technical and evolving, so validate your specific data flows with qualified PRC data-compliance counsel.

The three lawful mechanisms

A processor that needs to provide PI outside China must use one of three routes:

  1. CAC security assessment (安全评估). A review by the Cyberspace Administration of China (the national network regulator, CAC) for the highest-risk transfers.
  2. Standard contract (标准合同, SCC). The processor concludes the official *Personal Information Export Standard Contract* (PIESC) with the overseas recipient and files it with the provincial CAC.
  3. Certification (认证). The transfer is covered by personal-information-protection certification issued by a qualified certification body.

The choice among them is driven primarily by who is exporting and how much PI is involved.

Thresholds that decide the route

Under the 2024 Provisions, the triggers are calculated cumulatively from 1 January of the current year:

  • Security assessment is required when:
  • the exporter is a Critical Information Infrastructure Operator (CIIO) exporting any PI or important data; or
  • a non-CIIO exporter ships important data abroad; or
  • a non-CIIO exporter, since 1 Jan, has cumulatively provided more than 1,000,000 individuals’ PI (non-sensitive) or more than 10,000 individuals’ sensitive PI.
  • Standard contract or certification applies when a non-CIIO exporter, since 1 Jan, has cumulatively provided 100,000 to less than 1,000,000 individuals’ PI (non-sensitive) or fewer than 10,000 individuals’ sensitive PI.
  • Below the thresholds — essentially free: a non-CIIO exporter providing fewer than 100,000 individuals’ non-sensitive PI in the year is exempt from the assessment, the standard contract, and certification.
Exporter / volume (since 1 Jan)Mechanism required
CIIO exporting any PI / important dataSecurity assessment
Non-CIIO, important data, or >1m non-sensitive PI, or >10k sensitive PISecurity assessment
Non-CIIO, 100k–1m non-sensitive PI, or <10k sensitive PIStandard contract or certification
Non-CIIO, <100k non-sensitive PIExempt

Exemptions

The 2024 Provisions also exempt certain transfers from the three mechanisms entirely, including transfers:

  • necessary to conclude or perform a contract with the individual (e.g., cross-border shopping, remittance, payment, flight/hotel booking, visa processing, examinations);
  • necessary for cross-border HR management under lawfully formulated labour rules and collective contracts;
  • necessary to protect an individual’s life, health, or property in an emergency;
  • and, within Free Trade Zones, transfers of data outside the zone’s published negative list (FTZs may set their own negative lists exempting specified data from the mechanisms, filed with the national CAC and data authority).

Baseline duties regardless of route

Whichever mechanism applies, PIPL imposes duties that sit underneath all of them:

  • Separate consent (单独同意). Providing PI abroad generally requires the individual’s separate consent, distinct from general privacy consent.
  • Personal Information Protection Impact Assessment (PIPIA). The processor must conduct a PIPIA before export and retain it (commonly for at least three years).
  • Accountability documentation. Notice to individuals of the overseas recipient, purpose, type of PI, and means of contact; and the overseas recipient must meet PIPL’s protection standards.

What to do next

  • Map your data flows and count, per calendar year, the individuals whose PI you export and whether any is sensitive or important data.
  • Determine your exporter type (CIIO or not) — CIIO status pulls even small transfers into security assessment.
  • If you are below 100k non-sensitive PI, document the exemption rather than assuming you need to file.
  • For the middle band, choose the standard contract (file with provincial CAC) or certification; for the top band, prepare a CAC security assessment.
  • Always obtain separate consent and complete a PIPIA before any export; keep records.
  • If operating in a Free Trade Zone, check the zone’s negative list — it may exempt data categories relevant to you.

Sources

  • Cyberspace Administration of China (CAC) — Provisions on Promoting and Regulating Cross-border Data Flows (2024): https://www.cac.gov.cn/2024-03/22/c_1712776612187994.htm
  • Cyberspace Administration of China (CAC) — Data Export Security Management Policy Q&A (2025): https://www.cac.gov.cn/2025-04/09/c_1745906286623776.htm
  • Cyberspace Administration of China (CAC) — Expert reading on the Personal Information Export Certification scheme (2025): https://www.cac.gov.cn/2025-10/17/c_1762425522602315.htm
  • State Council (gov.cn) — Personal Information Protection Law enacted (2021): https://www.gov.cn/xinwen/2021-08/20/content_5632486.htm

Related reading

  • see also: Copyright & trade secrets for foreign firms / 著作权与商业秘密
  • see also: Hiring local staff: contracts & social insurance / 雇佣本地员工：合同与社保

跨境数据传输规则（个保法）

概述

对任何在华经营的外国企业而言，将个人信息（PI）传出中国——传到全球 HR 系统、境外母公司或外国云——都会触发中国的跨境数据传输制度。《个人信息保护法》（PIPL，2021 年 11 月 1 日施行）规定，个人信息出境仅可经三种认可机制之一合法进行；2024 年《促进和规范数据跨境流动规定》进一步明确了决定采用何种机制的门槛。总体趋势是放宽，但义务真实存在，且门槛是定量的。本文说明三种机制、数量门槛、豁免情形，以及基础义务（单独同意与影响评估）。

本文仅为信息性指引；规则技术性强且不断演进，请就具体数据流咨询合格的中国数据合规律师。

三种合法机制

需要向境外提供个人信息的处理者，必须采用以下路径之一：

  1. 安全评估。 由国家网信部门（CAC）对最高风险传输进行的审查。
  2. 标准合同。 处理者与境外接收方订立官方《个人信息出境标准合同》（PIESC），并向省级网信部门备案。
  3. 认证。 传输由具备资质的认证机构出具的个人信息保护认证所覆盖。

三者之间的选择，主要取决于谁在出关以及涉及多少个人信息。

决定路径的数量门槛

依 2024 年规定，门槛按当年 1 月 1 日起累计计算：

  • 须申报安全评估的情形：
  • 出境方为关键信息基础设施运营者（CIIO），出境任何个人信息或重要数据；或
  • 非 CIIO 出境重要数据；或
  • 非 CIIO 自 1 月 1 日起累计向境外提供超过 100 万人非敏感个人信息或超过 1 万人敏感个人信息。
  • 标准合同或认证适用的情形：非 CIIO 自 1 月 1 日起累计提供 10 万至不满 100 万人非敏感个人信息或不满 1 万人敏感个人信息。
  • 低于门槛——基本自由： 非 CIIO 当年累计提供不满 10 万人非敏感个人信息的，免予安全评估、标准合同与认证。
出境方 / 数量（自 1 月 1 日起）所需机制
CIIO 出境任何 PI / 重要数据安全评估
非 CIIO、重要数据，或 >100 万非敏感 PI，或 >1 万敏感 PI安全评估
非 CIIO、10 万–100 万非敏感 PI，或 <1 万敏感 PI标准合同 或 认证
非 CIIO、<10 万非敏感 PI豁免

豁免情形

2024 年规定还将若干传输整体豁免于三种机制，包括：

  • 为订立或履行个人作为一方当事人的合同所必需（如跨境购物、跨境汇款、跨境支付、机票酒店预订、签证办理、考试服务）；
  • 依依法制定的劳动规章制度和依法签订的集体合同实施跨境人力资源管理所必需；
  • 紧急情况下为保护自然人生命健康和财产安全所必需；
  • 以及，在自由贸易区内，传输该区已公布负面清单之外的数据（自贸区可自定负面清单，将指定数据豁免于三种机制，并报国家网信部门与数据主管部门备案）。

不分路径的基础义务

无论采用何种机制，PIPL 均设定了底层义务：

  • 单独同意。 向境外提供个人信息一般须取得个人的单独同意，区别于一般隐私同意。
  • 个人信息保护影响评估（PIPIA）。 处理者须在出境前完成 PIPIA 并留存（通常至少三年）。
  • 问责文档。 向个人告知境外接收方、目的、个人信息种类与联系方式；境外接收方须达到 PIPL 的保护标准。

下一步建议

  • 梳理数据流，并按自然年统计出境个人信息涉及的人数，以及是否含敏感或重要数据。
  • 判定出境方类型（是否 CIIO）——CIIO 身份即便少量传输也纳入安全评估。
  • 若低于 10 万非敏感 PI，应记录豁免依据，而非默认需要申报。
  • 对中间区间，选择标准合同（向省级网信备案）或认证；对顶部区间，准备网信部门安全评估。
  • 任何出境前均须取得单独同意并完成 PIPIA；保留记录。
  • 若位于自贸区，核查该区负面清单——其可能豁免与你相关的数据类别。

来源

  • 国家互联网信息办公室（CAC）——《促进和规范数据跨境流动规定》（2024）：https://www.cac.gov.cn/2024-03/22/c_1712776612187994.htm
  • 国家互联网信息办公室（CAC）——数据出境安全管理政策问答（2025）：https://www.cac.gov.cn/2025-04/09/c_1745906286623776.htm
  • 国家互联网信息办公室（CAC）——个人信息出境认证制度专家解读（2025）：https://www.cac.gov.cn/2025-10/17/c_1762425522602315.htm
  • 国务院办公厅（gov.cn）——《个人信息保护法》出台（2021）：https://www.gov.cn/xinwen/2021-08/20/content_5632486.htm

相关阅读

  • see also: 著作权与商业秘密 / Copyright & trade secrets for foreign firms
  • see also: 雇佣本地员工：合同与社保 / Hiring local staff: contracts & social insurance
Data Export / 数据出境

Guangdong’s Data-Export Negative List and the First National Data Pilot: Compliance Relief for FIEs

  • In August 2026 Guangzhou, Shenzhen and the Guangdong-Macao In-Depth Cooperation Zone in Hengqin were selected as the first batch of national pilot zones for international cooperation in the data sector, supported by the National Data Administration.
    2026年8月，在国家数据局支持下，广州、深圳及横琴粤澳深度合作区入选国家数据领域国际合作首批试点。
  • The pilot designates Hengqin to build an international data hub focused on Portuguese- and Spanish-speaking countries via Brazil, leveraging the “Macao + Hengqin” combination.
    试点方案赋予横琴立足”澳门+横琴”独特优势，以巴西为突破口、重点面向葡语、西语系国家打造数据领域国际合作新枢纽、新通道。
  • Hengqin completed its first filing case under the data-export negative list in mid-2026: Macao International Airport reported a cross-border data transmission under the “use first, report later” mechanism.
    2026年年中，横琴完成首单数据出境负面清单报告案例：澳门国际机场依据”先用后报”机制申报跨境数据传输。
  • Guangdong’s FTZ data-export negative list (2025 version), covering intelligent equipment manufacturing and personal-credit services, was registered with the CAC and the National Data Administration in May 2026.
    广东自贸试验区数据出境负面清单（2025版）聚焦智能装备制造和个人征信服务业两大领域，2026年5月经国家网信办、国家数据局审核备案发布。
  • Under the “use first, report later” mechanism, enterprises self-assess against the list, transmit data promptly, and file a report within 15 working days; qualified transmissions are exempt from security assessment and standard-contract filing.
    “先用后报”机制下，企业对照清单自主研判、便捷出境，事后15个工作日内报告；符合清单条件的数据免于安全评估、免于标准合同备案。
  • For foreign-invested enterprises in Guangdong, the pilot and negative list reduce the compliance cost of cross-border data flows for manufacturing, logistics, finance and R&D operations.
    对广东外资企业而言，该试点与负面清单降低了制造、物流、金融与研发运营跨境数据流动的合规成本。

Guangdong’s Data-Export Negative List and the First National Data Pilot: Compliance Relief for FIEs | 广东数据出境负面清单与首批国家数据试点：外资企业的合规减负

Why this matters now

Cross-border data flows have been one of the hardest compliance areas for foreign-invested enterprises (FIEs) in China, caught between data-security rules and genuine business needs to transmit HR, manufacturing, logistics and financial data overseas. Two developments in 2026 materially ease that pressure in the country’s most trade-intensive province. First, in May 2026, Guangdong published the data-export management list (negative list, 2025 version) for its pilot free-trade zones, after registration with the Cyberspace Administration of China and the National Data Administration. Second, in August 2026, Guangzhou, Shenzhen and the Hengqin cooperation zone were selected as the first batch of national pilot zones for international cooperation in the data sector. The combination gives FIEs in Guangdong a compliance channel that is substantially cheaper than the default security-assessment route.

How the negative list works

The negative-list approach inverts the default. Under the cross-border data rules, data transfers generally require one of three routes: a data-export security assessment, a standard contract, or certification. A negative list changes the equation: data within the listed scope — as determined by the enterprise’s own assessment against clear data categories — can flow abroad without the assessment or standard-contract burden, subject to filing. Guangdong’s list covers two focus areas, intelligent equipment manufacturing and personal-credit services, spanning important data and personal information across 7 business scenarios and 67 data items. The Hengqin implementing guide issued on 5 June 2026 codifies the “use first, report later” mechanics: an enterprise evaluates its data against the list, transmits compliant data promptly, and files a report within 15 working days. At a policy briefing in Hengqin on 2 July 2026, officials confirmed that data within the list is exempt from security assessment and standard-contract filing.

The international cooperation pilot

The August 2026 selection of Guangzhou, Shenzhen and Hengqin as national data international-cooperation pilots deepens the infrastructure behind the list. The pilot scheme assigns differentiated roles: Guangzhou builds a “facilities-rules-carriers-ecosystem” system; Shenzhen leverages Qianhai to expand cooperation with Singapore, ASEAN and Belt-and-Road countries; Hengqin focuses on the “Macao + Hengqin” advantage and, via Brazil, the Portuguese- and Spanish-speaking world. For FIEs, the pilot matters because it signals sustained official investment in the enabling layer — cross-border data verification platforms, research data networks and a data cross-border service centre that has already advised more than 70 companies — making the negative-list channel more usable over time.

Practical steps for FIEs in Guangdong

  1. Determine whether your data falls in the list. Map the data your entity transmits overseas — production parameters, equipment data, credit data, HR records — and check each category against the Guangdong negative list.
  2. Choose the compliant route. Where data is within the list, use the “use first, report later” mechanism with the 15-working-day filing; where it is outside, fall back to security assessment, standard contract or certification as applicable.
  3. Build self-assessment capacity. Document how your team classifies data and reaches its conclusion, because the mechanism is self-assessment-based and subject to ex-post supervision.
  4. Leverage the Hengqin/Nansha service layer. Use the data cross-border service centre and the implementing guides (Hengqin and Nansha have both issued them) for questions and procedural support.
  5. Watch for industry lists. Other FTZs and pilot areas are issuing negative lists across industries; if your group operates in automotive, healthcare, aviation or other covered sectors, track the applicable provincial list.
  6. Coordinate data, legal and IT. Negative-list compliance touches data classification, security, contracts and systems; run it as a cross-functional programme rather than a compliance checkbox.

Risks and compliance notes

The negative list is a narrowing of obligations, not an exemption from the data-security legal framework. Data outside the list still requires the full route; misclassification by the enterprise can create real liability. The “report later” obligation must be met within 15 working days, and the authorities retain ex-post supervision. FIEs should also remember that personal information crosses the border under the PIPL framework as well — the negative list does not override the PIPL’s consent and minimisation principles, it addresses the administrative route. Finally, because the list is Guangdong-specific, an FIE with operations in multiple provinces should verify the applicable list for each location rather than assuming national application.

广东数据出境负面清单与首批国家数据试点：外资企业的合规减负

为什么当下重要

跨境数据流动一直是在华外资企业最难处理的合规领域之一——一边是数据安全规则，一边是向境外传输人力资源、制造、物流与财务数据的真实业务需求。2026年的两项进展在中国贸易最密集的省份实质性地缓解了这一压力。第一，2026年5月，广东在其自贸试验区发布数据出境管理清单（负面清单，2025版），经国家网信办与国家数据局审核备案。第二，2026年8月，广州、深圳及横琴合作区入选国家数据领域国际合作首批试点。二者结合，为广东外资企业提供了一条在成本上远低于默认安全评估路径的合规通道。

负面清单如何运作

负面清单方法反转了默认逻辑。在跨境数据规则下，数据传输通常需要三条路径之一：数据出境安全评估、标准合同或认证。负面清单改变了等式：清单范围内的数据——由企业对照清晰的数据类别自行判定——可以在不承担安全评估或标准合同负担的情况下出境，仅需备案。广东清单覆盖两大重点领域，智能装备制造与个人征信服务，涵盖重要数据与个人信息，涉及7个业务场景、67个数据项。2026年6月5日发布的横琴实施指南将”先用后报”机制成文化：企业对照清单研判数据、合规数据及时出境、事后15个工作日内报告。2026年7月2日横琴政策宣讲会上，官方确认清单内数据免于安全评估与标准合同备案。

国际合作试点

2026年8月广州、深圳与横琴入选国家数据领域国际合作首批试点，为清单背后的基础设施再添砖瓦。试点方案赋予差异化角色：广州构建”设施—规则—载体—生态”四位一体体系；深圳依托前海拓展与新加坡、东盟及共建”一带一路”国家合作；横琴立足”澳门+横琴”优势、经巴西面向葡语西语世界。对外资企业而言，该试点意味着官方对该使能层的持续投入——跨境数据验证平台、跨境科研数据网络，以及已服务超70家企业的数据跨境服务中心——使负面清单通道随时间推移更可用。

广东外资企业的操作步骤

  1. 判定数据是否落入清单。 梳理本实体向境外传输的数据——生产参数、设备数据、征信数据、HR记录——并逐类对照广东负面清单。
  2. 选择合规路径。 清单内数据走”先用后报”机制、15个工作日备案；清单外数据按适用情形走安全评估、标准合同或认证。
  3. 建设自评估能力。 文件化团队如何分类数据并得出结论，因为该机制以自评估为基础、接受事后监管。
  4. 利用横琴／南沙服务层。 就疑问与程序支持，使用数据跨境服务中心及实施指南（横琴、南沙均已发布）。
  5. 关注行业清单。 其他自贸试验区与试点地区正跨行业发布负面清单；若贵集团涉足汽车、医药、民航等覆盖行业，跟踪适用的省级清单。
  6. 协同数据、法务与IT。 负面清单合规涉及数据分类、安全、合同与系统；作为跨职能项目运行，而非合规勾选项。

风险与合规提示

负面清单收窄的是义务范围，不是豁免数据安全法律框架。清单外数据仍须走完整路径；企业分类错误可能产生真实责任。”事后报告”义务必须在15个工作日内履行，监管部门保留事后监督。外资企业还应记住，个人信息依PIPL框架出境——负面清单不替代PIPL的同意与最小化原则，它处理的是行政路径。最后，由于清单为广东专属，在多省运营的外资企业应核验各地适用清单，而非假设全国统一适用。

Sources

Data Export / 数据出境

FTZ Data-Export Negative Lists Accelerate: Beijing, Hengqin, Chongqing and Nansha Go Live

  • China’s free-trade-zone (FTZ) data-export negative-list mechanism is moving from policy design to live, enforceable cases. 自贸试验区数据出境负面清单机制正从制度设计走向可落地的实际案例。
  • Beijing, Hengqin (Guangdong), Chongqing and Nansha (Guangzhou) have each recorded its first negative-list data-export case. 北京、横琴（广东）、重庆、南沙（广州）均已出现首单负面清单数据出境案例。
  • Beijing’s “Two Zones” negative list (May 2026) adopts a “1+9” design covering 67 business scenarios and 612 data fields across the whole municipality. 北京市”两区”数据出境负面清单（2026年5月）采用”1+9″制度设计，覆盖全市域 67 个业务场景、612 个字段。
  • NongHyup Bank Beijing Branch became China’s first banking institution to achieve compliant data export under the negative-list framework on 2026-08-03. 韩国农协银行北京分行于 2026-08-03 成为全国首家通过负面清单实现数据合规出境的银行业机构。
  • Hengqin’s list centers on a “use-first, report-later” model with a 15-working-day post-hoc reporting window for qualifying data. 横琴清单核心为”先用后报”，符合条件的企业可便捷出境，并于事后 15 个工作日内报告。
  • All published lists are filed and reviewed by the Cyberspace Administration of China (CAC) and the National Data Administration (NDA). 上述清单均经国家网信办、国家数据局审核备案。

FTZ Data-Export Negative Lists Accelerate: Beijing, Hengqin, Chongqing and Nansha Go Live | 自贸试验区数据出境负面清单加速落地：北京、横琴、重庆、南沙首单齐发

Overview

China’s cross-border data governance has entered a new phase in which free-trade zones (FTZs) are permitted to define “negative lists” of data that may NOT be freely exported, while everything else outside the list flows under a lighter, more predictable regime. Throughout 2026 this mechanism shifted decisively from design documents to real, booked cases. Four jurisdictions — Beijing, Hengqin (in Guangdong), Chongqing and Nansha (in Guangzhou) — have each announced a first negative-list data-export case, signalling that the framework is operational rather than aspirational. The confirming authority for the underlying regime, the Cyberspace Administration of China (CAC), together with the National Data Administration (NDA), reviews and files every published list.

Negative-list mechanism

The negative-list approach inverts the traditional burden. Under the older standard-contract filing model, many routine transfers required case-by-case assessment. Under the negative-list model, an enterprise first checks whether its data falls within a listed sensitive category. If it does not, the data can leave in an orderly, secure and freer flow; if it does, the stricter pathways still apply. Each FTZ tailors its list to its local industrial strengths, so the same national principle produces different sector coverage across the country. Lists published so far have appeared in Tianjin, Beijing, Hainan, Shanghai, Zhejiang and Guangdong, among others.

Beijing

Beijing’s “Two Zones” (the integrated national demonstration zone for opening up the service sector and the FTZ) negative list, released in May 2026, follows a “1+9” architecture: one management measure plus nine sector lists, applicable citywide. Building on five previously covered domains, it adds four new ones — medical devices, autonomous driving (intelligent connected vehicles), trade logistics and banking — to reach 67 business scenarios and 612 data fields. The milestone banking case came on 2026-08-03, when NongHyup Bank Beijing Branch (Korea’s NongHyup Bank) became the first banking institution in China to achieve compliant data export under the negative-list framework. Its management mode shifted from standard-contract filing to the secure, orderly free flow enabled by the negative list — a template now watched closely by foreign-invested banks in the Beijing CBD.

Hengqin

Guangdong’s Hengqin FTZ negative list was issued as Yue Wang Ban Fa [2026] No.1 on 2026-05-15, focusing on two sectors: intelligent equipment manufacturing and personal credit reporting services. Its signature feature is “use-first, report-later” (先用后报). An enterprise self-assesses against the list; if its data qualifies, it may export conveniently, then files a report within 15 working days afterward. This reduces upfront friction for manufacturers and credit-service firms while preserving a clear audit trail.

Chongqing

Chongqing’s list — the China (Chongqing) Pilot FTZ Data Export Management List (Negative List) (2025 Edition) — delivered its first beneficiary on 2026-08-11, when Changan Automobile became the first enterprise in the Chongqing FTZ to enjoy the dividends of the negative-list regime. For an automotive exporter, the ability to move R&D and operational data under a predictable negative-list pathway is material to global product development cycles.

Nansha

Nansha, within the Guangzhou portion of the Guangdong FTZ, issued its implementation guide for the data-export negative list on 2026-08-18. The Nansha guide extends coverage to personal credit reporting services and intelligent equipment manufacturing, aligning with the Guangdong provincial direction while providing local implementation detail for enterprises in the Nansha New Area.

Practical steps

For an FDI enterprise weighing the mechanism, the practical sequence is: (1) map your data inventory to the relevant FTZ list by sector and field; (2) confirm whether the data sits outside the listed sensitive categories; (3) if it does, adopt the negative-list pathway and document your self-assessment; (4) where the local rule requires it, complete post-hoc reporting within the statutory window (e.g., 15 working days in Hengqin); (5) keep records defensible, because CAC and NDA review and file every list. Foreign banks, automakers, device makers, logistics and credit-service firms are the earliest movers.

Related reading

The mechanism is part of a broader opening of FTZs and “Two Zones” to foreign investment, with data mobility treated as infrastructure for trade and FDI rather than a pure compliance cost. Enterprises should monitor further list releases from Tianjin, Hainan, Shanghai and Zhejiang, and track CAC guidance for procedural updates.

Legal backbone

The negative-list model is one pillar of China’s three-track cross-border data regime. The backbone instrument is the CAC Provisions on Promoting and Regulating the Cross-Border Data Flows (promulgated in 2024), which, together with the earlier Measures for Data Exit Security Assessment and the Standard Contract Measures, forms a tiered system. The first track is a security assessment for important data and large-volume personal information. The second track is standard-contract filing or certification for routine transfers below the statutory thresholds. The third track is the FTZ negative list, which frees intra-list data from the heavier assessment and filing pathways. For an FDI enterprise, the practical upside is that siting data operations inside an FTZ can convert a transfer that would otherwise require assessment or filing into a self-assessed, list-based flow — provided the data stays outside the listed sensitive categories. The lists themselves remain filed and reviewed by CAC and the NDA, so the lighter pathway is a delegated, not abolished, control. Enterprises should therefore keep both the negative list and the national thresholds in view when designing a cross-border transfer architecture.

自贸试验区数据出境负面清单加速落地：北京、横琴、重庆、南沙首单齐发

概述

我国跨境数据治理已进入新阶段：自贸试验区被允许界定”数据出境负面清单”——即不得自由出境的数据类别，清单之外则适用更轻量、更可预期的管理路径。2026 年以来，这一机制从制度文本走向真实落地的案例。北京、横琴（广东）、重庆、南沙（广州）四个片区均已公布首单负面清单数据出境案例，表明该框架已实际运行而非停留在纸面。作为底层规制的主管部门，国家互联网信息办公室（网信办）与国家数据局对每一份发布的清单进行审核备案。

负面清单机制

负面清单思路颠覆了传统的合规负担逻辑。在过去的标准合同备案模式下，大量常规数据传输需逐案评估；而在负面清单模式下，企业先判断其数据是否落入清单所列的敏感类别。若未落入，数据即可在”安全有序自由流动”的框架下出境；若落入，则仍适用更严格的路径。各自贸试验区结合自身产业优势定制清单，因此同一国家原则在全国呈现不同的行业覆盖。目前天津、北京、海南、上海、浙江、广东等地已相继发布清单。

北京

北京市”两区”（国家服务业扩大开放综合示范区与自贸试验区）数据出境负面清单于 2026 年 5 月发布，采用”1+9″制度设计：1 套管理办法加 9 个领域清单，全市域覆盖。在原有 5 个领域基础上，新增医疗器械、自动驾驶（智能网联汽车）、贸易物流、银行业 4 大领域，覆盖 67 个业务场景、612 个字段。标志性银行业案例出现在 2026-08-03：韩国农协银行北京分行（NongHyup Bank Beijing Branch）成为全国首家通过负面清单实现数据合规出境的银行业机构，其管理模式由标准合同备案转为负面清单框架下的安全有序自由流动，已成为北京 CBD 外资银行重点关注的范本。

横琴

广东自贸试验区横琴片区数据出境负面清单以粤网办发〔2026〕1号于 2026-05-15 发布，聚焦智能装备制造业和个人征信服务业两大领域。其核心特色是”先用后报”：企业对照清单自主研判，符合条件即可便捷出境，并于事后 15 个工作日内报告。这一设计在降低制造企业及征信服务机构前期合规摩擦的同时，保留了清晰的审计痕迹。

重庆

重庆的清单——《中国（重庆）自由贸易试验区数据出境管理清单（负面清单）（2025版）》——于 2026-08-11 迎来首家受益企业：长安汽车成为重庆自贸区首家享负面清单红利企业。对汽车出口企业而言，能在可预期的负面清单路径下移动研发与运营数据，对其全球产品开发周期具有实质意义。

南沙

南沙（中国（广东）自由贸易试验区广州南沙新区片区）于 2026-08-18 发布数据出境负面清单实施指南，将覆盖拓展至个人征信服务业和智能装备制造业，既与广东省方向一致，又为南沙新区企业提供了本地化落地细则。

实务步骤

对于打算运用该机制的外商投资企业，实务顺序为：（1）按行业与字段将数据资产映射到所在片区清单；（2）确认数据是否落在清单所列敏感类别之外；（3）若未落入，即采用负面清单路径并留存自查记录；（4）若当地规则要求，在法定时限内完成事后报告（如横琴为 15 个工作日）；（5）保持记录可抗辩，因为网信办与国家数据局对每份清单实施审核备案。外资银行、车企、设备制造商、物流及征信服务机构是最早的先行者。

延伸阅读

该机制是自贸试验区与”两区”更大范围对外开放的一部分，数据流动被视为贸易与外资的”基础设施”而非单纯的合规成本。企业应关注天津、海南、上海、浙江等地后续清单发布，并跟踪网信办的程序性指引更新。

规制基础

负面清单模式是我国跨境数据”三轨”治理框架的一根支柱。其底层文件是网信办《促进和规范数据跨境流动规定》（2024 年公布），与更早的《数据出境安全评估办法》《个人信息出境标准合同办法》共同构成分层体系。第一轨针对重要数据与大体量个人信息走安全评估；第二轨针对低于法定阈值的常规传输走标准合同备案或认证；第三轨即自贸试验区负面清单，把清单内数据从更重的安全评估与备案路径中解放出来。对外商投资企业而言，务实红利在于：把数据运营布局在自贸试验区内，可使原本需评估或备案的传输转为”清单自检、自由流动”——前提是数据落在清单所列敏感类别之外。清单本身仍由网信办与国家数据局审核备案，因此更轻的路径是”下放”而非”取消”的管控。企业在设计跨境传输架构时，应同时关注负面清单与国家统一阈值两条线。

Sources

  • https://com.gd.gov.cn/gkmlpt/content/4/4897/post_4897452.html （广东省商务厅等：《中国（广东）自由贸易试验区数据出境负面清单管理办法（试行）》及管理清单（负面清单）（2025版），粤网办发〔2026〕1号）
  • https://english.beijing.gov.cn/latest/news/202608/t20260813_4821506.html （北京市政府：全国首个银行业数据出境负面清单备案落地北京 CBD，2026-08-13）
  • https://big5.china.com.cn/gate/big5/zw.china.com.cn/2026-08/07/content_118637480.shtml （新华社/中国网：我国首个银行业数据出境负面清单备案落地北京，2026-08-07）
  • https://www.cac.gov.cn/ （国家互联网信息办公室，数据出境相关规制主管部门）