颁布日期：19980515 　实施日期：19980701 　颁布单位：深圳市人大常委会

　　Article 1 In order to standardize¹ the auction² behaviors, uphold the order of auction market, and safeguard the legal rights and interests of the interested parties and the national interests), these regulations are hereby enacted³ in accordance with the relevant laws and rules including the Auction Law of the People's Republic of China and in the light of the practical conditions of Shenzhen Special Economic Zone (hereinafter referred to as the "Special Zone").

　　Article 2 These regulations shall be applicable to the auction activities of properties in the Special Zone.

　　Article 3 Auction of properties referred herein shall mean that the particular properties is transferred, with trust by an agency of auction, to the bidder⁴ who bids the highest price in a way of public bid or tender.

　　Article 4 Goods of auction referred herein shall mean the properties entrusted⁶ to sell by auction.

　　Article 5 An auctioneer referred herein shall mean that an agency engaging in auction business is built up according to law. A trustee referred herein shall mean a natural person, or a legal person or other associations that entrusts⁷ an auctioneer to sell his properties by auction. A bidder in these regulations means a purchaser who buys the goods of auction at the highest price.

　　Article 6 Engaging in or taking part in auction activities shall obey measures of laws and regulations and follow the principles of open, fair, just and an owner with the highest price.

　　Article 7 Properties of a natural person, a legal person and other associations all may be applicable with reference to these regulations and be sold by auction except for the provisions of Article 8 of these regulations.

　　Article 8 The following properties are not allowed to sell by auction.

　　(1) There is a definition stipulated⁸ not to buy or sell properties ordered by laws and regulations and the People's Government of Shenzhen Municipality (hereinafter referred to as the " Municipal Government").

　　(2) Ownership of properties remains⁹ contentious¹⁰.

　　(3) Jus disponendi of properties is limited or remains contentious.

　　Article 9 Disposition¹¹ of below properties shall be entrusted an auctioneer to sell by auction unless there have other the provisions formulated¹³ by laws and regulations to be applied¹⁴:

　　(1) Properties confiscated¹⁵ by smuggling¹⁶ goods.

　　(2) Properties confiscated and pursued by the judicial¹⁷ office; properties paid as a fine and forfeit¹⁸ and goods pursued unable to turn back.

　　(3) Jus disponendi is limited or remains contentious.

　　(4) Properties are subject to be sold off when the judicial office is enforcing the law.

　　(5) Properties of bona vacantia have been confirmed.

　　(6) Other properties shall be compulsorily¹⁹ sold by auction.

　　Article 10 Relevant properties needing selling by auction shall be judged according to law when a people's court is handling civil affairs, economical and bankrupt cases. The reserve prices of the properties shall be confirmed after evaluation²⁰ made by an evaluating agency setting up in accordance with law and the creditor²¹ shall attend the evaluation. An auctioneer is not allowed to sell the properties by auction if the selling price is not in accordance with the reserve price stipulated by the preceding paragraph. The auction is invalid²² if an auctioneer sells the properties by auction arbitrarily and shall be imposed upon a fine of 1 to 3 times of gains from the auction by administrative²³ agency for industry and commerce; if there are losses to others, the auctioneer shall be responsible for the compensation.

　　Article 11 Properties with special provisions on condition of currency stipulated by laws and regulations and the Municipal Government may, with relative conditions, be sold by auction.

　　Article 12 Cargoes²⁴ and goods supervised by the custom may be sold by auction with an approval in written form from the custom.

　　Article 13 Auction of real estates which has not been paid for the price of the land, structures built against laws and rules and other real estates ordered not to transfer by regulations are not allowed.

　　Real estates formed from getting right to use land through allocation and transfer of administration and the way of reducing the price of the land, after examination and approval of the municipal real estate administrative agency, may be sold by auction according to the provisions of these regulations.

　　Article 14 Auction of works of art and cultural relics²⁵ that are limited in currency shall be with ratification²⁶ from relative cultural administrative agency. If there are rules formulated separately by laws and regulations, such provisions shall be applied.

　　Article 15 Auction of properties of enterprise and intellectual shall follow relative provisions about transferring properties of enterprise and intellectual formulated by laws and regulations.

　　Article 16 If a debtor²⁷ has not paid all his mature debts, his hostage, vivum vadium and properties lien²⁸ may be entrusted an auctioneer to sell by auction by the persons of owning hostage, vivum vadium and properties lien.

　　Article 17 Auction of properties to rent shall be noticed to a tenant²⁹. If a contract of tenancy provides that transferring the properties must pass through the tenant's permission, the auction shall get the tenant's permission in written form. Exceptions to rules formulated separately by laws and regulations.

　　Article 18 Auction of properties owned in common shall get all people's permission in written form.

　　Article 19 If an auctioneer wants to engage in the auction business in the Special Zone, he shall set up an agency of auction.

　　Article 20 Setting up an agency of auction shall be in conformity³⁰ with below conditions:

　　(1) Registered capital shall not be less than RMB 2,000,000;

　　(2) A fixed³¹ field and relative facilities capable for conducting auction business.

　　(3) Professional personnel with relative qualification;

　　(4) An organization and its regulations meeting the demand of relative provisions;

　　(5) A license³² of special business issued by the police office; and

　　(6) Other conditions ordered by the Municipal Government.

　　An auctioneer engaging in the auction of works of art and cultural relics shall have registered capital more than RMB 10,000,000 and been equipped with personnel with professional knowledge of works of art and cultural relics.

　　An auctioneer only may conduct auction business when it meets the conditions and acquire the qualification of a legal person through the approval of the administrative agency for industry and commerce of the Municipal Government.

　　Article 21 Properties stipulated by Article 9 and 10 of these regulations shall be sold by auction in an agency of auction appointed by the Municipal Government.

　　If the agency is in violation³³ of the provisions of the preceding paragraph, it shall be imposed a fine of 1 to 3 times of illegal gains and the illegal gains shall be confiscated by the administrative agency for industry and commerce.

　　Article 22 An agency of auction appointed by the Municipal Government shall adopt a way of an open bid. The Municipality provides the specific measures.

　　Article 23 If an agency of auction appointed by the Municipal Government is subject to one of the following circumstances, the Municipal Government shall withdraw its qualification of auction of properties provided in Articles 9 and 10.

　　(1) Sell goods that must not be sold by auction;

　　(2) Sell properties provided in Article 9 of these regulations without the trust of financial agencies of municipalities and districts;

　　(3) Malice³⁴ allusion³⁵ with a bidder, a trustee or others; and

　　(4) Other acts of auction in violation of laws.

　　If the qualification of auction of an agency of auction has been rescinded³⁶, the agency will not be appointed within 5 years as of the day of being rescinded the qualification.

　　Article 24 An auctioneer has the right to examine goods of auction or ask a client for showing the flaw of the goods if the client knows or shall know.

　　The auctioneer shall show or indicate the flaw of the goods if he knows or shall know to bidders³⁷.

　　If in violation of the provisions of the preceding paragraph with a loss to the purchaser, the auctioneer shall bear the responsibility of the compensation.

　　Article 25 An auctioneer, without a client's permission, is not allowed to entrust⁵ goods of auction to other auctioneer after receiving the client's trust.

　　Article 26 An auctioneer and his staff are not allowed to join a bid, nor to entrust others or be other agency to join the bid.

　　Article 27 An auctioneer shall be responsible for storage of a client's goods of auction that is handed over the auctioneer.

　　Article 28 An auctioneer may collect separately commissions, which is of less than 5% on a concluding price of auction and is defined at a rate based on a principle of decreasing as the concluding price increasing, from a client and bidder unless there are regulations formulated separately by these regulations.

　　An auctioneer of immovable properties collects separately a commission at a rate of less than 3% on the concluding price from a client and bidder.

　　Article 29 An appointed agency by the Municipal Government selling the properties referred in Article 9 of these regulations by auction is not allowed to collect a commission from a client.

　　Article 30 If an auctioneer wants to collect a commission or other charges from a purchaser, he shall notice bidders before selling by auction and list the proportion of a commission, lever, methods of the calculation and amounts of other charges.

　　If in violation of the preceding paragraph, the auctioneer is regarded as giving up the requirement of collecting the commission or other charges and not allowed to collect the commission or other charges from the purchaser.

　　Article 31 An auctioneer may draw money from the money of goods of auction or conduct the right to properties lien to the goods of auction if a client or a purchaser does not pay the commission or charges.

　　Article 32 The following acts of malice collusion shall not be conducted between bidders, bidders and an auctioneer, and bidders and clients.

　　(1) Controlling biding³⁸ prices;

　　(2) Appointing prices;

　　(3) Appointing purchasers; and

　　(4) Other acts of malice collusion.

　　If in violation of the provisions of the preceding paragraph, it will be subject to a punishment imposed by the administrative agency for industry and commerce according to Article 65 of the Law of Auction of the People's Republic of China.

　　Article 33 A client shall share jus disponendi to goods of auction.

　　Article 34 A client may entrust, by himself or by his agency, an auctioneer to conduct the auction business.

　　Article 35 Properties referred in the provisions of Article 9 of these regulations shall be uniform handed in the store of public properties and subject to uniform management of the municipal and district financial agencies.

　　The Municipality formulates³⁹ the managing measures of the store of public properties.

　　Article 36 Properties of handing in the store of public properties are sold by auction by an agency of auction appointed by the Municipal Government entrusted by the municipal and district financial agencies.

　　The properties referred in the first paragraph of Article 10 of these regulations are sold by auction by an agency of auction appointed by the Municipal Government entrust uniformly by the People's Court.

　　Article 37 A unit that has sold arbitrarily properties, which is referred in Article 9 of these regulations, without the trust of the municipal and district financial agencies, is responsible for recovering the properties that have been conducted by the unit. The auctioneer shall be imposed a fine of 1 to 3 times of illegal gains collected from the auction and the illegal gains shall be confiscated by the administrative agency for industry and commerce. Where there are losses to the State or others, the auctioneer shall be responsible for the compensation.

　　Where any administrative law enforcement agency and its staff in violation of the provisions of these regulations, the administrative liabilities of the persons that bear responsibilities and the persons directly responsible shall be investigated. Where there are losses to the State, they shall be responsible for the compensation.

　　Article38 The client shall show or indicate the flaw of the goods if he knows or shall know to the auctioneer.

　　If in violation of the provisions of the preceding paragraph with a loss to the auctioneer, the client shall bear the responsibility of the compensation.

　　Article 39 A client may conform the reserved price of goods of auction. An auctioneer is not allowed to sell the goods at the price of less than the reserved price. The client and auctioneer shall keep confidentiality⁴⁰ of the reserved price.

　　If the auctioneer leaks out the reserved price by the lowest price and open-call price or other ways, the auction is invalid. The auctioneer shall be imposed a fine of 3 times of gains from the auction by the administrative agency for industry and commerce. Where there are losses to others, the auctioneer shall be responsible for the compensation.

　　Article 40 The auction of the state-owned assets and the properties referred in Article 9 of these regulations shall conform the reserved price after evaluation according to law.

　　Article 41 A client may make an agreement on open-call price with an auctioneer. If there is no the agreement, the auctioneer may make the open-call price in accordance with the situation of the goods of auction. If the auctioneer may make the open-call price, the open-call price shall be not lower than the reserved price.

　　Article 42 A client is not allowed to join the bid.

　　Article 43 A client shall hand over the goods of auction according to the provisions of the Contract of Entrusting⁴¹ Auction.

　　Any client who, in violation of the preceding paragraph, causes losses to the auctioneer and purchaser shall be responsible for the compensation.

　　Article 44 A client may take the money of the goods of auction after transaction of auction.

　　If the client is unable to take the money of the preceding paragraph or has not taken the money timely, he may recover it from the auctioneer.

　　Article 45 After the transaction of auction, the client shall conduct, or assist the purchaser to handle, the procedures of transfers of right of properties of the goods of auction and alteration⁴² of certificates and licenses⁴³ and pay relative taxes and charges.

　　Article 46 A bidder may join the bid or entrust his agent to do.

　　Article 47 If the goods of auction is with respect to provisions to monopoly and special business formulated by laws and administrative regulations and the Municipal Government and others limited in currency or use, a bidder shall be subject to relative qualifications or conditions.

　　Article 48 A bidder has the right to examine the goods of auction and consult relative files of auction.

　　The bidder's participation⁴⁴ of answering the bid is regarded as having exercised the right of preceding paragraph and accepting the present situation of the goods.

　　Article 49 A bidder is not allowed to withdraw his answering price to the bid as soon as he answers the bid. The binding⁴⁵ force of the answering price will be removed until another bidder raises a higher answering price.

　　Article 50 The bidder who answers the bid with the highest price gets the goods of auction.

　　Article 51 If the loss of a purchaser is caused by the fact that he is unable to get the goods of auction according to the agreement, he may ask the auctioneer for compensation.

　　If the purchaser does not take the goods of auction according to the agreement, he shall be responsible for paying the thereof storage charges.

　　Article 52 If a purchaser does not pay the money of the goods of auction according to the agreement, he shall be responsible for breaking the contract.

　　Article 53 If a purchaser refuses to pay the money of the goods of auction, the auctioneer may terminate the Confirmation⁴⁶ of Transaction of Auction and make auction again on the said goods. The charges of selling the said goods by auction shall be bore by the said purchaser. If the money of the auction at the second time is lower than the money of the first time, the said purchaser shall make up price differences between two auctions⁴⁷.

　　Article 54 A client shall submit the following documents as entrusting auction:

　　(1) A client's identifications or certifications of lawful⁴⁸ qualification, testimonial of legal representative and power of attorney of legal person;

　　(2) Certificates of ownership of the goods of auction and jus.

　　(3) Materials of the goods of auction.

　　Article 55 The following documents shall be submitted when auction of trust is raised according to the provisions of Article 29 of these regulations:

　　(1) Instruments of law that has been taken effect;

　　(2) Materials of the goods of auction.

　　Article 56 An auctioneer shall examine the documents handed over by the client; if they meet the conditions of auction, the auctioneer shall sign the Contract of Entrusting Auction with the client.

　　Article 57 The Contract of Entrusting Auction shall include the following content:

　　(1) Names and addresses of the client and auctioneer;

　　(2) Names of the goods of auction, quantities (area), specifications⁴⁹, quality, address of storage (located place), degree of depreciation⁵⁰ (the service life), usage and situation of occupation;

　　(3) Ways of auction;

　　(4) Reserved prices of the goods of auction;

　　(5) Commissions and other charges and the ways of their payments;

　　(6) The way of payment of the goods of auction and the deadline;

　　(7) Deadline of auction;

　　(8) Time, way and responsibility of storage of handing the goods of auction over;

　　(9) Conditions of stopping and ending progress of auction;

　　(10) Responsibilities of breaking contract and solving measures of dispute;

　　(11) Expiration⁵¹ of contract; and

　　(12) Other items needing to agree on.

　　Article 58 An auctioneer may, after the client's permission, send the goods of auction to the relative agency to appraise⁵², examine, as he considers as necessary. The relevant charges are bore by the client.

　　If the appraisal⁵³ and examining conclusion of preceding paragraph is not consistent with the Contract of Entrusting Auction, the auctioneer may ask for altering or removing the contract.

　　Article 59 If a client requires the auctioneer to keep his name as a secret when the auctioneer accepts his trust, the auctioneer shall do it for the client.

　　Article 60 An auctioneer shall release the notice of auction 7 days before the day of the auction. The notice of the auction shall include the following content:

　　(1) Time and site of the auction;

　　(2) Goods of auction;

　　(3) Qualifications or conditions of bidders; and

　　(4) Other items that shall be released.

　　Article 61 Bidders who join the bid shall hand in the following documents:

　　Article 62 If bidders require the auctioneer to keep their titles (or names) as a secret, the auctioneer shall do it for them.

　　Article 63 In the period of the notice, the auctioneer shall offer materials of auction and essential conditions for examining the goods of auction. The materials of auction shall include the following content:

　　(1) The content stipulated in Item2 of Article 48 of these regulations;

　　(2) The payment of the goods of auction and its deadline;

　　(3) Commissions and other charges of the auction;

　　(4) Ways of auction;

　　(5) Taxes and charges that shall be paid as the goods of auction transferred; and

　　(6) Other items that shall be told.

　　The auctioneer shall guarantee the trueness of the materials of auction.

　　Any auctioneer who, in violation of the first and third paragraphs of this Article, causes losses to bidders and the purchasers shall be responsible for the compensation.

　　Article 64 The auctioneer shall carry out the auction in a way that has been agreed on and at the time and site confirmed in the notice.

　　Article 65 The auctioneer who, shall make a special statement in advance and show ratified⁵⁴ documents of relative agency and explain relative procedures that shall be conducted and charges that shall be paid after the transaction of the auction, sells the properties of the provisions of Article 11, 12, 13, 14 and 15 of these regulations by auction.

　　If the auctioneer is in violation of the provisions of preceding paragraph and has made the purchaser losses, the auctioneer shall be responsible for the compensation.

　　Article 66 The auctioneer may adopt the following ways to conduct the auction:

　　(1) Auction of appraising⁵⁵ low price, which means that the auctioneer announces the open-call price of the goods of auction and bidders contest to quote and the transaction is done at the highest quoted price;

　　(2) Auction without an appraising price, which means that the auctioneer does not announce the open-call price of the goods of auction and bidders answer the bid of the goods of auction directly and the transaction is done by at the highest quoted price;

　　(3) Auction of appraising low price, which means that the auctioneer announces the open-call price of the goods of auction and there are no bidders to quote and the auctioneer lowers the quote gradually, the transaction is done at the first quoted price.

　　If there are two or more than two persons who answer the bid in case of the third paragraph of the preceding item, the auctioneer shall take the said answered bid as open-call price, and conduct the auction in the method prescribed in the first paragraph of the preceding item. If there are no persons answer the bid, it shall be the sponsor of the auction who shall decide the purchaser.

　　Article 67 The properties referred to in Article 9 of these regulations shall not be auctioned⁵⁶ by tender.

　　An auctioneer may auction by tender.

　　The action by tender referred in the preceding paragraph shall mean that the auctioneer announces information relating to the goods of auction in advance, the buyer posts the quotation⁵⁷ in seal to the auctioneer in a time limit, and the auctioneer opens the tender in public in a time limit, and the winner shall be the one offering the highest quotation.

　　If two or more persons offer the highest quotation as described in the preceding paragraph, the bargainee shall be the one firstly posts his quotation; if two or more person offer the highest quotation and post their quotation in a same time, the bargainee shall be the one whose tender is firstly opened.

　　Article 68 The auctioneer shall make a record of the auction when carrying out the auction. The sponsor of the auction, the recorder and the purchaser shall sign their names on the record of the auction.

　　Article 69 The purchaser shall sign the Confirmation of Transaction of Auction with the auctioneer on the spot when there is a transaction.

　　Article 70 The Confirmation of Transaction of Auction shall include the following content:

　　(1) Names and addresses of the auctioneer and purchaser;

　　(2) Content stipulated in item2 of Article 46;

　　(3) Money of the goods of auction, the way of payment and the deadline;

　　(4) Time, place and way of handing over the goods of auction;

　　(5) Bargain money;

　　(6) Commissions and the way of payment;

　　(7) Time and address of transaction of auction;

　　(8) Responsibilities of breaking contract and solving measures of dispute;

　　(9) Other items needing to agree on.

　　Article 71 The Confirmation of Transaction of Auction has the legal effect as well as the Contract of Business of Real Estates both signed legally according to these regulations after the transaction of immovable properties of auction.

　　The administrative agency and the administrative agency of real estates of the Municipal Government separately make out the samples of texts of the Confirmation of Transaction of Auction of Movable Properties and the Confirmation of Transaction of Auction of Immovable Properties.

　　Article 72 The purchaser shall pay the bargain money at an agreed rate to the auctioneer when there is a transaction of the auction except for immediate⁵⁸ clearing.

　　Article 73 The relative agency shall conduct the transfer of rights of properties of the goods of auction and the alteration of certificates and licenses relaying on the vouchers⁵⁹ of the auction issued by the auctioneer.

　　Article 74 If the goods of auction needs transporting out the Special Zone, the relative agency shall conduct relevant procedures relaying on the vouchers of the auction issued by the auctioneer.

　　Article 75 The client and the auctioneer may agree on a simple and easy procedure of the auction if the goods of auction are apt to breakable, rotten and not good at storage for a long time.

　　Article 76 The progress of auction stops before the transaction of auction when any of the following cases occurs:

　　(1) A third party brings out objection on jus disponendi of the goods of auction;

　　(2) The client has the right to notice the auctioneer to stop the auction in written form if he has a good cause;

　　(3) The stop of the auction temporary dues to accident or force majeure; or

　　(4) Other cases may cause the stop to the progress of auction according to law.

　　The progress of the auction shall continue when the reasons of the stops have been removed.

　　Article 77 The progress of auction is end before the transaction of auction when the following cases occur:

　　(1) The people's court and administrative organs confirm that the client has no jus disponendi of the goods of auction;

　　(2) The client has the right to notice to the auctioneer to end the auction in written form if he has a good cause;

　　(3) The goods of auction is destroyed or lost;

　　(4) The auction is unable to be carried out because of accident or force majeure;

　　(5) Other cases may cause the end to the progress of auction according to law.

　　Where the said goods of auction is sold by auction again after the progress of the auction ends, the procedure of the auction shall be conducted again.

　　Article 78 Where stopping or ending the progress of the auction by the client causes the bidders and auctioneers losses, the client shall be responsible for the compensation. If the fault is on the auctioneers, the auctioneers shall bear relative responsibilities of the compensation.

　　Article 79 The auction shall be invalid if any of the following cases occurs after the transaction of the auction:

　　(1) The goods of auction belongs to the properties that must not be allowed to sell by auction stipulated by Article 8 of these regulations;

　　(2) The clients, auctioneers and purchaser are not in conformity with relative qualifications or conditions of the provisions of these regulations;

　　(3) The heavy loss of the purchaser is caused by the non-authentic expressed of the materials of the auction;

　　(4) The auctioneer is in violation of the progress of the auction and does not sell the goods of auction according to the agreement;

　　(5) Bidders, or a bidder and an auctioneer, or clients malignantly⁶⁰ colluding and controlling the biding price;

　　(6) The auctioneer or its staff violate Article 24 of these regulations;

　　(7) Other circumstances are in violation of the principle of open, fair and just during the auction;

　　(8) The properties referred in Article 11, 12, 13, and 14 of these regulations have been sold by auction without the ratification and permission of relative agency;

　　(9) Relative provisions about the commissions of these regulations are violated;

　　(10) The auction that shall be stopped or ended is not stopped or ended;

　　(11) Other acts of carrying out the auction are in violation of these regulations.

　　Article 80 Anyone in violation of Items (1) and (3) of Article 8, Articles 11, 12, and 14 and Items (9) and (10) of Article 79 shall be confiscated against the illegal gains from the auction and subject to a fine of 1 to 3 times of the illegal gains by the administrative agency for industry and commerce.

　　Article 81 Any agency of auction which, in violation of the provisions of Item (1) of Article 8 of these regulations, disturbs the security and management of special business, shall be confiscated against its commissions collected from the auctions according to law and subject to a fine of 1 to 3 times of the commission by the municipal public security organ; if the circumstance is serious, shall have its license of special business revoked⁶¹.

　　Any agency of auction in violation of the provisions of Article 13 of these regulations shall be confiscated against its commissions collected from the auctions and subject to a fine of 1 to 3 times of the commissions by the municipal real estate administrative agency.

　　Article 82 The invalid auction shall have no lawful effect as of the beginning of auction.

　　If the auctioneer, client or purchaser's fault causes the auction invalid, one or all parties who make the fault shall be responsible for making up other parties and the third party's losses.

　　Article 83 The Municipal Government may formulate¹² implementing⁶² rules according to these regulations.

　　Article 84 These regulations shall take effect as of 1st July 1998.

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