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Measures for Census of the Securities and Futures Industry for the Third National Economic Census [Effective]
第三次全国经济普查证券期货业普查办法 [现行有效]
【法宝引证码】

Measures for Census of the Securities and Futures Industry for the Third National Economic Census 

第三次全国经济普查证券期货业普查办法

(Issued by the China Securities Regulatory Commission in June 2019) (中国证监会发布 2019年6月)

Chapter I General Provisions 

第一章 总则

Article 1 These Measures are developed under the Statistics Law of the People's Republic of China, the Regulation on National Economic Census (Order No. 415, State Council of the People's Republic of China), and the Notice by the State Council of Launching the Third National Economic Census (No. 60 [2012], State Council) and the Proposal for the Third National Economic Census.   第一条 根据《中华人民共和国统计法》、《全国经济普查条例》(中华人民共和国国务院令第415 号)、《国务院关于开展第三次全国经济普查的通知》(国发[2012]60 号)和《第三次全国经济普查方案》,制定本办法。
Article 2 The census is intended to gain a clear understanding of the basic information of various entities in the national securities and futures industry, comprehensively possess information on the development scale, structure and benefits of the securities industry, establish a census database and basic entity directory for the securities and futures industry, provide basic information for research on the formulation of development plans for the securities and futures industry and improvement of the government's decision and management level, and provide information services for the public.   第二条 普查目的是摸清全国证券期货业各类单位的基本情况,全面掌握证券业的发展规模、结构、效益等情况,建立证券期货业普查数据库及基本单位名录库,为研究制定证券期货业发展规划,提高政府决策、管理水平提供基础信息,为社会公众提供信息服务。
Article 3 The census shall be conducted under the unified leadership of the Leading Group for the Third National Economic Census of the State Council, its Office, the Leading Group for Census of the Securities and Futures Industry for the Third National Economic Census, and its Office. The China Securities Regulatory Commission ("CSRC") shall, together with relevant entities, set up the Leading Group for Census of the Securities and Futures Industry for the Third National Economic Census and its Office and, under the unified leadership of the Leading Group for the Third National Economic Census of the State Council and its Office, be responsible for organizing the implementation of the census of the securities and futures industry. The Office shall be a standing establishment under the Market Regulatory Department of the CSRC, and the Market Regulatory Department shall be fully responsible for guiding the census business.   第三条 普查在国务院第三次全国经济普查领导小组及其办公室和第三次全国经济普查证券期货业普查领导小组及其办公室的统一领导下进行。中国证监会联合相关单位设立第三次全国证券期货业普查领导小组及其办公室,在国务院第三次全国经济普查领导小组及其办公室的统一领导下,负责证券期货业普查的组织实施。办公室常设于中国证监会市场监管部,市场监管部全面负责普查业务指导。
The CSI Capital Market Operation Statistical Monitoring Center shall have responsibility for the specific implementation of the census. 普查的具体实施由中证资本市场运行统计监测中心负责。
Article 4 The census shall be jointly funded by the Office of the Third National Economic Census under the State Council and the CSRC. Funds for the census shall be managed in a unified manner, and expenditures shall be strictly controlled.   第四条 普查所需经费由国务院第三次全国经济普查办公室、中国证监会共同负担。普查经费应当统一管理,从严控制支出。
Chapter II Scope, Objects and Time of Census 

第二章 普查范围、对象和时间

Article 5 The objects of the census shall be all legal entities involved in the securities and futures industry and their units of industry activities within the territory of the People's Republic of China, specifically including:   第五条 普查的对象是在中华人民共和国境内从事证券期货业的全部法人单位及其产业活动单位。具体包括:
(1) the head office of the CSRC and its dispatched offices; (一)中国证券监督管理委员会机关及其派出机构;
(2) all exchanges, subordinate entities and associations; (二)各交易所,各下属单位,各协会;
(3) securities companies and their branch offices and sales departments; fund management companies and their branch offices; futures companies and their branch offices and sales departments; and securities and futures investment consulting companies and their branch offices; (三)证券公司及其分公司、营业部,基金管理公司及其分支机构,期货公司及其分公司、营业部,证券期货投资咨询公司及其分支机构;
(4) representative offices of overseas broker-dealer institutions in China; and (四)境外证券机构驻华代表处;
(5) legal entities otherwise engaged in securities and futures activities. (五)其他从事证券期货活动的法人单位等。
The definitions and classification of legal entities and their units of industry activities shall be under the Statistical Units and Specific Treatment Measures developed by the National Bureau of Statistics. 法人单位及其产业活动单位的概念及划分办法按国家统计局制定的《统计单位划分及具体处理办法》执行。
The census of legal entities engaged in non-securities and futures business activities affiliated to legal entities in the securities and futures industry and their affiliated units of industry activities shall be implemented by the third national economic census institutions of local people's governments, and the third national economic census, with the assistance of the Office of Census of the Securities and Futures Industry for the Third National Economic Census. 证券期货业法人单位所属从事非证券期货业务活动的法人单位及所属产业活动单位的普查,由地方人民政府的第三次全国经济普查机构负责实施,第三次全国经济普查证券期货业普查办公室予以协助。
Article 6 Legal entities in the securities and futures industry shall be surveyed by the method of complete enumeration.   第六条 对各证券期货业法人单位,采用全面调查的方法。
The data on the head office of the CSRC and its dispatched offices, all exchanges, all subordinate legal entities and all associations shall be directly submitted to the Office of Census of the Securities and Futures Industry for the Third National Economic Census. 证监会机关及其派出机构、各交易所、各下属法人单位和各协会数据直接上报第三次经济普查证券期货业普查办公室。
For any other legal entity in the securities and futures industry, the local office of the CSRC in the jurisdiction where its legal person is located shall be responsible for the census arrangement, review and demand for submission of data, and other work, and the Office of Census of the Securities and Futures Industry for the Third National Economic Census shall be responsible for final inspection. 其他证券期货业法人单位由其法人所属辖区的证监局负责普查布置和数据催报、审核等工作,第三次经济普查证券期货业普查办公室负责最终的验收。
A multi-legal entity combination shall not be a census unit, and each legal entity shall be registered separately. 多法人联合体不能作为一个普查单位,应分别对每个法人单位进行登记。
Article 7 A legal entity in the securities and futures industry or the representative office of any overseas broker-dealer institution in China shall establish a census office or designate a special person to be responsible for its census work.   第七条爬数据可耻 证券期货业法人单位及境外证券机构驻华代表处应设立普查办公室或指定专人负责本单位的普查工作。
Article 8 The standard time point for the census shall be December 31, 2013, and the reference period shall be from January 1 to December 31, 2013.   第八条 普查标准时点为2013 年12月31日,普查时期为2013年1月1日-12月31日。
Census registration and data collection shall be conducted from January 1 to March 31, 2014. 普查登记和数据采集工作从2014年1月1日-3月31日。
Chapter III Forms and Main Contents of Census 

第三章 普查表式及主要内容

Article 9 The contents of the census shall be the basic information, financial status and the like of legal entities in the securities and futures industry, units of industry activities, and other activities of broker-dealer institutions. The specific census forms shall include Basic Information of Unit, Employees and Total Remuneration, Enterprise Science and Technology Projects and Scientific and Technological Activities, Institutional Cross-Holding of Bonds and Shares, Revenue of Broker-Dealer Company, Fund Custody and Transaction Information, Balance Sheet, Profit and Expense Statements, Cash Flow Statements, Owner (Shareholder) Equity Change Statements, and Professional and Administrative Expense Statements for Fund Management Enterprise. (See Annexes for specific forms)   第九条 普查内容为证券期货业法人单位及产业活动单位的基本情况、财务状况等,及证券机构所属的其他活动情况。具体包括的普查表有:《单位基本情况》、《从业人员及工资总额》、《企业科技项目及科技活动情况》、《机构相互持债持股情况》、《证券公司营业收入情况》、《基金托管及交易情况》、《资产负债表》、《利润和费用明细表》、《现金流量表》、《所有者(股东)权益变动表》、《基金管理业企业业务及管理费用明细表》等。(具体表式见附件)
Article 10 The census shall be governed by the harmonized standards and directories developed by the state. The main standards shall include the Rules of Coding for the Representation of Organization (GB11714-1997), the Rules of Statistical Zoning Codes and Urban and Rural Dividing Codes (2013), the Industrial Classification for National Economic Activities (GB/T 4754-2011), the Provisions on Classification of Enterprise Registration, the Provisions on Statistical Division of Economic Components, the Unit Subordinate Relationship Codes, and the Statistical Units and Specific Treatment Measures (No. 96 [2011], National Bureau of Statistics).   第十条 普查采用国家制订的统一标准和目录。主要标准包括:《全国组织机构代码编制规则》(GB11714-1997)、2013 年《统计用区划代码和城乡划分代码编制规则》、《国民经济行业分类》(GB/T 4754-2011)、《关于划分企业登记注册类型的规定》、《关于统计上划分经济成分的规定》、《单位隶属关系代码》、《统计单位划分及具体处理办法》(国统字[2011]96 号)等。
Chapter IV Manners of Organization and Implementation 

第四章 组织实施方式

Article 11 The Leading Group for Census of the Securities and Futures Industry for the Third National Economic Census and its Office shall uniformly develop census measures as required by the Plan for the Third National Economic Census issued by the Office of the Leading Group for the Third National Economic Census of the State Council and uniformly give arrangements and training to all relevant entities and authorities.   第十一条 第三次全国经济普查证券期货业普查领导小组及其办公室按照国务院第三次全国经济普查领导小组办公室发布的《第三次全国经济普查方案》的要求统一制定普查办法,并向各相关单位、部门统一布置和培训。
The Office of Census of the Securities and Futures Industry for the Third National Economic Census shall uniformly arrange, collect and process census data. 第三次全国经济普查证券期货业普查办公室统一布置、收集、处理普查数据。
The local offices of the CSRC shall set up census leading groups and offices as needed by the work. 各证监局根据工作需要成立普查领导小组及办公室。
All entities shall assign special personnel to be responsible for filling in the census forms for the entities. 各单位指派专人负责本单位的普查报表填报工作。
Data shall be collected through the National Networked Direct Reporting System for the Securities and Futures Industry. 数据通过全国证券期货业联网直报系统采集。
The Office of Census of the Securities and Futures Industry for the Third National Economic Census shall gather and provide census information for the Office of the Third National Economic Census as required. 第三次全国经济普查证券期货业普查办公室按要求对普查资料进行汇总后向第三次全国经济普查办公室提供。
Article 12 The members of the Leading Group for Census of the Securities and Futures Industry for the Third National Economic Census and its Office shall have the right to inspect the original accounting and statistical materials of the objects of the census and the right to require census units to correct the problems in their census forms.   第十二条 第三次全国经济普查证券期货业普查领导小组及其办公室成员有权查阅被普查对象的会计、统计原始资料;有权要求被普查单位更正其普查表存在的问题。
Article 13 (Division and Process of Tasks of Census Work)   第十三条 普查工作任务分工和流程。
All the dispatched offices of the CSRC shall actively cooperate with local census institutions and assist the local census institutions in carrying out the census registration work in relation to all census units in the securities and futures industry in the census area and the census data collection work in relation to deemed legal entities and units of industry activities. All the dispatched offices of the CSRC shall participate and cooperate in the relevant data quality assessments organized by census institutions at all levels. 证监会各派出机构要积极配合各地方普查机构,协助地方普查机构开展对普查区内全部证券期货业普查单位的普查登记工作,以及视同法人单位和产业活动单位的普查数据采集工作。参与和配合各级普查机构组织的相关数据质量评估工作。
Division of labor for the census work: 普查工作分工。
(1) Census registration. A census institution shall comprehensively register legal entities in the securities and futures industry, deemed legal entities and units of industry activities in its jurisdiction, by using electronic terminal equipment (PDA) for GPS positioning, verifying information on record, taking photograph of business licenses, tax registration certificates, organization code certificates and other related certificates and licenses, or otherwise. (一)普查登记。由其经营地普查机构对证券期货业法人单位、视同法人单位和产业活动单位进行全面登记,包括使用电子终端设备(PDA)进行GPS定位、底册信息核查以及营业执照、税务登记证和组织机构代码证等相关证照拍照等。
(2) Collection of census forms. Census forms shall be created for legal entities in the securities and futures industry, deemed legal entities and units of industry activities and respectively collected by the Office of the Leading Group for Census of the Securities and Futures Industry for the Third National Economic Census and local census institutions. Specifically, a legal entity shall fill in the Basic Information Form for Legal Entity of the Financial System and other census forms, and the Office of the Leading Group for Census of the Securities and Futures Industry for the Third National Economic Census shall be responsible for their collection; and census data on deemed legal entities and units of industry activities shall be collected by census institutions in the places of their business using electronic terminal equipment, and the census forms in relation thereto shall be numbered and filled in as required by the plan issued by the Office of the Leading Group for the Third National Economic Census of the State Council. (二)普查表采集。对证券期货业法人单位、视同法人单位和产业活动单位分别设置普查表,分别由证监期货业普查办公室和地方普查机构采集。其中,法人单位需填报《金融系统法人单位基本情况表》及其他普查表式,由证券期货业普查办公室负责采集;视同法人单位和产业活动单位的普查数据由其经营地普查机构使用电子终端设备进行采集,其普查表表号及具体填报要求按国务院第三次全国经济普查领导小组办公室印发的方案要求进行。
The census work shall be conducted in six stages. 普查工作分为6个阶段进行。
(1) The preparatory stage of the census (May–December 2013), covering plan development, training and the development of the networked direct reporting system. (一)普查准备工作阶段(2013年5-12月)。包括方案的制定和培训,联网直报系统的开发。
(2) The stage of filling in census forms (January–March 2014). The objects of the census shall log in to the National Networked Direct Reporting System for the Securities and Futures Industry to fill in census forms as required. (二)普查表填报阶段(2014年1月-3月底)。普查对象按规定登录全国证券期货业联网直报系统平台填报普查表。
(3) The stage of review, assessment and final inspection of census data (February–the end of April 2014). (三)普查数据审核、评估、验收阶段(2014年2-4月底)。
(a) Review and assessment. All local offices of the CSRC shall review census forms on the data collection and processing platform and return them to enterprises for revision if any problem is discovered. 1.审核和评估。各证监局在数据采集处理平台上对普查表进行审核,发现问题退回至企业修改。
(b) Final inspection of data. Departments charged with specific business (including Market Department, Institutional Department, Fund Department, and Monitoring Center) shall organize the final inspection of data from entities under their jurisdiction according to the unified requirements and conduct comprehensive review in relation to enterprises that fail to pass the inspection until they comply with the requirements. 2.数据验收。业务主管部门(市场部、机构部、基金部、监测中心等)对管辖单位数据按统一要求组织开展数据验收工作,对验收不合格的企业,进行全面复查,直至符合规定。
(4) The stage of making a backup of census data, reorganizing the census database and basic entity directory and submitting census data (April–June 2014). Census information shall be submitted to the Office of the Leading Group for the Third National Economic Census of the State Council before April 15, 2014. (四)普查数据备份、普查数据库和基本单位名录库整理和普查资料上报阶段(2014年4-6月)。2014年4月15日前向国务院第三次全国经济普查领导小组办公室报送普查资料。
(5) The stage of releasing main data (July 2014). The main results of the census of the securities and futures industry shall be released in the form of a gazette according to the relevant requirements. (五)主要数据发布阶段(2014年7月)。按相关要求以公报的形式向社会发布证券期货业普查主要成果。
(6) The stage of development and application of census results (July 7, 2014–July 7, 2015). (六)普查成果的开发和应用阶段(2014年7-2015年7月)。
(a) The directory of basic entities in the securities and futures industry shall be comprehensively updated, so as to lay a foundation for routine statistical surveys. 1.全面更新证券期货业基本单位名录库,为常规统计打下基础。
(b) A thematic analysis and research shall be conducted on the census of the securities and futures industry. According to census information, a special analysis and research shall be conducted on burning issues with which all sectors of society are concerned. 2.开展证券期货业普查专题分析研究。依据普查资料,对社会各界所关心的热点问题进行专题分析研究。
Article 14 According to usage, after the census work is over, the relevant data shall be submitted on a quarterly basis, and the Basic Information Form shall be updated in a timely manner.   第十四条 根据以往惯例,普查工作结束后,按季度报送相关数据,并及时更新基本情况表。
Chapter V Census Discipline and Quality Control 

第五章 普查纪律和质量控制

Article 15 The supervisor of each department or entity shall neither modify economic census information without authority nor force or instruct economic census personnel to tamper with economic census information or falsify census data.   第十五条我不休息我还能学 各部门、各单位负责人不得自行修改经济普查资料,不得强令或者授意经济普查人员篡改经济普查资料或者编造虚假普查数据。
Article 16 All departments and economic census personnel shall organize and conduct work in strict accordance with the Statistics Law of the People's Republic of China, the Regulation on National Economic Census, the Measures for the Administration of Statistical Survey of the Securities and Futures Market, the Plan for the Third National Economic Census, the Measures for Census of the Securities and Futures Industry for the Third National Economic Census, and related provisions, and may not tamper with economic census information or falsify data.   第十六条 各部门、经济普查人员要严格按照《中华人民共和国统计法》、《全国经济普查条例》、《证券期货市场统计管理办法》、《第三次全国经济普查方案》、《第三次经济普查证券期货业普查办法》及相关规定组织开展工作,不得篡改经济普查资料、编造虚假数据。
Article 17 All departments and economic census personnel shall strictly abide by the relevant provisions of the Statistics Law of the People's Republic of China and the Regulation on National Economic Census and strictly keep confidential any state secret or the trade secret of any object of the census known in the census, and may not release economic census data without permission, externally provide or divulge information obtained by the economic census that is able to identify or induce the identity of any entity or individual, or use such information for a purpose other than the economic census.   第十七条 各部门、经济普查人员必须严格遵守《中华人民共和国统计法》和《全国经济普查条例》的有关规定,对普查中知悉的国家秘密和被调查者的商业秘密要严格保密,不得擅自发布经济普查数据,不得对外提供、泄露经济普查取得的能够识别或推断单位和个人身份的资料,或者将其用于经济普查以外的目的。
Article 18 Any object of the census of the securities and futures industry shall fill in economic census forms on time as required, and shall not falsify, conceal, refuse to submit or delay submitting relevant data.   第十八条 证券期货业普查对象应当按照要求,按时填报经济普查表,不得虚报、瞒报、拒报和迟报相关数据。
Article 19 All departments shall establish a communication mechanism with the objects of the census, collect, reorganize and analyze problems arising in the work at each stage of the census, and take effective measures to solve them in a timely manner. In particular, any common problem in quality shall be reported to the Office of Census of the Securities and Futures Industry for the Third National Economic Census in a timely manner to prevent widespread systemic errors.   第十九条 各部门应建立与普查对象的相互交流沟通机制,收集、整理、分析普查各阶段工作中出现的问题,采取有效措施及时加以解决。特别是共性的质量问题,要及时向第三次全国经济普查证券期货业普查办公室汇报,防止出现大范围的系统性误差。
Article 20 Any object of the census shall carefully fill in census forms in strict accordance with the provisions and instructions for filling in census forms. For uncertain contents, the Office of Census of the Securities and Futures Industry for the Third National Economic Census shall be consulted in a timely manner.   第二十条 普查对象应严格按照普查表的填报规定和填写说明,认真填报普查表。对于不确定的内容应及时向第三次全国经济普查证券期货业普查办公室咨询。
Chapter VI Summarization and Punishment 

第六章 总结和处罚

Article 21 For advanced collectives and advanced individuals making outstanding contributions in the census work, the Office of Census of the Securities and Futures Industry for the Third National Economic Census shall grant commendation and recognition. Specific rankings, proportion of personnel, and measures shall be separately provided.   第二十一条 对在普查工作中贡献突出的先进集体和先进个人,第三次全国经济普查证券期货业普查办公室予以表彰和肯定。具体等次、人员人数比例、办法另行规定。
Article 22 Any institution or person who seriously violates the relevant provisions of these Measures in the census work shall be criticized and educated, and if the circumstances are serious, the institution or person shall be punished according to the law.   第二十二条 对在普查工作中严重违反本办法有关规定的机构和人员,提出批评教育,情节严重者应依法处理。
For any entity or individual who violates statistical regulations or census discipline, interview, public statement or disciplinary action shall be taken according to the seriousness of the circumstances. Any unit or individual who falsifies, conceals, refuses to submit or delays submitting census data shall be punished in accordance with the Statistics Law of the People's Republic of China and its detailed implementation rules. If a crime is committed, the offender shall be held criminally liable in accordance with the law. 对违反统计法规和普查纪律的单位和个人,视情节轻重依法进行约谈、通报或给与处分。对虚报、瞒报、迟报、拒报普查资料的单位和个人,依照《中华人民共和国统计法》及其实施细则予以处罚。构成犯罪的,依法追究刑事责任。
Chapter VII Supplemental Provisions 

第七章 附则

Article 23 These Measures shall be subject to the interpretation of the Office of Census of the Securities and Futures Industry for the Third National Economic Census.   第二十三条 本办法由第三次全国经济普查证券期货业普查办公室负责解释。
Article 24 These Measures shall come into force as of the date of issuance.   第二十四条 本办法自发布之日起施行。
Annexes:1. Census Forms for Census of the Securities and Futures Industry for the Third Economic Census and Instructions (Omitted) 附件:1.第三次经济普查证券期货业普查表(问卷)及填报说明
2. Interpretation of Main Indicators for Census of the Securities and Futures Industry for the Third Economic Census and Instructions (Omitted)哎哟不错哦 2.第三次经济普查证券期货业普查主要指标解释
     
     
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