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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 securities 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, 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 securities institution in China shall establish a census office or designate a special person to be responsible for its census work.   第七条 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 securities institutions. The specific census forms shall include Basic Information of the Entity, Employees and Total Remuneration, Enterprise Science and Technology Projects and Scientific and Technological Activities, Institutional Cross-Holding of Bonds and Shares, Revenue of Securities 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)
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