>>>welcome 河南大学, You have logged in.
Logout History Contact us  
Font Size:  A A A Search “Fabao” Window English 中文 = 简体  繁体
  Favorite   DownLoad   Print
 
Measures for the Implementation of the Fourth National Census of Capital Market Services [Effective]
第四次全国资本市场服务业普查实施办法 [现行有效]
【法宝引证码】

Measures for the Implementation of the Fourth National Census of Capital Market Services 

第四次全国资本市场服务业普查实施办法

(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, the Notice by the State Council of Launching the Fourth National Economic Census and the Plan for the Fourth 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》《国务院关于开展第四次全国经济普查的通知》和《第四次全国经济普查方案》,制定本办法。
Article 2 The purpose of the census shall be to gain a comprehensive understanding of the development of China's capital markets, possess information on the development scale, structure, benefits and the like of capital market services, deepen the supply-side structural reform in the financial field, and accelerate advancement of the modernization of the national governance system and governance capacity.   第二条 普查目的是全面摸清我国资本市场发展状况,掌握资本市场服务业的发展规模、结构、效益等情况,深化金融领域供给侧结构性改革,加快推进国家治理体系和治理能力现代化。
Article 3 The China Securities Regulatory Commission (hereinafter referred to as the "CSRC") shall establish the Leading Group for the Fourth National Census of Capital Market Services (hereinafter referred to as the "Leading Group") and its Office (hereinafter referred to as the "Census Office"). The Census Office shall, under the unified leadership of the Leading Group for the Fourth National Economic Census of the State Council and its Office (hereinafter referred to as the "Economic Census Office"), be responsible for the routine management and coordination work for the census of capital market services, overall publicity on the census, and specific implementation of all the requirements of the Economic Census Office and the Leading Group. The Census Office shall be established at the Department of Market of the CSRC. The Department of Securities and Fund Institutions and the Department of Futures Supervision of the CSRC shall respectively take the lead in directing all dispatched offices to carry out the census work in relation to organizations and institutions under the departmental supervisory line. The General Office shall submit the census financial data for the head office of the CSRC. The Department of Accounting shall direct the units of the CSRC system to submit relevant census financial data. The Department of Privately-offered Funds shall take the lead in directing the Asset Management Association of China (hereinafter referred to as the "AMAC") to conduct census work in relation to privately-offered fund managers. The Department of Personnel and Education shall direct the units of the CSRC system to submit personnel information and shall submit the basic information and personnel information for the head office of the CSRC.   第三条 中国证券监督管理委员会(以下简称“证监会”)设立第四次全国资本市场服务业普查领导小组(以下简称“领导小组”)及其办公室(以下简称“普查办”)。普查办在国务院第四次全国经济普查领导小组及其办公室(以下简称“国务院经普办”)的统一领导下,负责资本市场服务业普查日常管理和协当前已是最新版本本经普办证监会机构部、期货部分别牵头指导各派出机构开展部门监管条线下的组织和机构的普查工作。办公厅填报证监会本部(会机关)普查财务数据。会计部指导会系统单位填报相关普查财务数据。私募部牵头指导中国证券投资基金业协会(以下简称“证券投资基金业协会”)开展私募基金管理人的普查工作。人教部指导会系统单位填报人员情况,并填报证监会本部(会机关)基本情况和人员情况。
The AMAC, all dispatched offices, and the CSI Capital Market Operation Statistical Monitoring Center (hereinafter referred to as the "CSI Monitoring") shall undertake the specific work of the census. Specifically, the AMAC shall undertake the specific work of the census of privately-offered fund managers, all dispatched offices shall undertake the arrangement, supervision of submission, data review and other work with respect to the census work as to objects of regulation other than privately-offered fund managers in their jurisdictions, and the CSI Monitoring shall undertake other specific census work. 证券投资基金业协会,各派出机构,中证资本市场运行统计监测中心(以下简称“中证监测”)承担普查具体工作。其中,证券投资基金业协会承担私募基金管理人普查的具体工作,各派出机构承担本辖区除私募基金管理人以外监管对象的普查工作布置、督报和数据审核等工作,中证监测承担其他具体普查工作。
Chapter II Objects and Time of Census 

第二章 普查对象和时间

Article 4 The objects of the census shall be legal entities under the regulation of the CSRC and operating in industries classified as capital market services in the Industrial Classification for National Economic Activities (GB/T4754-2017) and their units of industry activities, specifically including:   第四条 普查的对象是在中华人民共和国境内由证监会监管、《国民经济行业分类》(GB/T4754-2017)中行业大类为资本市场服务业的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)证监会本部及其派出机构;
(2) all exchanges and subordinate entities of each association (excluding industry associations); (二)各交易所、各会下属单位(不含行业协会);
(3) securities companies and their branch offices and sales departments; fund management companies and their branch offices; and futures companies and their branch offices and sales departments; (三)证券公司及其分公司、营业部,基金管理公司及其分公司,期货公司及其分公司、营业部;
(4) subsidiaries of securities companies, subsidiaries of fund management companies, and subsidiaries of futures companies; (四)证券公司子公司,基金管理公司子公司,期货公司子公司;
(5) privately-offered fund managers; (五)私募基金管理人;
(6) securities and futures investment consulting institutions, securities credit rating institutions, and independent fund sales organizations; (六)证券期货投资咨询机构,证券资信评级机构,独立基金销售机构;
(7) representative offices of relevant overseas institutions in China; and (七)境外相关机构驻华代表处;
(8) other legal entities engaged in capital market services and their units of industry activities. (八)其他从事资本市场服务业的法人单位及其产业活动单位等。
Article 5 The Census Office shall assist the institutions for the Fourth National Economic Census of local people's governments in implementing a census of units engaged in non-capital market service activities of legal entities in capital market services.   第五条 普查办协助地方人民政府第四次全国经济普查机构实施对资本市场服务业法人单位下属从事非资本市场服务业活动的单位进行普查。
Article 6 The standard point in time for the census shall be 24 o'clock on December 31, 2018. For census registration, point-in-time indicators shall be data on December 31, 2018, and period indicators shall be data from January 1 to December 31, 2018. 我我我什么都没做  第六条 普查标准时点为2018年12月31日24时。普查登记时,时点指标填写2018年12月31日数据,时期指标填写2018年1月1日-12月31日数据。
Census forms shall be filled in from January 1 to April 30, 2019. 普查报表填报时间为2019年1月1日-4月30日。
Chapter III Main Contents and Forms of Census 

第三章 普查主要内容及表式

Article 7 The contents of the census shall be the basic information, organizational structure, employees, financial status, related business volume and the like of legal entities and units of industry activities in capital market services.   第七条 普查内容为资本市场服务业法人单位及产业活动单位的基本情况、组织结构情况、从业人员情况、财务状况、相关业务量等。
Census forms shall include Basic Information of Survey Unit in the Financial Industry, Employees in the Financial Industry, Main Economic Indicators of Administrative and Public Institutions, Balance Sheet for the Securities Industry, Income and Expense Statements for the Securities Industry, Balance Sheet for the Fund Industry, Income Statements for the Fund Industry, Professional and Administrative Expense Statements for the Fund Industry, Information Form for the Private Investment Fund Industry, Information on Capital Market Business in the Fund Industry, Balance Sheet for the Futures Industry, and Income and Expense Statements for the Futures Industry. See Annex 1 for the specific census forms. 普查表包括:《金融业调查单位基本情况》《金融业从业人员情况》《行政事业单位主要经济指标》《证券业资产负债表》《证券业利润和费用明细表》《基金业资产负债表》《基金业利润表》《基金业业务及管理费用明细表》《私募投资基金业情况表》《基金业从事资本市场业务情况》《期货业资产负债表》《期货业利润和费用明细表》。具体普查表式见附件1。
Article 8 All legal entities and units of industry activities in capital market services, except privately-offered fund managers, shall fill in the Basic Information of Survey Unit in the Financial Industry, and all legal entities in capital market services except privately-offered fund managers shall fill in the Employees in the Financial Industry. Securities companies shall fill the Balance Sheet for the Securities Industry and the Income and Expense Statements for the Securities Industry, and fund management companies shall fill in the Balance Sheet for the Fund Industry, the Income Statements for the Fund Industry, the Professional and Administrative Expense Statements for the Fund Industry, and the Information on Capital Market Business in the Fund Industry, and futures companies shall fill in the Balance Sheet for the Futures Industry and the Income and Expense Statements for the Futures Industry. Privately-offered fund managers shall fill in the Information Form for the Private Investment Fund Industry, and data on privately-offered fund managers in the Basic Information of Survey Unit in the Financial Industry, Employees in the Financial Industry, and the Information on Capital Market Business in the Fund Industry shall be submitted by the AMAC.   第八条 私募基金管理人之外的资本市场服务业所有法人单位及产业活动单位需填报《金融业调查单位基本情况》表,私募基金管理人之外的所有资本市场服务业法人单位需填报《金融业从业人员情况》表。此外,证券公司需要填报《证券业资产负债表》和《证券业利润和费用明细表》,基金管理公司需要填报《基金业资产负债表》《基金业利润表》《基金业业务及管理费用明细表》和《基金业从事资本市场业务情况》,期货公司需要填报《期货业资产负债表》和《期货业利润和费用明细表》。私募基金管理人需要填报《私募投资基金业情况表》,《金融业调查单位基本情况》、《金融业从业人员情况》和《基金业从事资本市场业务情况表》中涉及私募基金管理人的数据由证券投资基金业协会报送。
Chapter IV Organization of Implementation and Division of Labor for Census 

第四章 普查组织实施及分工

Article 9 The work for the Fourth National Census of Capital Market Services shall be divided into eight stages, and the specific arrangements and division of labor shall be as follows:   第九条 第四次全国资本市场服务业普查工作分为8个阶段,具体安排和分工如下:
(1) Development of census measures (April–December 2018). The CSI Monitoring shall cooperate with the Census Office in developing the Measures for the Fourth National Census of Capital Market Services. (一)制定普查办法(2018年4月-12月)中证监测配合普查办制定《第四次全国资本市场服务业普查办法》。
(2) Providing entity directories (July 2018 and January 2019). Relevant entities shall provide the Census Office with entities directories covering the objects of the census in two groups as required, and the Census Office shall consolidate them in a unified manner and submit them to the Economic Census Office. Specific requirements shall be as follows: (二)提供单位名录资料(2018年7月、2019年1月)相关单位按照要求分两批向普查办提供普查对象的单位名录资料,普查办统一汇总后报送国务院经普办。具体要求如下:
(a) Division of duties 1.职责分工
The head office of the CSRC and the units of the CSRC system units shall provide the Census Office with a directory of themselves and their units of industry activities. 证监会本部、会系统单位向普查办提供本单位及其产业活动单位的名录。
Each dispatched office shall provide the Census Office with a directory of itself, legal entities under its jurisdiction and its units of industry activities. 各派出机构向普查办提供本单位、管辖的法人单位及其产业活动单位的名录。
The AMAC shall provide the Census Office with a directory of privately-offered fund managers. 证券投资基金业协会向普查办提供私募基金管理人的名录资料。
(b) Time of provision 2.提供时间
The above-mentioned entities shall provide entity directories for the Census Office in two groups: before July 9, 2018, providing entity directories as of the end of June 2018; and before January 7, 2019, providing directories of entities increasing, reducing or modifying information as of the end of July to December 2018. 上述单位分两批向普查办提供单位名录资料:2018年7月9日前,提供截至2018年6月底的单位名录资料;2019年1月7日前,提供2018年7-12月底增减、变更信息的单位名录资料。
(3) Assisting entities in examination (August 2019–January 2019). All the dispatched offices of the CSRC shall assist the census institutions of local people's governments at all levels in conducting a comprehensive examination of legal entities in capital market services and their units of industry activities. (三)协助单位清查(2018年8月-2019年1月)证监会各派出机构协助各级地方人民政府普查机构对资本市场服务业法人单位及其产业活动单位进行全面清查。
(4) Availability and operation and maintenance of system (July 2018-January 2019). The CSI Monitoring shall make available an entity directory covering legal entities in capital market services and their units of industry activities (excluding privately-offered fund managers and their units of industry activities) and census forms on the CSRC Statements Collection Platform and carry out work such as operation and maintenance of system. The AMAC shall make available a directory of privately-offered fund managers and the Information Form for the Private Investment Fund Industry on the Asset Management Business Electronic Registration System and other information systems (hereinafter referred to as the "AMAC Information Systems") and carry out work such as operation and maintenance of system. (四)系统布署和运维(2018年7月-2019年1月)中证监测在证监会报表采集平台布署资本市场服务业法人单位及其产业活动单位(不含私募基金管理人及其产业活动单位)的单位名录及普查表,并开展系统运维等工作。证券投资基金业协会在资产管理业务综合报送平台等相关信息系统(以下简称协会信息系统)布署私募基金管理人单位名录及《私募投资基金业情况表》,并开展系统运维等工作。
The data on privately-offered fund managers for other census forms shall be the existing data on the AMAC Information Systems. 私募基金管理人的其他普查表数据直接使用协会信息系统现有数据。
(5) Census training, publicity and notification (October 2018–December 2019) (五)普查培训、宣传和通知(2018年10月-2019年12月)
(a) Business training. The Census Office shall provide business training for census employees in conjunction with the CSI Monitoring, clarifying work tasks, procedure and work standards. 1.业务培训。普查办会同中证监测对普查工作人员进行业务培训,明确工作任务、流程和工作标准。
(b) Census publicity. The Census Office shall, according to the requirements of the Economic Census Office for the census publicity and mobilization work, take the lead in arranging for all the units of the CSRC system to carry out the publicity work for the Fourth National Census of Capital Market Services, and each dispatched office shall specifically carry out the publicity and mobilization of legal entities and units of industry activities within its jurisdiction. 2.普查宣传。普查办根据国务院经普办关于普查宣传动员工作的要求,牵头组织会系统各单位开展第四次全国资本市场服务业普查宣传工作,各派出机构具体开展辖区内法人单位和产业活动单位的宣传动员工作。
(c) Issuing notice of census. The Census Office shall issue notice of launching the Fourth National Census of Capital Market Services, and all dispatched offices and the AMAC shall be responsible for notifying the objects of the census and guiding and supervising them effectively conducting the relevant preparatory work. 3.下发普查通知。普查办下发关于开展第四次全国资本市场服务业普查的通知,各派出机构、证券投资基金业协会负责通知到普查对象,指导和督促普查对象做好相关准备工作。
(6) Implementation of the census (January-April 2019). Legal entities in capital market services and its units of industry activities (excluding privately-offered fund managers) shall fill in census forms on the CSRC Statements Collection Platform. (六)普查实施(2019年1月-4月)资本市场服务业法人单位及其产业活动单位(不含私募基金管理人)在证监会报表采集平台填报普查表。
Privately-offered fund managers shall fill in the Information Form for the Private Investment Fund Industry in the AMAC Information Systems. 私募基金管理人在证券投资基金业协会的协会信息系统填报《私募投资基金业情况表》。
(7) Check and review of census data (April-May 2019) (七)普查数据检查和审核(2019年4月-5月)
(a) Data check. Securities companies, fund management companies and futures companies shall check the data from their subsidiaries and units of industry activities. 1.数据检查。证券公司、基金管理公司和期货公司对其下属公司及产业活动单位的数据进行检查。
(b) Spot check on data. Each dispatched office shall randomly select objects of the census (excluding privately-offered fund managers) and check the census data they submitted. 2.数据抽查。各派出机构随机抽选普查对象(不含私募基金管理人),对其上报的普查数据进行检查。
(c) Centralized review of data. The CSI Monitoring and the AMAC shall conduct a centralized review of census data and return the data to the objects of the census for verification and revision if any problem is discovered. 3.数据集中审核。中证监测、证券投资基金业协会对普查数据进行集中审核,发现问题退回普查对象核实修改。
(8) Consolidation and submission of census information (May–June 2019) (八)普查资料汇总、上报(2019年5月-6月)
(a) The CSI Monitoring and the AMAC shall, as required by the Economic Census Office, reorganize census data, group and consolidate the data, and provide the Census Office before May 24, 2019. 1.中证监测、证券投资基金业协会按照国务院经普办要求整理普查数据,并进行分组汇总,于2019年5月24日前提供普查办。
(b) The Census Office shall uniformly consolidate, conduct final inspection of and back up such data and, with the approval of the Leading Group, submit primary-level census data and related subtotaled data to the Economic Census Office. 2.普查办统一汇总、验收、备份上述数据,经领导小组审核批准后,将普查基层数据以及相关分组汇总数据上报至国务院经普办。
Chapter V Census Discipline 

第五章 普查纪律

Article 10 Economic census employees 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 Plan for the Fourth National Economic Census, the Measures for the Administration of Statistics for Securities and Futures Markets, and the relevant provisions on punishment of statistical falsehood and the like issued by the National Bureau of Statistics.   第十条 经济普查工作人员要严格按照《中华人民共和国统计法》《全国经济普查条例》《第四次全国经济普查方案》《证券期货市场统计管理办法》和国家统计局关于惩治统计造假等相关规定组织开展工作。
Article 11 The supervisor of each entity shall neither modify economic census information without authority nor force, instruct or instigate economic census personnel to tamper with economic census information or falsify census data.   第十一条 各单位负责人不得自行修改经济普查资料,不得强令、授意、指使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 12 Any object of the census in capital market services shall fill in census forms on time as required, and shall not falsify, conceal, refuse to submit or delay submitting relevant data. 请你喝茶  第十二条 资本市场服务业普查对象应当按照要求,按时填报普查表,不得虚报、瞒报、拒报和迟报相关数据。
Article 13 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 Census Office in a timely manner to prevent widespread systemic errors.   第十三条 各部门应建立与普查对象的交流沟通机制,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,要及时向普查办汇报,防止出现大范围的系统性误差。
Article 14 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 Census Office shall be consulted in a timely manner.   第十四条 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普查办咨询。
Article 15 Census employees shall strictly abide by the secrecy-related provisions issued by the state and strictly keep confidential any state secret or the trade secret or inside information of any object of the census known in the census, and may not release economic census data without permission, externally provide or divulge any trade secret of an object of the census or information that is able to identify or induce the identity of any object of the census, or use such information for any purpose other than the economic census.   第十五条 普查工作人员要遵守国家保密相关规定,对普查中知悉的国家秘密和被调查者的商业秘密、内幕信息要严格保密,不得擅自发布经济普查数据,不得对外提供、泄露普查对象商业秘密或能够识别或推断单个统计调查对象身份的资料,或者将其用于经济普查以外的任何目的。
Chapter VI Reward and Punishment Mechanism 

第六章 奖惩机制

Article 16 For advanced collectives and advanced individuals making outstanding contributions in the census work, the Census Office shall request the Economic Census Office to grant commendation and recognition.   第十六条 对在普查工作中贡献突出的先进集体和先进个人,普查办将提请国务院经普办表彰和肯定。
Article 17 Any institution or individual that seriously violates the relevant provisions of these Measures in the census work shall be criticized and educated, and if the circumstances are serious, the relevant entity shall be requested according to the law to impose punishment.   第十七条 对在普查工作中严重违反本办法有关规定的机构和个人进行批评教育,情节严重的,依法提请相关单位处理。
Chapter VII Supplemental Provisions 

第七章 附则

Article 18 Under the Measures for Classifying Statistical Units and Specific Treatment (No. 96 [2011], NBS) developed by the National Bureau of Statistics, legal entities in capital market services shall include the head office of the CSRC and its dispatched offices, all exchanges, and all subordinate entities (excluding industry associations); securities companies, fund management companies, futures companies; subsidiaries of securities companies, subsidiaries of fund management companies, and subsidiaries of futures companies; privately-offered fund managers; securities and futures investment consulting institutions, securities credit rating institutions, and independent fund sales organizations; and other legal entities engaged in capital market service activities. The units of industry activities of legal entities in capital market services shall include the branch offices of securities companies, sales departments of securities companies, branch offices of fund companies, branch offices of futures companies, sales departments of futures companies, and representative offices of relevant overseas institutions in China.   第十八条 按照国家统计局制定的《统计单位划分及具体处理办法》(国统字[2011]96号)划分,资本市场服务业法人单位包括:证监会机关及其派出机构、各交易所、各下属单位(不含行业协会);证券公司、基金管理公司、期货公司;证券公司子公司、基金管理公司子公司、期货公司子公司;私募基金管理人;证券期货投资咨询机构、证券资信评级机构、独立基金销售机构;其他从事资本市场服务业活动的法人单位等。资本市场服务业法人单位的产业活动单位包括:证券公司分公司、证券公司营业部、基金公司分公司、期货公司分公司、期货公司营业部、境外相关机构驻华代表处等。
Article 19 The census shall be governed by the harmonized standards and directories developed by the state. Main standards shall include the Rules of Unified Social Credit Codes for Legal Persons Entities and Other Organizations (GB32100-2015), the Statistical Zoning Codes and Urban and Rural Dividing Codes and the Provisions on Classifications of Census Units, the Provisions on Classifications of Enterprise Registration, the Provisions on Economic Classifications for Statistical Purposes, the Unit Subordinate Relationship Codes, and the Provisions on Classifications of Census Units.   第十九条 普查采用国家制订的统一标准和目录。主要标准包括:《法人和其他组织统一社会信用代码编码规则》(GB32100-2015)、《统计用区划代码和城乡划分代码》和《普查单位划分规定》、《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》、《普查单位划分规定》等。
Article 20 These Measures shall be subject to the interpretation of the Census Office.   第二十条 本办法由普查办负责解释。
Article 21 These Measures shall come into force as of the date of issuance.   第二十一条 本办法自发布之日起施行。
Annexes: 1. Forms for the Fourth National Census of Capital Market Services and Instructions (Omitted) 附件:1.第四次全国资本市场服务业普查表及填报说明
2. Interpretation of Main Indicators of the Fourth National Census of Capital Market Services and Instructions (Omitted)快醒醒开学了 2.第四次全国资本市场服务业普查主要指标解释及填报说明
     
     
Scan QR Code and Read on Mobile
【法宝引证码】        北大法宝en.pkulaw.cn
Message: Please kindly comment on the present translation.
 
Confirmation Code:
Click image to reset code
 
  Translations are by lawinfochina.com, and we retain exclusive copyright over content found on our website except for content we publish as authorized by respective copyright owners or content that is publicly available from government sources.

Due to differences in language, legal systems, and culture, English translations of Chinese law are for reference purposes only. Please use the official Chinese-language versions as the final authority. Lawinfochina.com and its staff will not be directly or indirectly liable for use of materials found on this website.

We welcome your comments and suggestions, which assist us in continuing to improve the quality of our materials as we dynamically expand content.
 
Home | About us | Disclaimer | Chinese