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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 carrying 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 entities 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 entities 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.   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。
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