Administrative measures on securities and futures market statistics

    (January 8, 2009 order of China Securities Regulatory Commission announced as of March 1, 2009, 60th) Chapter I General provisions

    First article to specification securities futures market statistics behavior, play statistics in reflect securities futures market based information and dynamic status, and strengthening securities futures market regulatory in the of role, according to People's Republic of China statistics method, and People's Republic of China Securities method, and People's Republic of China Securities Investment Fund method, and futures trading Management Ordinance, and securities company supervision Management Ordinance and People's Republic of China statistics method implementation rules, legal, and administrative regulations, developed this approach.

    Second fundamental tasks of the Securities and futures markets and statistics is the Securities and futures market development surveys, statistical analysis, provides statistics on securities and futures market and statistical advice to exercise statistical supervision.

    Article on securities and futures market statistics survey (hereinafter referred to as statistical investigation) shall provide the Securities and Futures statistical information shall not be false, conceal, refusing or delaying to report, not forged or tampered with. This approach by said of Statistics survey object, including securities company, and securities investment fund management company, and Futures company and branch institutions, fund managed Bank, and fund sales institutions, and qualified outside institutions investors managed Bank, engaged in Securities Futures service business of investment advisory institutions, and financial consultant institutions, and funding letter rating institutions, and assets assessment institutions, and accountants firm, and lawyer firm, listed company, and non-listed public company, Securities Futures Exchange, and securities registration settlement institutions, and securities industry association, and futures industry association, and

    Securities Investor Protection Fund Corporation, futures margin monitoring center and other market players.

    Fourth China Securities Regulatory Committee (hereinafter referred to as the China Securities Regulatory Commission) establish a centralized and unified leadership, business, ratings, is responsible for the statistical system.

    The China Securities Regulatory Commission is responsible for the national securities and futures market (hereinafter referred to as the Securities and futures markets) statistics, the China Securities Regulatory Commission agency responsible for the Securities and Futures statistical work in the area.

    Fifth China Securities and securities and futures market statistics standard, issued securities and futures market statistics or other statistics affecting the stable operation of the stock and futures markets.

    Sixth article management, use and publication of statistical information, shall comply with the national archives and records administration system, security system and securities and Futures supervision and management information system, the Securities and futures market credit file management system, conservative commercial secrets of the surveyed object, maintaining the Securities and futures market principles of openness, fairness and justice.

    Chapter II statistics institutions and statisticians

    Seventh CSRC statistics departments to carry out the following duties:

    (A) Organization of securities and futures market survey, collect, collate statistics on securities and futures, manage, publish, compile, providing statistics on securities and futures market;

    (B) on the operation of the Securities and futures markets, development, risk situation for statistical analysis, preparation of the Securities and futures market statistics, statistical report issued, relating to the proposed policy recommendations;

    (C) to establish and improve statistical system of securities and futures, and develop securities and futures markets and statistics standards, perfecting statistical index system of securities and futures, of statistical laws and administrative regulations, the approach of the statistical system and the China Securities Regulatory Commission on the implementation of guidance and inspection and supervision, CSRC agency evaluation assessments, statistical investigation of statistical work;

    (Iv) construction and management of securities and Futures statistical information automation system and statistical database system;

    (E) statistical coordination between units responsible for the participation of its work;

    (Vi) go through the Agency of the China Securities Regulatory Commission survey project and the Securities and futures market survey projects complement the contents of the record;

    (VII) Organization of securities and futures markets and statistics staff training.

    Article eighth of China Securities Regulatory Commission to perform supervisory duties in other sectors (hereinafter referred to as the China Securities Regulatory Commission other sectors) on the terms of reference of the statistical survey the survey, collect, collate statistics on securities and futures.

    The China Securities Regulatory Commission shall cooperate with the statistical departments of the CSRC's work in other sectors.

    Nineth CSRC statistics departments to establish joint mechanism of the Securities and futures markets and statistics work, its members including the China Securities Regulatory Commission statistical offices, the China Securities Regulatory Commission Department, the Securities and futures exchanges, securities registration and settlement organizations, and so on. In addition to statistics from the China Securities Regulatory Commission in accordance with the agreement of the other members of the unit format and content regularly or occasionally submitted to CSRC Statistics Department Unit collection, arrangement and management of securities and Futures statistical information.

    Members of the Securities and futures market statistics joint mechanisms to ensure that shared information between interconnected, and undertakes the following functions:

    (A) analysis and evaluation of securities and Futures statistical standards and recommendations of the proposed supplement, modify;

    (B) study new problems and situations encountered in the work to strengthen coordination among the various units, with the;

    (C) discussions on important matters relating to the statistical work of other securities and futures.

    Article tenth Agency of the China Securities Regulatory Commission shall designate or set up a special Department to perform statistical responsibilities and its responsibilities include:

    (A) the securities futures market and the CSRC Statistics Department Survey tasks, collect, collate, jurisdiction of securities and Futures statistical information;

    (B) securities and Futures survey organizations within their respective jurisdictions to collect, organize, manage, publish, providing statistics on securities and Futures;

    (C) the statistical analysis of the developments in the area of securities and futures, and issue statistical reports, propose policy recommendations;

    (D) on the area of the survey object implementation of the statistics law, administrative regulations, and the China Securities Regulatory Commission to establish statistics system of inspection and supervision.

    11th survey object should establish statistical offices or designated departments and persons responsible for statistical work. 12th China Securities Regulatory Commission and agency configured its full-time statisticians in other sectors.

    Statistical survey should be staffed with full-time or part-time personnel.

    Statisticians should have a good work ethic, possess the necessary securities and futures market basics, statistics, professional knowledge and the necessary computer skills.

    13th statisticians should collect and report statistical information in accordance with law.

    Statisticians should be responsible for the collection, audit and record statistics and survey submissions is responsible for the authenticity of statistical information, statistical information shall not be forged, altered, shall not in any way require surveys provide inaccurate statistics.

    14th statisticians to perform their statistical responsibilities, not by any unit and individual unlawful interference.

    15th CSRC Statistics Department to organize professional training for statisticians, strengthening professional ethics education, raise the level of statistical work.

    Chapter and statistical analysis 16th CSRC Statistics Department is responsible for the development of securities and futures market survey projects.

    Agency of the China Securities Regulatory Commission when the project is in the implementation of the aforementioned survey, based on the actual situation of the jurisdiction and supervision needed, to supplement the survey content, and CSRC Statistics Department.

    Agency of the China Securities Regulatory Commission is responsible for the development of securities and Futures survey projects in their jurisdiction, and CSRC Statistics Department.

    17th CSRC statistics statistical standards Department of securities and futures markets, to safeguard the definitions used in the survey, calculation methods, classification catalogues, questionnaires, and other aspects of standardization.

    Other departments of the China Securities Regulatory Commission, China Securities Regulatory Commission agency to carry out surveys, Statistical Department of the statistical standards of the CSRC shall apply.

    18th the CSRC and its agencies in the Organization of statistical surveys, survey content, should be investigated, statistics submitted to the timing, format and manner expressly provided for. The China Securities Regulatory Commission and its agencies can take documents, fax, telephone, email and Internet surveys.

    Confidential survey content, should follow the relevant provisions of security management. Article 19th statistical survey shall, within the time limit, in accordance with the survey content and format, to the CSRC and its agencies submit statistical data.

    Statistics shall conform to the Statistical Department of the statistical standards of the CSRC.

    Article 20th statistical investigation shall do a good grass-roots statistics to collect, validate and summarize the work, ensure that statistical information is true, accurate and complete.

    Statistical survey shall be submitted to the China Securities Regulatory Commission and its bodies through the heads of audit, signed by the statistical data, and fill in the description, report of primary data and data for the current period of abnormal change of description of the situation. Submitted 21st statistical survey found the statistical information is incorrect, shall immediately report to the CSRC and its agencies, organization of statistical offices or staff in this unit to verify the revised, to the China Securities Regulatory Commission and its agencies to make timely corrections and clarifications in writing.

    If necessary, they shall be publicly disclosed.

    22nd statistical survey should be based on regular surveys, supplemented by the sampling survey, using a combination of full investigation, major surveys, administrative records and other methods to collect basic statistics, sorting securities and futures.

    23rd CSRC statistics departments should carry out regular analysis and study on securities and futures market and macro-economic development situation and its impact on the development of the Securities and futures industry research.

    CSRC statistics based on securities and Futures supervision needs, some market concerns, relationship analysis, the Securities and futures market development study.

    24th a local people's Government or any other local Office of the Department of the State Council organization of securities and Futures statistical surveys, statistical investigation shall be reported promptly to the Agency of the China Securities Regulatory Commission.
Agency of the China Securities Regulatory Commission should keep abreast of the survey content and progress, if necessary, shall, without delay on issues such as consistency of the statistical data, and local people's Governments or agency consultation other departments under the State Council.

    Survey part of the Securities and futures market surveys, statistical agency of the China Securities Regulatory Commission shall promptly report to the CSRC departments.

    CSRC statistics, the Department shall promptly on such issues as the coherence of statistical information, consultation with other departments under the State Council.

    The fourth chapter Statistics Administration and publication

    25th CSRC Statistics Statistics Department of securities and futures markets.

    Other departments of the China Securities Regulatory Commission, the agency responsible for this Department or unit to the management of statistical information.

    Statistical investigation shall, according to requirements of laws, administrative regulations, strengthen the management of statistical information.

    Statistics archives transfer of custody, calling and, should comply with the national provisions relating to records management.

    26th the CSRC and its agencies shall establish a sound statistical information audit, organize, transfer and archive management system.

    CSRC statistics departments should build a unified securities and Futures statistical information automation system implementation and agency of the other departments of the China Securities Regulatory Commission, China Securities Regulatory Commission, the Securities and futures exchanges, securities registration and clearing institutions and other units of electronic management of statistical information systems for docking, the Securities and futures market integrity file system.

    27th the CSRC and its agencies shall establish a sound statistical information provision and disclosure systems.

    Securities and futures market statistics or may affect the stable operation of the Securities and futures market statistics should be undertaken by the China Securities Regulatory Commission statistical offices provide or publish.

    Agency of the China Securities Regulatory Commission can provide or publish statistics of area of securities and futures.

    28th survey published statistical data objects or other units shall abide by the laws, administrative regulations and the provisions of the China Securities Regulatory Commission, not fabricated, falsified statistics, disrupt order in the futures market.

    Fifth regulatory and legal liability

    29th CSRC Statistics Department, agency of the China Securities Regulatory Commission may object to the survey the following scenario, regular or irregular checks:

    (A) Statistical Department or designated department responsible for statistical work, allocation of staff;

    (B) the independence of statistics;

    (C) basic statistics to collect, validate and summarize its truthfulness, accuracy and completeness;

    (D) the statistical laws, administrative regulations, and other requirements of the implementation of the provisions of the CSRC.

    30th inspection is divided into on-site inspection and off-site. On-site inspection, inspectors shall be not less than two, and proof of legal documents and letters.

    Inspectors have the right to take the following measures:

    (A) ask the survey object's associated personnel, requiring them to check to spell;

    (B) consult and copy statistical investigation and checking documents, data, documents relating to the matter;

    (C) requires that the survey object and its associated personnel submit checks relating to self report.

    Off-site inspections, the CSRC Statistics Department, agency of the China Securities Regulatory Commission may request survey provides backup data and their description or self report. 31st statistical investigation shall cooperate with the China Securities Regulatory Commission Statistics Department, agency of the China Securities Regulatory Commission inspections.

    No unit or individual shall interfere with and hamper inspections.

    32nd for violations of these rules of statistical investigation, supervision and administration of China's securities and Futures Commission can take the following measures:

    (A) shall be ordered to correct;

    (B) the regulatory talks;

    (C) issue a letter of warning;

    (D) be ordered to participate in the training.

    Article 33rd statistical investigation of any of the following acts, the China Securities Regulatory Commission may give him a warning, or single and fine:

    (A) making false statements on or concealing, underreporting statistical information;

    (B) forging or altering the statistical data;

    (C) refusing or unreasonably late-reported statistics;

    (D) refuse or impede the statistical check.

    Directly responsible for the preceding paragraph the management staff and other persons, the China Securities Regulatory Commission may give him a warning, simply or fined.

    34th survey or other means in violation of this article 28th, making a false statement or information, disrupt the Securities and futures market, China Securities and Futures Commission under the Securities Act No. 207, the futures trading management regulations 71st of the rules will be punished.

    35th statistical investigation submitted to regulatory information contains statistical information submission or disclosure in violation of laws, administrative regulations, the provisions of the China Securities Regulatory Commission, in accordance with the relevant provisions.

    36th, China Securities Regulatory Commission CSRC statistics departments other departments and staff of the Agency of the China Securities Regulatory Commission violated confidentiality provisions of the State, public securities and Futures statistical information without authorization, in accordance with the relevant provisions of the CSRC to administrative sanctions.

    The sixth chapter supplementary articles

    37th Securities Futures Exchange, securities and Futures Association, securities registration and settlement organizations self-regulatory organizations, such as the survey shall apply unified statistical standards of the Statistics Department under the China Securities Regulatory Commission.

    Self-regulatory organizations referred to in the preceding paragraph may establish statistics system of the unit, and CSRC Statistics Department. 38th article of the rules take effect on March 1, 2009.