Administrative Measures for Statistics of Securities and Futures Market
Administrative Measures for Statistics of Securities and Futures Market
Administrative Measures for Statistics of Securities and Futures Market
Order of China Securities Regulatory Commission No. 60
January 8, 2009
The Administrative Measures for Statistics of Securities and Futures Market, deliberated and adopted at 243rd Chairmen's Working Meeting of China Securities Regulatory Commission on October 28, 2008, is hereby promulgated and shall be effective as of March 1, 2009.
Administrative Measures for Statistics of Securities and Futures Market
Chapter I General Provisions
Article 1 These Measures are formulated in accordance with the Statistics Law of the People's Republic of China, the Securities Law of the People's Republic of China, the Law of the People's Republic of China on Securities Investment Funds, the Administrative Regulations on Futures Trading, the Regulations on the Supervision and Administration of Securities Companies, the Implementing Rules of the Statistics Law of the People's Republic of China and other applicable laws and administrative regulations, for the purposes of regulating the statistics of securities and futures market, and functioning statistics in reflecting the basic information and dynamic status of and in intensifying the supervision on the securities and futures market.
Article 2 The fundamental task of the statistics of securities and futures market is to make statistical survey and analysis, provide statistical information and advisory opinions on the securities and futures market and implement statistical supervision.
Article 3 The respondents of the statistics of securities and future market (hereinafter referred to as "respondents of statistics") shall faithfully provide the statistical information on securities and futures and may not misreport, report with concealment, refuse to report, report in delay, forge or falsify the same.
The respondents of statistics referred to in these Measures include securities companies, securities investment fund management companies, futures companies and their branches, fund custodian banks, qualified custodian banks for foreign institutional investors, and investment consulting agencies, financial consulting agencies, credit rating agencies, accounting firms, law firms, listed companies, non-listed public companies, securities and futures exchanges, securities registration and settlement agencies, securities associations, futures associations, securities investor protection corporations and futures margin monitoring centers engaged in securities and futures services, and other market subjects.
Article 4 China Securities Regulatory Commission (hereinafter referred to as "CSRC") establishes a statistical administration system under centralized and unified leadership in which the duties are assigned based on businesses and levels.
CSRC is responsible for the statistics of securities and futures market nationwide (hereinafter referred to as "securities and futures market") and its dispatched agencies are responsible for the statistics of securities and futures market under their jurisdictions respectively.
Article 5 CSRC prepares statistical standard for securities and futures market, and issues the statistical information on securities and futures market or other statistical information that might affect the stable operation of the same.
Article 6 The management, usage and disclosure of the statistical information shall be subject to the State rules for archives administration, confidentiality, disclosure of supervision and administration information on securities and futures and administration on the credit archives of securities and futures market in which the trade secrets of the respondents shall be preserved and the principle of openness, impartiality and fairness for the securities and funds market shall be maintained.
Chapter II Statistical Agencies and Personnel
Article 7 The statistical department of CSRC shall:
1.
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