At the end of 20 13, there were15 securities companies (including 20 listed securities companies), 56 futures companies/kloc-0 and 89 fund management companies. Total assets of securities companies (excluding customer assets) 1.52 trillion yuan, and total assets of futures companies (excluding customer assets) 62.989 billion yuan. The fund management company * * * manages 1553 Public Offering of Fund, with a total fund share of 3. 12 trillion shares and a net fund value of about 3 trillion yuan. At the end of 20 16, there were 129 securities companies in China, an increase of 14 over the same period of last year (including 26 listed securities companies and 6 new ones). Futures companies 149, a decrease of 7. Fund management companies 108, an increase of 19. At the end of 20 16, the total assets of securities companies (excluding customer assets) were 4.37 trillion yuan, an increase of 2.85 trillion yuan over the end of 20 13, with an increase of 187.5%. The total assets of futures companies (excluding customers' rights and interests) 109706 billion yuan, an increase of 46.71700 million yuan or 74% compared with the end of 20 13. Fund management companies and other 13 asset management institutions with public offering licenses managed Public Offering of Fund 91600 million yuan, an increase of 61600 million yuan compared with the end of 20 13. In addition, there are registered private equity fund managers 17433, and 46505 private equity funds are managed; The subscription scale of the fund is 10.24 trillion yuan.

The basic system of the securities market continued to improve.

In the reform of the new share issuance system, we should focus on information disclosure and guide all parties in the market to do their duty. Formulate and issue the Opinions on Further Promoting the Reform of New Share Issuance, formulate and improve supporting policy documents such as the Measures for the Administration of Securities Issuance and Underwriting, revise the Interim Measures for the Administration of Initial Public Offering and Listing on Growth Enterprise Market, issue the Measures for the Administration of Equity Incentives of Listed Companies, strengthen the supervision of information disclosure, improve the participation conditions, implementation procedures and decision-making procedures of equity incentives, give companies autonomy and flexible decision-making space, and strengthen post-event supervision, internal accountability and supervision.

The OTC market rules system was initially established, and a regulatory framework system was formed with the Securities Law and the Decision on Issues Related to the National Small and Medium-sized Enterprise Share Transfer System as the core, and the Measures for the Supervision and Administration of Unlisted Public Companies, the Interim Measures for the Administration of Limited Liability Companies in the National Small and Medium-sized Enterprise Share Transfer System and supporting guidelines as the specific contents. At the same time, the Measures for the Administration of Major Asset Reorganization of Listed Companies, the Decision on Amending the Measures for the Administration of Acquisition of Listed Companies and the Decision on Amending the Measures for the Administration of Major Asset Reorganization of Listed Companies and its supporting regulations were issued, which further standardized the merger and reorganization of the market. The Interim Measures for the Supervision and Administration of Private Equity Funds was issued, which established the standards for qualified investors of private equity funds. After the promulgation of the Measures for the Pilot Management of Preferred Shares, qualified listed companies and non-listed companies can issue preferred shares, which is conducive to the joint-stock system reform of enterprises and enriching the variety of investable securities.

The regulatory rules of securities and futures operating institutions have been continuously improved. Revise and implement the Measures for the Administration of Risk Control Indicators of Securities Companies, further improve the risk management system of securities companies, and achieve full coverage of risk management. Revised and promulgated the Measures for the Administration of Margin Trading of Securities Companies, Interim Provisions on the Management and Operation of Private Equity Funds of Securities and Futures Operating Institutions, Provisions on the Administration of Subsidiaries of Fund Management Companies, and promulgated the Measures for the Supervision and Administration of Money Market Funds.

The investor protection mechanism has been gradually improved. Issue "Several Opinions on Reforming, Perfecting and Strictly Implementing the Delisting System of Listed Companies", comprehensively refine the situation of active delisting and forced delisting, and strengthen the protection of the legitimate rights and interests of investors in delisted companies. The State Council issued the Opinions on Further Strengthening the Protection of the Legal Rights and Interests of Small and Medium-sized Investors in the Capital Market. Focusing on the protection of the rights and interests of small and medium-sized investors, this paper puts forward nine policy measures, such as perfecting the investor suitability system, optimizing the investment return mechanism and protecting the right to know of small and medium-sized investors, which is conducive to improving the policy system for protecting the legitimate rights and interests of small and medium-sized investors and enhancing investors' confidence. The promulgation of the Measures for the Appropriate Management of Securities and Futures Investors has unified the classification standards and management requirements of securities and futures investors, clearly strengthened the obligation of appropriate management of securities and futures operating institutions, and built the first line of defense for investor protection.

Securities supervision has been continuously strengthened.

In 20 13, the CSRC took the lead and basically completed the rectification of various trading places in 29 provinces (cities, districts) and 5 cities with separate plans. At the same time, strengthen the supervision of illegal activities in the securities market. In 20 16 years, * * * accepted 603 valid clues about violations of laws and regulations, and 55 1 cases were initiated for investigation, with the investigation rate reaching 9 1%, a record high; 302 new cases were filed, an increase of 23% over the previous three years; New foreign-related cases 178, up 24% year-on-year; In the whole year, the number of administrative penalty decisions and the amount of fines and confiscations reached a record high, and the number of people banned from the market reached a historical peak. While continuing to crack down on illegal information disclosure, insider trading and market manipulation, we will continue to crack down on undisclosed excessive shareholding, illegal trading of stocks by employees and other illegal acts.

Securities and futures regulatory cooperation operated smoothly. According to the Memorandum on Strengthening Securities and Futures Supervision Cooperation and Maintaining Financial Stability signed by the People's Bank of China and the China Securities Regulatory Commission, the two sides keep in touch and continue to cooperate in cracking down on illegal securities and futures activities, cleaning up and rectifying various trading venues, monitoring financial risks, protecting investors' rights and dealing with unexpected risks. These efforts have effectively made up for the lack of supervision and maintained financial stability.