The statistical survey objects mentioned in these Measures include securities companies, securities investment fund management companies, futures companies and their branches, fund custody banks, fund sales institutions, qualified foreign institutional investor custody banks, investment consulting institutions, financial consulting institutions, credit rating agencies, asset appraisal institutions, accounting firms, law firms, listed companies, unlisted public companies, securities and futures exchanges, securities registration and settlement institutions, and securities industry associations. Article 4 The China Securities Regulatory Commission (hereinafter referred to as the China Securities Regulatory Commission) shall establish a statistical management system with centralized and unified leadership, separate business and graded responsibility.
China Securities Regulatory Commission is responsible for the statistical work of the national securities and futures market (hereinafter referred to as the securities and futures market), and its dispatched offices are responsible for the statistical work of securities and futures within its jurisdiction. Article 5 The China Securities Regulatory Commission shall formulate statistical standards for the securities and futures markets and publish statistical data of the securities and futures markets or other statistical data that may affect the stable operation of the securities and futures markets. Article 6 The management, use and publication of statistical data shall abide by the national archives management system, confidentiality system, information disclosure system of securities and futures supervision and management, and integrity archives management system of securities and futures markets, keep the business secrets of statistical survey objects, and safeguard the principles of openness, fairness and impartiality of the securities and futures markets. Chapter II Statistical Institutions and Statisticians Article 7 The statistical department of China Securities Regulatory Commission shall perform the following duties:
(1) Organizing statistical surveys of the securities and futures markets, collecting and sorting out statistical data of the securities and futures markets, managing, publishing, compiling and providing them to the outside world;
(2) Making statistical analysis on the operation, development and risks of the securities and futures market, compiling statistical statements of the securities and futures market, publishing statistical reports and putting forward relevant policy suggestions.
(3) Establish and improve the statistical system of securities and futures, formulate statistical standards for securities and futures markets, improve the statistical index system of securities and futures, guide, inspect and supervise the implementation of statistical laws, administrative regulations, these Measures and the statistical system formulated by the China Securities Regulatory Commission, and evaluate the statistical work of the agencies dispatched by the China Securities Regulatory Commission and the statistical survey objects;
(four) the construction and management of securities and futures statistical information automation system and statistical database system;
(five) responsible for statistical coordination between participating units;
(six) to handle the filing of the statistical investigation items of the dispatched offices of the China Securities Regulatory Commission and the supplementary contents of the statistical investigation items of the securities and futures markets;
(7) Organizing professional training for statisticians in the securities and futures markets. Article 8 Other departments of the China Securities Regulatory Commission (hereinafter referred to as other departments of the China Securities Regulatory Commission) shall conduct statistical investigations on the statistical investigation objects within their responsibilities, and collect and sort out the statistical data of securities and futures.
Other departments of the China Securities Regulatory Commission shall cooperate with the statistics department of the China Securities Regulatory Commission. Article 9 The Statistics Department of the China Securities Regulatory Commission shall establish a joint meeting mechanism for the statistics of securities and futures markets, including the Statistics Department of the China Securities Regulatory Commission, other departments of the China Securities Regulatory Commission, securities and futures exchanges, securities registration and settlement institutions, etc.
In addition to the statistical department of China Securities Regulatory Commission, other member units shall, in accordance with the agreed format and content, regularly or irregularly submit to the statistical department of China Securities Regulatory Commission the securities and futures statistical data collected, collated and managed by their own units. The joint meeting mechanism of securities and futures market statistics ensures the information sharing among members and undertakes the following functions:
(a) analysis and evaluation of securities and futures statistical standards, and put forward suggestions for supplement and modification;
(two) to study the new problems and new situations encountered in statistical work, and strengthen coordination and cooperation among various units;
(three) to discuss other major issues related to the statistical work of securities and futures. Article 10 The dispatched offices of the China Securities Regulatory Commission shall designate or set up specialized agencies to perform statistical duties, including:
(1) Cooperate with the statistical department of China Securities Regulatory Commission to complete the statistical investigation of the securities and futures market, and collect, sort out and provide the statistical data of securities and futures within its jurisdiction;
(2) Organizing statistical investigation of securities and futures within its jurisdiction, and collecting, sorting out, managing, publishing and providing external statistical data of securities and futures;
(3) Make statistical analysis on the development of securities and futures within its jurisdiction, issue statistical reports and put forward relevant policy suggestions.
(four) to inspect and supervise the implementation of statistical laws, administrative regulations, these measures and the statistical system formulated by the China Securities Regulatory Commission.