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JR/T 0177.1-2020: Contents and formats of data on investors rights and interests in the securities and futures industry - Part 1: Securities
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Contents and formats of data on investors rights and interests in the securities and futures industry - Part 1: Securities
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JR/T 0177.1-2020
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Basic data | Standard ID | JR/T 0177.1-2020 (JR/T0177.1-2020) | | Description (Translated English) | Contents and formats of data on investors rights and interests in the securities and futures industry - Part 1: Securities | | Sector / Industry | Finance Industry Standard (Recommended) | | Classification of Chinese Standard | A11 | | Word Count Estimation | 39,381 | | Date of Issue | 2020-02-26 | | Date of Implementation | 2020-02-26 | | Regulation (derived from) | China Securities Regulatory Commission Announcement (2020) No. 15 | | Issuing agency(ies) | People's Bank of China | JR/T 0177.1-2020: Contents and formats of data on investors rights and interests in the securities and futures industry - Part 1: Securities
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Contents and formats of data on investors' rights and interests in the securities and futures industry-Part 1.Securities
ICS 03.060
A 11
JR
People's Republic of China Financial Industry Standards
Contents and data related to investor rights in the securities and futures industry
Format Part 1.Securities
2020-02-26 release
2020-02-26 Implementation
Issued by China Securities Regulatory Commission
Table of contents
Foreword...II
1 Scope...1
2 Normative references...1
3 Terms and definitions...1
4 Data categories and types...1
4.1 Data category...2
4.2 Data Type...2
5 Data content and format...2
5.1 Investor account data...2
5.1.1 Investor Information Data...2
5.1.2 Investor Fund Account Data...4
5.1.3 Investor Securities Account Data...4
5.1.4 Investor Depository Account Data...5
5.2 Brokerage business data...6
5.2.1 Investor fund balance data...6
5.2.2 Investor Securities Balance Data...6
5.2.3 Investor data on the balance of restricted shares...7
5.3 Credit business data...8
5.3.1 Investor stock pledge contract data...8
5.3.2 Investors agree to buy back contract data...9
5.3.3 Investor bond pledged repo data...11
5.3.4 Integration of the two investors with the same data...12
5.3.5 Investor's two financing balance data...13
5.3.6 Investor Liangrong Securities Balance Data...14
5.3.7 Data on debt obligations of the two investors...15
5.3.8 Investor two financing assets and liabilities data...17
5.3.9 Compensation data of investors' securities lending rights...17
5.4 Derivatives business data...18
5.4.1 Investor option fund balance data...18
5.4.2 Investor Option Position Data...19
Appendix A (Normative Appendix) Data Dictionary...21
Appendix B (Normative Appendix) Code Value and Description...26
References...35
Foreword
JR/T 0177-2020 "Content and Format of Data Related to Investors' Rights and Interests in the Securities and Futures Industry" is divided into three parts.
--Part 1.Securities;
--Part 2.Futures;
--Part 3.Funds.
This part is part 1 of JR/T 0177-2020.
This part is drafted in accordance with the rules given in GB/T 1.1-2009.
This part was proposed by the Securities Sub-Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4).
This part is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180).
Drafting organizations of this section. China Securities Regulatory Commission Information Center, China Securities Information Technology Service Co., Ltd., Hang Seng Electronics
Company limited by shares.
The main drafters of this section. Yao Qian, Liu Tiebin, Luo Kai, Wang Dongming, Zhou Yunhui, Lu Yi, Zhou Yu, Luo Xuan, Jia Shi, Han Xiaohong,
Zhu Zhongchun, Su Hang, Yang Zhenjiang.
Contents and Formats of Data Related to Investors' Rights and Interests in the Securities and Futures Industry Part 1.Securities
1 Scope
This part specifies the data category and type, data content and format of the securities industry investor’s rights and interests data, and the data content and format
Including investor account data, brokerage business data, credit business data and derivatives business data, etc.
This section is applicable to industry institutions to carry out related work on the governance of investor equity data in the securities industry.
2 Normative references
The following documents are indispensable for the application of this document. For dated reference documents, only the dated version applies to this article
Pieces. For undated references, the latest version (including all amendments) applies to this document.
GB/T 2659-2000 Codes for names of countries and regions in the world
GB/T 4658-2006 academic code
GB/T 12406-2008 Code for currency and funds
JR/T 0046-2009 The message body structure and design rules of the data exchange between the securities and futures industry and the bank
3 Terms and definitions
The following terms and definitions apply to this document.
3.1
Securities investor
Investors who participate in the stock market and other on-market securities markets.
Note. There are mainly institutional investors and individual investors.
3.2
Investors' rights and interests
The rights of investors from investing in securities and the benefits of exercising their rights.
Note. The remaining rights and interests enjoyed by investors after deducting liabilities from investors’ assets.
3.3
Fund account
A special account used by investors for the settlement of securities trading funds.
Note. Fund accounts can be divided into ordinary capital accounts, credit capital accounts, derivatives capital accounts, etc. according to their uses.
3.4
Stock account
A securities registration and settlement institution is a vehicle established by investors to record the holdings and changes of securities and securities derivatives.
Note. According to different purposes, securities accounts can be divided into A-share accounts, B-share accounts, A-share credit accounts, stock transfer system accounts, fund accounts, and derivatives contract accounts
Wait.
4 Data category and type
4.1 Data category
This section covers all on-site business, and does not cover off-site business for the time being. It mainly includes four types of business data. investor account data, brokerage
For business data, credit business data, and derivative business data, see Table 1 for the content of data categories. The data items involved in each data category are shown in Appendix A.
The code value of the data item is shown in Appendix B.
4.2 Data Type
Data type description.
--C, character type. For example, the account code of OneCode, C50;
--N, numeric value. Its length does not include a decimal point and can participate in numerical calculations. The field length is x, which means that the longest field is x;
The length of the segment is (x, y), which means that the maximum length of the field is x and y decimal places are reserved, such as the balance of the fund account, N (17, 2).
5 Data content and format
5.1 Investor account data
5.1.1 Investor Information Data
The content and format of investor information data are shown in Table 2.
5.1.2 Investor Fund Account Data
See Table 3 for the content and format of investor fund account data.
5.1.3 Investor Securities Account Data
The content and format of investor securities account data are shown in Table 4.
5.1.4 Investor Depository Account Data
The data content and format of investor depository accounts are shown in Table 5.
5.2 Brokerage business data
5.2.1 Investor fund balance data
The content and format of investor fund balance data are shown in Table 6.
5.2.2 Investor securities balance data
The content and format of investor securities balance data are shown in Table 7.
5.2.3 Investor data on the balance of restricted shares
The data content and format of investor restricted stock balance are shown in Table 8.
5.3 Credit business data
5.3.1 Investor stock pledge contract data
The data content and format of the investor stock pledge contract are shown in Table 9.The data content is the stock pledge under the investor credit business in the securities market
The combined data has not been combined and the same date has been combined.
5.3.2 Investors agree to buy back contract data
The data content and format of the investor’s agreed repurchase contract are shown in Table 10.The data content is the agreed purchase agreement under the investor’s credit business in the securities market.
Return the combined data and the combined data on the same day.
5.3.3 Investor bond pledged repo data
The data content and format of investor bond pledge repurchase are shown in Table 11.The data content is the unfinished business under the investor credit business of the securities market.
Data on pledged repurchase contracts such as bond pledged repurchase and bond pledged agreement repurchase.
5.3.4 The two investors merge with the same data
The data content and format of the two-investor integration are shown in Table 12.The data content is the financing and securities lending under the investor credit business in the securities market.
The same information reflects that the securities company has added relevant data records of contracted customers or original contracted customers in the margin trading system.
5.3.5 Investor's two financing balance data
The data content and format of the investor's two financing funds balance are shown in Table 13.The data content is the credit funds under the investor credit business in the securities market
The fund balance information of the account.
5.3.6 Investor balance data of Liangrong Securities
The data content and format of the investor's two financial securities balances are shown in Table 14.The data content is the letter of credit under the investor credit business in the securities market
Securities balance information of the securities account.
5.3.7 Data on the liabilities of the two investors
The data content and format of the investor’s two-integrated debt agreement are shown in Table 15.The data content is the financing and financing under the investor credit business of the securities market.
Securities contract information, reflecting the current day’s binding contract and the outstanding date of the end of the day of all contracted customers opened by the securities company in the margin trading system
A closed financing contract or a contract for which the principal of the financing has been returned but the interest has not yet been settled, and an unsettled securities lending warehouse receipt or securities lending as of the end of the day
The contract record for which the quantity has been returned but the interest has not yet been settled can also reflect the debt information under the credit business.
5.3.8 Investor two financing assets and liabilities data
The content and format of the investor’s two financing assets and liabilities data are shown in Table 16.The content of this data is for the securities market investor’s customer credit business.
Margin and securities lending assets and liabilities information.
5.3.9 Compensation data of investors' securities lending rights
The content and format of the compensation data of investors’ securities lending rights and interests are shown in Table 17.The data content is the securities lending under the investor credit business of the securities market
Equity compensation information.
5.4 Derivatives business data
5.4.1 Investor option fund balance data
The content and format of the investor option fund balance data are shown in Table 18.The content of this data is for investors in the securities derivatives business of the securities market.
Information about the fund balance of the individual stock option fund account.
5.4.2 Investor option holding data
The content and format of the investor option position data are shown in Table 19.The data content is the individual securities under the securities derivatives business of investors in the securities market.
Stock option holding information.
Appendix A
(Normative appendix)
Data Dictionary
The content of the data dictionary is shown in Table A.1.
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