Guiding Opinions of the China Securities Regulatory Commission and the Standardization Administration of China on Strengthening the Standardization Work of the Securities and Futures Industry

Guiding Opinions of the China Securities Regulatory Commission and the Standardization Administration of China on Strengthening the Standardization Work of the Securities and Futures Industry [Effective]

中国证监会、国家标准委关于加强证券期货业标准化工作的指导意见 [现行有效]

【法宝引证码】

Issuing authority： Instrumentalities of the State Council,All Commissions,China Securities Regulatory Commission,Other Institutions of the Central Government,Others,All Other Commissions,Standardization Administration of the People's Republic of China
Date issued： 11-02-2023
Effective date: 11-02-2023
Level of Authority: Departmental Regulatory Documents
Area of Law:Securities


Guiding Opinions of the China Securities Regulatory Commission and the Standardization Administration of China on Strengthening the Standardization Work of the Securities and Futures Industry		中国证监会、国家标准委关于加强证券期货业标准化工作的指导意见
All local offices of the China Securities Regulatory Commission (“CSRC”); all exchanges; all subordinate entities; all associations; all departments of the CSRC; and the market regulation bureaus (departments and commissions) of all provinces, autonomous regions, municipalities directly under the Central Government:		中国证监会各派出机构，各交易所，各下属单位，各协会，会内各部门，各省、自治区、直辖市市场监管局（厅、委）：
As the technical support for economic activities and social development, standards are an important respect of a country's basic system. In recent years, China's capital market standardization work has made great progress, which has maximized an important role in standardizing the business development, improving the market efficiency, and reducing the industry costs. For the purposes of implementing the overall deployments of the CPC Central Committee and the State Council for the standardization work and further promoting the high-quality development of the standardization work in the securities and futures industry, the following opinions are hereby put forward.		标准是经济活动和社会发展的技术支撑，是国家基础性制度的重要方面。近年来，我国资本市场标准化工作取得长足进步，在规范业务发展、提高市场效率、降低行业成本等方面发挥了重要作用。为落实党中央、国务院关于标准化工作的总体部署，进一步推动证券期货业标准化工作高质量发展，提出如下意见。
I. Guiding Thought.		一、指导思想
Under the guidance of the Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era, the spirit of the 20th CPC National Congress shall be comprehensively implemented, the National Standardization Development Outline shall be implemented in an in-depth manner, by closely focusing on the overall goal of “creating a standardized, transparent, open, dynamic, and resilient capital market,” and focusing on the needs of building a modern capital market with Chinese characteristics, the basic and leading role of standardization in promoting the modernization of the capital market governance system and governance capacity shall be fully maximized, the industry-wide awareness of standardization shall be enhanced, the standardization system of the capital market shall be improved, the effective supply of key standards shall be accelerated, and the effects of the implementation of standards shall be enhanced, to provide strong support for accelerating the construction of a new development pattern of the capital market and promoting the high-quality development of the capital market.		以习近平新时代中国特色社会主义思想为指导，全面贯彻党的二十大精神，深入实施《国家标准化发展纲要》，紧紧围绕“打造一个规范、透明、开放、有活力、有韧性的资本市场”总目标，聚焦中国特色现代资本市场建设需要，充分发挥标准化在推进资本市场治理体系和治理能力现代化的基础性、引领性作用，增强全行业标准化意识，健全完善资本市场标准化体系，加快重点标准有效供给，提升标准贯彻实施成效，为加快构建资本市场新发展格局、推动资本市场高质量发展提供有力支撑。
II. Main objectives		二、主要目标
1. More prominent supporting role of standardization. Standardization shall be used to support the digital transformation of the industry and data factors of the capital market, realize full coverage of standards in such fields as development of the capital market business, compliance risk control, protection of investors' legitimate rights and interests, infrastructure construction, and promote the basic establishment of the standard system featuring high-quality development of the capital market.		（一）标准化支撑作用更加显著。以标准化支撑行业数字化转型和资本市场数据要素化，资本市场业务发展、合规风控、投资者合法权益保护、基础设施建设等领域标准全覆盖，推动资本市场高质量发展的标准体系基本建成。
2. Significantly improved standardization quality level. Overall management of the standardization work shall be realized, a number of urgently needed business and technical standards in the market shall be issued, a number of standard researches focusing on the future shall be carried out, a number of standard-based testing and certification, and pilot demonstration shall be implemented, the average development cycle of mandatory national standards shall not exceed 24 months, the average development cycle of recommended standards shall not exceed 18 months, and the economic benefits, social benefits, and quality benefits in the industry realized by standardization shall be fully manifested.		（二）标准化质量水平大幅提升。实现标准化工作统筹管理，发布一批市场急需的业务和技术标准，开展一批着眼未来的标准课题研究，实施一批依托标准的检测认证、试点示范，强制性国家标准平均制定周期不超过24个月，推荐性标准平均制定周期不超过18个月，标准化对行业的经济效益、社会效益、质量效益充分显现。
3. More solid foundation for standardization development. A number of comprehensive and professional standardized service and promotion platforms shall be built, and the digitalization of standards shall be continuously improved. A team of high-quality industry standardization talents shall be formed, a multi-level standardization talents training system shall be established, and the standardized communication and cooperation mechanism shall maximize better effect. A group of industry institutions with advanced standardization governance capabilities shall be cultivated to achieve standardization benchmarking demonstration effect.		（三）标准化发展基础更加牢固。建成一批综合性、专业性标准化服务与推广平台，标准数字化程度不断提高。建立一支高素质行业标准化人才队伍，构建完成多层次标准化人才培养体系，标准化沟通交流与协作机制发挥更好效用。培养一批具有先进标准化治理能力的行业机构，实现标准化标杆示范效应。
III. Main tasks		三、主要任务
1. Promoting the in-depth integration of business and standardization		（一）推动业务与标准化深度融合
The standardization work of securities, funds, futures and bonds business shall be promoted. By focusing on securities brokerage business, futures brokerage business, investment banking business, securities investment advisory business, futures investment advisory business, and asset management business (including but not limited to management of publicly offered funds, management of privately offered funds, and futures asset management), related business standards shall be actively developed, and a standard support system covering securities, funds, futures, bonds and other financial products shall be established. In consideration of various business characteristics, the industry experience or excellent cases shall be solidified through the form of business standards, the construction of the pilot program of standard application shall be strengthened, and the business standardization demonstration and promotion system shall be formed.		推动证券、基金、期货和债券业务标准化工作。以证券经纪业务、期货经纪业务、投资银行业务、证券投资咨询业务、期货投资咨询业务、资产管理业务（包括但不限于公募基金管理、私募基金管理、期货资产管理）等为重点，积极开展相关业务标准研制，构建覆盖证券、基金、期货和债券等金融产品的标准支撑体系。结合各类业务特色，将行业经验或优秀案例通过业务标准的形式予以固化，加强标准应用试点建设，形成业务标准化示范推广体系。
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