Notice of the National Development and Reform Commission and the Ministry of Finance on the Re-Issuance of the Charging Rates for Administrative and Institutional Fees of Centrally-Administered Securities Regulatory Departments

国家发展改革委、财政部关于重新发布中央管理的证券监管部门行政事业性收费标准的通知

Promulgating Institution: National Development and Reform Commission; Ministry of Finance

Document Number: Fa Gai Jia Ge [2010] No. 996

Promulgating Date: 05/14/2010

Effective Date: 05/14/2010

颁布机关: 国家发展和改革委员会; 财政部

文      号: 发改价格[2010]996号

颁布时间: 05/14/2010

实施时间: 05/14/2010

To the China Securities Regulatory Commission:

   中国证监会：

For the purposes of strengthening the administration of fee collection, regulating charging acts, and practically safeguarding the legitimate rights and interests of citizens, legal persons, and other social organizations, we cleared up and re-examined the charging rates for administrative and institutional fees of centrally-administered securities regulatory departments in accordance with the relevant provisions of the Notice of the Ministry of Finance and the State Planning Commission on Charging Securities and Futures Market Regulatory Fees (Cai Zong Zi [1995] No. 146) and the Reply of the Ministry of Finance and the National Development and Reform Commission on Approval of Changing the Entities that Charge the Securities and Futures Practitioner Qualifying Exam Fees and Practicing Qualification Certificate Material Fees (Cai Zong [2004] No. 91) and hereby promulgate the charging rates and notify of the relevant issues as follows:

    为加强收费管理,规范收费行为,切实维护公民、法人和其他社会组织的合法权益,根据《财政部、国家计委关于收取证券、期货市场监管费的通知》(财综字[1995]146号)和《财政部国家发展改革委关于同意变更证券及期货从业人员资格报名考试费和从业资格证书工本费执收单位等问题的复函》(财综[2004]91号)的有关规定,对中央管理的证券监管部门行政事业性收费标准进行了清理和重新审核,现予以发布并将有关事项通知如下:

1. Securities Market Regulatory Fees

The rates for securities trading regulatory fees that the China Securities Regulatory Commission ("CSRC") charges stock exchanges, securities companies, fund management companies, and futures brokerage companies:

(1) The rate for securities transaction regulatory fees that the CSRC charges Shanghai and Shenzhen stock exchanges is 0.004% of the annual trading volume for stock or securities investment funds, and 0.001% of the annual trading volume for bonds (excluding treasury bond repo transactions).

(2) The rate for institution regulatory fees that the CSRC charges securities companies, fund management companies, and futures brokerage companies registered within the territory of China is 0.05% of the registered capital of each securities company or fund management company every year, up to RMB 300,000, and 0.5‰ of the registered capital of each futures brokerage company every year, up to RMB 50,000.

       一、证券市场监管费

    中国证券监督管理委员会向证券交易所和证券公司、基金管理公司、期货经纪公司收取的证券市场监管费标准为:

    (一)向上海、深圳证券交易所收取的证券交易监管费收费标准为,对股票、证券投资基金按年交易额的0.04‰收取;对债券(不包括国债回购交易)按年交易额的0.01‰收取。

    (二)对在中国境内登记注册的证券公司、基金管理公司、期货经纪公司收取的机构监管费收费标准为:对证券公司和基金管理公司每年按注册资本金0.5‰收取,最高收费额30万元;对期货经纪公司每年按注册资本金0.5‰收取,最高收费额5万元。

2. Futures Market Regulatory Fees

The rate for futures market regulatory fees that the CSRC charges Shanghai, Zhengzhou and Dalian futures exchanges is 0.0002% of the annual trading volume.

       二、期货市场监管费

    中国证券监督管理委员会向上海、郑州、大连期货交易所收取的期货市场监管费收费标准,按年交易额的0.002‰收取。

3. Securities and Futures Practitioner Qualifying Exam Fees

The Securities Association of China and the China Futures Association organize the securities and futures practitioner qualifying exams and charge each person who registers for the exam RMB 70 per subject.

       三、证券、期货业从业人员资格报名考试费

    中国证券业协会和中国期货业协会组织证券、期货业从业人员资格考试,向报名参加考试人员收取的报名考试费收费标准为,每人每科70元。

4. Charging entities shall apply for a Fee Charging Permit with the National Development and Reform Commission in accordance with the provisions and use financial vouchers pursuant to the relevant provisions of the Ministry of Finance.

       四、收费单位应按规定到国家发展改革委办理收费许可证,并按照财政部有关规定使用财政票据。

5. Charging entities shall charge fees in strict accordance with the aforesaid provisions and shall not, without authorization, increase charging items, expand charging scope, raise charging rates, or charge additional fees, and obediently accept the supervision and inspection conducted by the price, finance, and audit departments.

       五、收费单位应严格按照上述规定收费,不得擅自增加收费项目、扩大收费范围、提高收费标准或加收其他任何费用,自觉接受价格、财政、审计部门的监督检查。

6. The charging rates for securities market regulatory fees and futures market regulatory fees shall become effective on January 1, 2009, and will be valid for three years. After expiration, the CSRC shall report the charging rates to the National Development and Reform Commission and the Ministry of Finance for re-approval according to the specified procedures. From the date of promulgation of this Notice, the Notice of the State Planning Commission and the Ministry of Finance on the Charging Rates for Securities and Futures Practitioner Qualifying Exam Fees (Ji Jia Ge [2000] No. 1371) shall be repealed simultaneously.

National Development and Reform Commission

Ministry of Finance

May 14, 2010

       六、证券市场监管费和期货市场监管费收费标准自2009年1月1日起执行，有效期3年。有效期满后按规定程序，由中国证券监督管理委员会报国家发展改革委、财政部重新审批。本通知发布之日起，《国家计委、财政部关于证券、期货业从业人员资格报名考试费等收费标准的通知》（计价格[2000]1371号）同时废止。

    国家发展改革委

    财政部

    二○一○年五月十四日