Notice on Transferring "Notice of the State Planning Commission and the Ministry of Finance Concerning the Re-determination on the Standard Rate for Regulatory Fees of Securities Market and the Relevant Issues"

中国证券监督管理委员会关于转发《国家计委、财政部关于重新核定证券市场监管费收费标准及有关问题的通知》的通知

 

Promulgating Institution:China Securities Regulatory Commission

Document Number:Zheng Jian Huai Ji Zi[2003]No.2

Promulgating Date:02/09/2003

Effective Date:02/09/2003

 

颁布机关:中国证券监督管理委员会

文      号:证监会计字[2003]2号

颁布时间:02/09/2003

实施时间:02/09/2003

 

Various stock and futures exchanges, various securities, funds and futures companies, enterprises applying for public issuance of shares, convertible bonds and funds:

"Notice of the State Planning Commission and the Ministry of Finance Concerning the Re-determination on the Standard Rate for Regulatory Fees of Securities Market and the Relevant Issues" (Ji Jia Ge [2003] No. 60) is now transferred to you and the relevant issues on payment is hereby notified as the following:

    各证券、期货交易所,各证券、基金、期货公司,申请公开发行股票、可转债及基金的企业:

    现将《国家计委、财政部关于重新核定证券市场监管费收费标准及有关问题的通知》(计价格[2003]60号,详见附件)转发给你们,并就缴费的有关问题通知如下:

I. The adjustment on the standard rate for regulatory fee of securities transaction shall only involve the increase or decrease of the standard rate between the Securities Regulatory Commission and stock exchange while the standard rate for securities institutions and investors shall remain unchanged. After the adjustment on the standard rate for regulatory fee of securities transaction, the brokerage rate of shares transaction in the exchanges of Shanghai and Shenzhen shall be increased by 0.005%, the brokerage rate of funds transaction shall be decreased by 0.04% and the brokerage rate of bonds transaction (excluding the transaction of re-purchase of national bonds) shall be decreased by 0.01% accordingly. The regulatory fee of securities transaction shall be paid monthly. The stock exchanges in Shanghai and Shenzhen shall pay the regulatory fee of securities transaction in the previous month, which is ought to be paid, to the special account of the Central Finance for payment collection before the 20th day of every month.

       一、证券交易监管费收费标准的调整,只涉及证监会与证券交易所相互间收费标准的增减,对证券机构及投资者的收费标准仍维持不变。证券交易监管费收费标准调整后,相应调增上海、深圳交易所股票交易经手费标准0.005‰,调减基金交易经手费标准0.04‰及债券交易(不包括国债回购交易)经手费标准0.01‰。证券交易监管费按月缴纳,上海、深圳证券交易所须在每月20日之前将上一月度应缴证券交易监管费上缴中央财政汇缴专户。

II. The charge for the examination on issuance shall be paid by enterprises applying for the public issuance of shares (including new issuance, additional issuance and additional shares), convertible bonds and funds to the special account of the Central Finance for payment collection at the time of the acceptance of declared information by the SRC.

       二、发行审核费由申请公开发行股票(含新发、增发、配股)、可转债及基金的企业在证监会受理申报材料时上缴中央财政汇缴专户。

III. Calculation of institutional regulatory fee shall be based on the registered capital at the end of last year. It shall be paid by securities companies, funds companies and futures companies to the special account of the central finance for payment collection before April of every year.

       三、机构监管费以上年末注册资本金为计费依据,由证券公司、基金公司、期货公司在每年4月份之前上缴中央财政汇缴专户。

IV. Regulatory fee of futures market shall be paid monthly. The futures exchanges in Shanghai, Dalian and Zhengzhou shall pay the regulatory fee of futures market in the previous month, which is ought to be paid, to the special account of the central finance for payment collection before the 20th day of every month.

       四、期货市场监管费按月缴纳,上海、大连、郑州期货交易所须在每月20日之前将上一月度应缴期货市场监管费上缴中央财政汇缴专户。

V. The special account of the central finance for payment collection is:

(1) Payment by telegraphic transfer and mail transfer

Name of bank: Business Department of the Head Office of CITIC Industrial Bank

Name of account holder: China Securities Regulatory Commission (the special account of the Central Finance for payment collection)

Bank account no: 7111010189800000162

(1) Payment by cheque of account transfers and bank draft

Name of bank: Business Department of the Head Office of CITIC Industrial Bank

Name of account holder: Accounting Department of China Securities Regulatory Commission

Bank account no: 7111010189800000162

The above-mentioned payment units shall require to pay promptly under the stipulations. The payment units, after making the payment, shall notify the accounting department of the Commission their contact addresses. For those who fail to pay under the stipulations, the Commission shall suspend the acceptance of their respective businesses on securities and futures.

Contact unit: Accounting Department of the SRC

Contact number: (010) 88061689 88061330

Contact persons: Wang Meiling, Liu Yunfeng

Annex: "Notice of the State Planning Commission and the Ministry of Finance Concerning the Re-determination on the Standard Rate for Regulatory Fee of Securities Market and the Relevant Issues"

China Securities Regulatory Commission

February 9, 2003

 

Annex:

Notice of the State Planning Commission and the Ministry of Finance Concerning the Re-determination on the Standard Rate for Regulatory Fee of Securities Market and the Relevant Issues

 

China Securities Regulatory Commission,

"Letter Concerning the Application for the Adjustment on the Standard rate for Regulatory Fee of Securities and Futures Markets" (Zheng Jian Han [2002] No. 268) of your Commission was received. After being studied, the re-determination on the standard rate for regulatory fee of securities market and the relevant matters is, on the basis of the principle of compensating the reasonable fee, hereby notified as the followings:

I. Regulatory Fee of Securities Transaction. For shares, the collection based on 0.045% of the annual transaction amount shall be reduced to the collection based on 0.04% of the annual transaction amount. For securities investment funds, the collection shall be based on 0.04% of the annual transaction amount. For bonds (excluding the transaction of repurchase of national bonds), the collection shall be based on 0.01% of the annual transaction amount. Regulatory fee of securities transaction shall be collected from the stock exchanges in Shanghai and Shenzhen.

II. The charge for the examination on issuance. For the enterprise applying for public issuance of shares (including convertible bonds), the standard rate for the examination on issuance (of shares) collected for each enterprise shall be adjusted from RMB 30,000 to RMB 200,000. Considering that the procedure for the issuance of funds is different from that of shares, the rate for the examination on issuance (of funds) shall be slightly lower than the charge for the examination on issuance of shares. The standard rate for each enterprise (issuing funds) shall be RMB 160,000.

III. Institutional regulatory fee. Institutional regulatory fee is only collected from securities companies originally. It is also collected from securities companies, funds management companies and futures brokerage companies which are registered within China now. The annual collection from securities companies, which is based on 0.5% of the registered capital with minimum charge of RMB 10,000 and maximum charge of RMB 100,000, shall be adjusted to the annual collection which is based on 0.5% of the registered capital with maximum charge of RMB 300,000. The annual collection from funds management companies shall be based on 0.5% of registered capital with maximum charge RMB 300,000. The annual collection from futures brokerage companies shall be based on 0.5% of registered capital with maximum charge RMB 50,000.

IV. Regulatory fee of futures market. The standard rate shall still be 0.002% of the annual transaction amount and collected from futures exchanges in Shanghai, Zhengzhou and Dalian.

V. Your Commission shall go through formalities of modification of charging license at the State Planning Commission in compliance with the provisions and use the bills issued uniformly by the Ministry of Finance.

       五、中央财政汇缴专户为:

    (一)以电汇、信汇方式缴费

    开户银行:中信实业银行总行营业部

    账户名称:中国证券监督管理委员会(中央财政汇缴专户)

    银行账号:7111010189800000162

    (二)以转账支票、银行汇票方式缴费

    开户银行:中信实业银行总行营业部

    账户名称:中国证券监督管理委员会会计部

    银行账号:7111010189800000162

    请上述缴费单位按规定及时缴费,缴费单位缴费后请及时将通讯地址通知我会会计部。凡不按规定缴费的,我会将暂时停止受理其有关证券、期货业务。

    联系单位:证监会会计部

    联系电话:(010)88061689 88061330

    联系人:王美玲 刘云峰

 

    附:《国家计委、财政部关于重新核定证券市场监管费收费标准及有关问题的通知》

 

    附件:

 

国家计委、财政部关于重新核定证券市场监管费收费标准及有关问题的通知

 

    你会《关于申请调整证券、期货市场监管费收费标准的函》(证监函[2002]268号)收悉。经研究,按照补偿合理费用的原则,现就重新核定的证券市场监管收费标准及有关事宜通知如下:

 

    一、证券交易监管费。对股票由按年交易额的0.045‰收取降低为按年交易额的0.04‰收取;对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。证券交易监管费向上海、深圳证券交易收取。

 

    二、发行审核费。对申请公开发行股票(含可转债)的企业,收取的发行审核费标准由每个企业3万元调整为20万元;考虑到基金发行程序与股票有所不同,审核费用也略低于股票发行的审核费用,收费标准为每个企业16万元。

 

    三、机构监管费。由只对证券公司收取,调整为对在中国境内登记注册的证券公司、基金管理公司、期货经纪公司均收取机构监管费。对证券公司由每年按注册本金的1‰收取,最低收费额1万元,最高收费额10万元;调整为每年按注册资本金的0.5‰收取,最高收费额30万元。对基金管理公司每年按注册资本金的0.5‰收取,最高收费额为30万元。对期货经纪公司每年按注册资本金的0.5‰收取,最高收费额为5万元。

 

    四、期货市场监管费。收费标准仍按年交易额的0.002‰,向上海、郑州、大连期货交易所收取。

 

    五、你会应按规定到国家计委办理收费许可证变更手续,使用财政部统一印制的票据。

VI. Your Commission shall be in compliance with the stipulated charging items, charging scope and standard rate, and voluntarily accept the supervision and inspection of departments for pricing and finance.

       六、你会应按规定的收费项目、收费范围和收费标准执行,自觉接受价格、财政部门的监督检查。

VII. This Notice shall be executed as of January 1, 2003 and shall be valid for three years. After the expiration, your Commission shall report to the State Planning Commission and the Ministry of Finance again. The charge of your Commission in 2002 shall be still executed based on the provisions of "Notice of the State Planning Commission and the Ministry of Finance Concerning the Adjustment on the Standard rate for Regulatory Fee of Securities Transaction" (Ji Jia Ge [2000] No. 1059). Any provision of the State Planning Commission and the Ministry of Finance concerning the standard rate for regulatory fee of securities and futures markets shall be repealed as of the date of execution of this Notice.

       七、本通知自2003年1月1日起执行。有效期为3年,期满后,由你会向国家计委、财政部重新申报。你会2002年的收费,仍按《国家计委、财政部关于调整证券交易监管费收费标准的通知》(计价格[2000]1059号)规定执行。自本通知执行之日起,过去国家计委、财政部有关证券、期货市场监管费收费标准的规定同时废止。