Unified code for participants in mutual funds market specification
Attachment:
ICS 03.060
A11
Recordation Number
JR
Financial Industry Standards of the People's Republic of China
JR/T 0085-2012
Issued on December 26, 2012
Effective on December 26, 2012
China Securities Regulatory Commission
Table of Contents
Preface
1. Scope
2. References to Specification Documents
3. Terms and Meanings
4. Coding Rules
5. Registration Management Institutions
Preface
This standard was drafted according to the rules in GB/T 1.1-2009.
This standard was proposed by the Securities Technical Sub-committee of the China Financial
Standardization Technical Committee
This standard shall be subject to the unified administration by the China Financial Standardization
Technical Committee.
This standard was drafted by: the Department of Fund Supervision of the China Securities
Regulatory Commission (“CSRC”), the Information Center of the CSRC, CITIC-Prudential Fund
Management Co. Ltd., the Shanghai Stock Exchange, the Shenzhen Stock Exchange, China
Securities Depository and Clearing Corporation Limited, the Securities Association of China,
Industrial and Commercial Bank of China, Bank of China, China Galaxy Securities Co. Ltd.,
CITIC Securities Co., Ltd., China Asset Management Co., Ltd, Hua An Fund Management Co.,
Ltd., Harvest Fund Management Limited, ICBC Credit Suisse Asset Management Co., Ltd.,
Southern Funds Asset Management Co. Ltd., Bosera Funds Co. Ltd., and Beijing Ji'an Financial
Information Co. Ltd.
The main drafters of this standard are: Hong Lei, Liu Wanfang, Cheng Li, Chen Yixin, Zhang Fan,
Zhang Zhe, Shao Qiuming, Pan Zhenjiang, Zheng Binxiang, Wu Shaoping, Guo Jing, He Xiaolei,
Wu Qinwen, Lian Yuwei, Tang Qiang, Zha Hanfeng, Wu Yin, Zhang Jinfeng, Zhao Liang, Peng
Xin, Lian Sheng, Yao Jie, Gu Hepeng, Chen Lei and Wang Tieniu.
Unified Code for Participants in Mutual Funds Market Specification
1 Scope
This standard specifies the coding standards and code assignment rules for fund participants.
This standard shall apply to the data exchange and identification of fund custodians, fund
distributors, fund transfer agents, fund trading payment agents, fund trading supervision agents
and other institutions.
2 References to Specification Documents
The following documents are essential to the application of this standard. For references to dated
documents, only the dated edition of a document is applicable to this standard. For references to
undated documents, the latest edition (including all amendments) of a document is applicable to
this standard.
GB/T 11714-1997 Rules of Coding for the Representation of Organization
3 Terms and Meanings
The following terms and meanings shall apply to this standard.
3.1 Fund Custodian
Means a legally established commercial bank which has been qualified for providing the fund
custody service.
3.2 Fund Distributor
Means a fund manager, a commercial bank (including a foreign-funded bank incorporated in
China), a securities company, a securities investment consulting institution, an independent fund
sales institution or any other institution specified by the China Securities Regulatory Commission
(hereinafter referred to as the “CSRC”), which has been qualified for engaging in the fund sales
business.
3.3 Fund Transfer Agent
Means an institution which conducts the transfer, depositing and settlement of fund shares and
may engage in the opening and management of investors' fund accounts, the registration of fund
shares, the confirmation, settlement and delivery of fund sales, the dividend distribution agency,
the establishment and safekeeping of rosters of fund share holders and other services.
3.4 Fund Trading Payment Agent
Means a commercial bank or a payment institution which meets the conditions set forth by the
CSRC to provide the fund trading payment service.
3.5 Fund Trading Supervision Agent
Means a commercial bank responsible for the supervision over the opening and use of sales
accounts by relevant fund distributors and the transfer process of fund trading settlement funds
during the movement of fund trading settlement funds or China Securities Depository and
Clearing Corporation Limited.
4 Coding Rules
The coding rules for fund participants are as follows:
(a) For a fund participant as a transfer agent, two-digit characters coding shall be adopted, and the
characters may be numbers or case-sensitive English letters.
(b) The codes of other fund participants shall be the national organization codes. National
organization codes shall be governed by GB/T 11714-1997.
5 Registration Management Institutions
The codes of fund participants shall be uniformly assigned and managed by the coding and
standards service providers accredited by the securities and futures industry standardization
organization. The institution managing national organization codes is the National Administration
for Code Allocation to Organizations.