证监会计字[2003]2号

颁布日期：20030209 　实施日期：20030209 　颁布单位：中国证券监督管理委员会

　　ZhengJianHuiJiZi [2003] No.2

　　February 9， 2003

　　Stock and futures¹ exchanges， securities， fund and futures companies， and enterprises applying for public issuance of stocks， convertible² bonds and funds：

　　Here is to transmit the Circular of the State Development Planning Commission and the Ministry³ of Finance on Re-Verification of the Charging Criteria⁴ of Regulatory Fees of the Securities Market and the Relevant Issues （JiJiaGe [2003] No. 60， see Attachment⁵） and notify you of the issues on payment of the fees as follows：

　　I. The adjustment of the charging criteria on the regulatory fees of securities transactions only involves the increase and decrease of the charging criteria between the CSRC and the stock exchanges while the charging criteria with the securities institutions and investors⁶ remains⁷ the same. Upon the adjustment of the charging criteria on the regulatory fees of securities transactions， the formalities fees for stock transactions with Shanghai and Shenzhen Stock Exchanges are decreased by 0.005‰ and that for fund transactions increased by 0.04‰ and that for bond （exclusive of repurchase of treasury⁸ bonds） transactions increased by 0.01‰。 The regulatory fees of securities transactions should be paid monthly， and Shanghai and Shenzhen Stock Exchanges shall pay the regulatory fees of securities transactions of the previous month to the special remittance⁹ account of the central treasury before the 20th day of the next month.

　　II. The fees for review and verification of public issuance should be paid to the special remittance account of the central treasury by the enterprise applying for public issuance of stocks （including initial public issuance， additional issuance and allocation）， convertible bonds and funds when the CSRC accepts and investigates on application materials.

　　III. The regulatory fees of financial institutions should be based on the registered capital as of the end of the last year， which should be paid to the special remittance account of the central treasury by the securities firms， fund companies， futures companies before April each year.

　　IV. The regulatory fees of the futures markets should be paid monthly， and Shanghai， Dalian and Zhengzhou Futures Exchanges shall pay the corresponding regulatory fees of futures market of the previous month to the special remittance account of the central treasury prior to the 20th day of the next month.

　　V. The special remittance account of the central treasury is as follows：

　　（I） By T/T or M/T

　　Opening bank： CITIC Industrial Bank Head Office

　　Name of account： CSRC （special remittance account of the central treasury）

　　Bank account： 7111010189800000162

　　（II） By transfer cheque or bank draft

　　Opening bank： CITIC Industrial Bank Head Office

　　Name of account： CSRC Accounting¹⁰ Department

　　Bank account 7111010189800000162

　　The above-mentioned paying units are required to pay the fees in a timely manner and upon payment timely notify our Accounting Department of the communication addresses. In case of failure to pay the relevant fees， the CSRC may temporarily stop accepting the relevant securities and futures businesses.

　　Contact： CSRC Accounting Department

　　Contact Tel： （010）88061689 88061330

　　Contact with： Wang Meiling， Liu Yunfeng

　　Attachment： The Circular of the State Development Planning Commission and the Ministry of Finance on Re-Verification of the Charging Criteria of Regulatory Fees of the Securities Market and the Relevant Issues

　　Attachment：

　　Circular of the State Development Planning Commission and the Ministry of Finance on Re-Verification of the Charging Criteria of Regulatory Fees of the Securities Market and the Relevant Issues

　　JiJiaGe [2003] No. 60

　　January 8， 2003

　　China Securities Regulatory Commission Commission ：

　　Your Letter Concerning Applying for the Adjustment of the Charging Criteria on Regulatory Fess of Securities and Futures Markets （ZhengJianHan [2002] No. 268） has been acknowledged. And through study， the re-verified charging criteria of regulatory fees of the securities market and the relevant issues are notified as follows in the principle of compensation of reasonable fees：

　　I. The regulatory fees of securities transactions. For stocks， the fees should be decreased from 0.045% as per annual transaction volume to 0.04‰； for securities investment fund， charged at 0.04‰； for bonds （exclusive of repurchase of treasury bonds）， at 0.01‰。 The fees should be paid by Shanghai and Shenzhen Stock Exchanges.

　　II. The fees for review and verification of public issuance. For the enterprises applying for public issuance of stocks （inclusive of convertible bonds）， the criteria on collection of the fees for examination and verification of public issuance is adjusted from RMB30，000 to RMB200，000 per enterprise， and considering the different issuance procedures between funds and stocks， the fees concerned for fund issuance are slightly lower than those for the stock issuance， which is RMB160，000 per enterprise.

　　III. The regulatory fees of financial institutions. The fees collected only from the securities firms are adjusted as being collected from the securities firms， fund management companies and futures brokerage companies that are registered in the territory of the PRC. The fees collected from the securities firms annually¹¹ at 1‰ of the registered capital but no less than RMB10，000 and no more than RMB100，000 are adjusted as annually at 0.5‰ of the registered capital but no more than RMB300，000. The fees collected from the fund management companies are annually at 0.5‰ of the registered capital but no more than RMB300，000， and those from futures brokerage companies annually at 0.5‰ of the registered capital but no more than RMB50，000.

　　IV. The regulatory fees of the futures markets. The fees still remain at annual 0.002‰ as per the annual transaction volume， to be collected from Shanghai， Dalian and Zhengzhou Futures Exchanges.

　　V. The CSRC shall go through the formalities as specified¹² with the State Development Planning Commission for alteration¹³ of the charging licenses¹⁴， and adopt the bills uniformly made and printed by the Ministry of Finance.

　　VI. The CSRC shall execute the relevant charging of fees according to the charging items， charging scope and charging criteria as specified and accept the regulatory supervisions by the state pricing and financial departments.

　　VII. The Circular shall enter into force as of January 1， 2003 for a term of three years， upon expiration¹⁵ of which the CSRC shall submit applications to the State Development Planning Commission and the Ministry of Finance. The fees to be charged of 2002 by the CSRC should be executed in compliance¹⁶ with the Circular of the State Development Planning Commission and the Ministry of Finance on Adjustment of the Charging Criteria of Regulatory Fees of the Securities Market （JiJiaGe [2000] No. 1059）。 As of the date of the execution of this Circular， the provisions concerning the charging criteria on regulatory fees of the securities and futures markets of the State Development Planning Commission and the Ministry of Finance shall be nullified simultaneously¹⁷.