Standard number: JR/T 0183-2020
Standard name: Investor identification code for securities and futures industry
English name: Investor identification code for securities and futures industry
Standard format: PDF
Release time: 2020-02-26
Implementation time: 2020-02-26
Standard size: 489K
Standard introduction: This standard specifies the terms and definitions, code length and structure, code allocation, investor name naming rules, investor identity identification certificate types, investor identity identification certificate numbers, and other auxiliary identification information for the investor identification code for the securities and futures industry.
This standard is applicable to the allocation of a unified investor identification code for investors in the securities and futures market. This standard
is drafted in accordance with the rules given in GB/T1.1-2009.
This standard is proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4)
This standard is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180) The drafting units of this standard are: Information Center of China Securities Regulatory Commission, Securities and Fund Institutions Supervision Department of China Securities Regulatory Commission, Futures Supervision Department of China Securities Regulatory Commission, China Securities Depository and Clearing Co., Ltd., China Securities Information Technology Services Co., Ltd., China Financial Futures Exchange.
Main drafters of this standard JR/T 0183-2020: Yao Qian, Liu Tiebin, Kong Qingwen, Zhou Yunhui, Cao Lei, Qi Bo, Feng Tianning, Liu Mingji, Wang Chaoyang, Liu Dahai, Wu Yue, Xue Na, He Fei, Gao Hongjie, Yang Wei, Liu Ying, Zhang Yuxiang
This standard specifies the terms and definitions, code length and structure, code allocation, investor name naming rules, investor identity certificate types, investor identity certificate numbers, and other auxiliary identification information for the securities and futures industry investor identification codes. This standard is applicable to the allocation of unified investor identification codes to investors in the securities and futures market.
This standard was drafted in accordance with the rules given in GB/T 1.1-2009.
This standard was proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4).
This standard is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180).
The drafting units of this standard are: Information Center of China Securities Regulatory Commission, Securities and Fund Institutions Supervision Department of China Securities Regulatory Commission, Futures Supervision Department of China Securities Regulatory Commission, China Securities Depository and Clearing Co., Ltd., China Securities Information Technology Services Co., Ltd., China Financial Futures Exchange.
The main drafters of this standard are: Yao Qian, Liu Tiebin, Kong Qingwen, Zhou Yunhui, Cao Lei, Qi Bo, Feng Tianning, Liu Mingji, Wang Chaoyang, Liu Dahai, Wu Yue, Xue Na, He Fei, Gao Hongjie, Yang Wei, Liu Ying, Zhang Yuxiang.

Preface II
Introduction III
1 Scope1
2 Terms and definitions1
3 Code length and structure1
4 Code allocation1
5 Investor naming rules2 6
Investor identification document type2
7 Investor identification document number2
8 Other auxiliary identification information2
Appendix A (Informative Appendix) Example 3

ICS03.060
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Financial Industry Standard of the People's Republic of China
JR/T0183—2020
Investor identification code for securities and futures industry2020-02-26Released
China Securities Regulatory Commission
2020-02-26Implementation
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Introduction,
Terms and definitions
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Code length and structure.
Code allocation
Investor name naming rules.
Investor identity certificate type
Investor identity certificate number
Other auxiliary identification information
Appendix A (Informative Appendix)
JR/T0183—2020
JR/T/T0183—2020
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This standard was drafted according to the rules given in GB/T1.1—2009. This standard is proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4). This standard is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180). The drafting units of this standard are: Information Center of China Securities Regulatory Commission, Securities and Fund Institutions Supervision Department of China Securities Regulatory Commission, Futures Supervision Department of China Securities Regulatory Commission, China Securities Depository and Clearing Co., Ltd., China Securities Information Technology Services Co., Ltd., China Financial Futures Exchange. The main drafters of this standard are: Yao Qian, Liu Tiebin, Kong Qingwen, Zhou Yunhui, Cao Lei, Qi Bo, Feng Tianning, Liu Mingji, Wang Chaoyang, Liu Dahai, Wu Yue, Xue Na, He Fei, Gao Hongjie, Yang Wei, Liu Ying, Zhang Yuxiang. 11
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JR/T0183—2020
This standard is formulated to further standardize the investor account management system of my country's multi-level capital market, establish a unified specification for the application and allocation of investor identity identification codes in the securities and futures industry, and promote information sharing among market participants. Based on the investor identification code coding and allocation mechanism established by this standard, the investor identification in the securities trading market and the financial futures market has been unified through the construction of the industry's cross-period current one-code account system, and the integration of fund accounts and the formulation of fund account opening specifications are also progressing steadily.
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1Scope
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Investor identification code for securities and futures industry
JR/T/T0183—2020
This standard specifies the terms and definitions, code length and structure, code allocation, investor name naming rules, investor identification certificate type, investor identification certificate number, and other auxiliary identification information of investor identification codes in the securities and futures industry. This standard applies to the allocation of unified investor identification codes to investors in the securities and futures market. 2Terms and definitions
The following terms and definitions apply to this document. 2.1
Code allocation institutioncodeallocationinstitution is an institution that uniformly allocates and manages identification codes for investors in the securities and futures industry. 2.2
Investor identification codeinvestoridentificationcode is a unique code assigned by the code allocation institution to identify the identity information of investors in the securities and futures industry. 2.3
productinvestor
Product investor
Investors in the securities and futures industry with independent property ownership, other than natural person investors and institutional investors. Note: Such as securities investment funds, trust products, collective financial products, etc. 3 Code length and structure
The investor identification code in the securities and futures industry is 12 digits (see Table 1), consisting of the first 2 investor type codes and the last 10 custom codes: a
Investor type code: A code representing the investor type consisting of 2 digits ("18" or "19"), the natural person investor type code is "18", and the institutional and product investor type code is "19". Custom code: A 10-digit sequence code automatically generated according to the order in which the investor identification code is applied. Table 1 Coding structure of investor identification code for securities and futures industry Investor type code
First 2 digits (18 or 19)
4 Coding allocation
Custom code
Last 10 sequential coding digits
The coding allocation agency shall allocate the investor identification code for securities and futures industry in accordance with the coding length and structure determined by this standard, and inform the investor of the element information to be provided before the code allocation. When applying for an investor identification code, the investor shall provide the following three elements of information: investor name, investor identification certificate type, investor identification certificate number, and other relevant auxiliary identification information in accordance with the requirements of Chapter 8 for those who meet the conditions in Chapter 8. For code allocation examples, please refer to Appendix A. 1
JR/T/T0183—2020
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5 Naming rules for investor names
The naming rules for investor names are as follows:
a) The name of a natural person investor is the investor name: The name of an institutional investor is the full name of the institution: b)
C) The name of a product investor shall refer to the product naming rules stipulated by the product regulatory authority. 6 Types of investor identification documents
Investor identification documents include primary identification documents and auxiliary identification documents. Among them, auxiliary identification documents are only used to assist in verifying the identity of investors and are not used as the main basis for code allocation. The main types of identity documents include:
a) The main identity document for domestic natural person investors is the Resident Identity Card of the People's Republic of China; the main identity document for Hong Kong resident investors is the Mainland Travel Permit for Hong Kong and Macao Residents, the Residence Permit for Hong Kong, Macao and Taiwan Residents or the Hong Kong Resident Identity Card (the auxiliary document number can be filled in the Mainland Travel Permit, but it is not used as the basis for allocating investor identification codes); the main identity document for Taiwan resident investors is the Mainland Travel Permit or other valid travel documents; foreign natural person investors who have obtained permanent residence in China ( The main identity identification document for domestic institutional investors (except for those in Hong Kong, Macao and Taiwan) is the permanent residence permit for foreigners, and the identity identification document for other overseas natural person investors (except for those in Hong Kong, Macao and Taiwan) is a passport, or a certificate recognized by the local government or the Chinese government:
The main identity identification document for domestic institutional investors is the certificate with a unified social credit code (investors who have not yet applied for a certificate with a unified social credit code can use the original certificate with a registration number or approval number and other certificate numbers); g)
The main identity identification document for domestic product investors is the product manager's certificate with a unified social credit code (investors who have not yet applied for a certificate with a unified social credit code can use the original certificate with a registration number or approval number and other certificate numbers); h) The main identity identification document for overseas institutions and products is a certificate recognized by the local government or the Chinese government. The types of auxiliary identification documents include:
a) The auxiliary identification documents of natural person investors include military identification documents, residence permits, temporary residence permits, passports, household registers, and permanent residence permits for foreigners;
The auxiliary identification documents of domestic institutional investors include business licenses, institutional credit code certificates, LEI (Global Legal Entity Identifier), etc.
The auxiliary identification documents of domestic product investors include filing documents, approval documents, reply documents, bank financial product coding documents, non-public offering product coding documents, private fund product coding documents, trust product coding documents, etc. 7 Investor identification document number
The investor identification document number is the number that uniquely corresponds to the identification document type in Chapter 6. 8 Other auxiliary identification information
For products such as securities and futures institutions' asset management plans and insurance asset management plans with only one principal, the principal's name, principal's identification certificate type, and principal's identification certificate number must be provided. 2
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Appendix A
(Informative Appendix)
JR/T/T0183—2020
Example 1: "Li XX" applies for an investor identification code as a natural person investor and needs to provide relevant information on his/her resident ID card of the People's Republic of China, including name (Li xX) and ID card number (110105********0403). The code allocation agency will allocate an investor identification code of 1801******23 to him/her accordingly. Example 2: "ZX Securities Company" applies for an investor identification code as an institutional investor and needs to provide relevant information on the license and certificate with a unified social credit code, including the full name (ZX Securities Co., Ltd.), the unified social credit code (9111******, 1900******10.
*****), and the code allocation agency allocates an investor identification code to it accordingly. Example 3: "XX Insurance Asset Management Collective Asset Management Plan" applies for an investor identification code as a product investor and needs to provide relevant information on the license and certificate with a unified social credit code, including "Insurance Asset Management Company Abbreviation - Custodian Abbreviation - Asset Management Plan Name" (TP Insurance Asset Management - GS Bank HY Asset Management Plan), unified social credit code (9111**************), and the code allocation agency allocates an investor identification code 1901******75 to it accordingly. See Table A.1 for coding-related examples.
Table A.1 Example of investor identification code in securities and futures industry Main identity of investor
Example 1
Example 2
Example 3
Type of investor
Natural person investor
Institutional investor
Product investor
Name of investor
ZX Securities Co., Ltd.
TP Insurance Asset Management—GS
Bank—HY Asset Management Plan
Type of ID
Residential ID card of the People's Republic of China
Add Load the certificate of unified social credit code
Load the certificate of unified social credit
Code
Investor's main identity
Identification certificate number
110105********0
91.11***********
9111***********
Investor identification code
(One-code account
1801******23
1900******10
1901******7511***********
9111***********
Investor identification code
(One-code account
1801******23
1900******10
1901******7511***********
9111***********
Investor identification code
(One-code account
1801******23
1900******10
1901******75
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