Standard number: JR/T 0177.1-2020
Standard name: Contents and formats of data on investors' rights and interests
in the securities and
futures industry-Part 1: Securities
Standard format: PDF
Release time: 2020-02-26
Implementation time: 2020-02-26
Standard size: 1.34M
Standard introduction: This part specifies the data categories and types, data content and formats of investor rights data in the securities industry. The data content and format include investor account data, brokerage business data, credit business data and derivative business data.
This part is applicable to industry institutions to carry out work related to the governance of investor rights data in the securities industry. JR/T0177-2020 "Content and format of data related to investors' rights and interests in the securities and futures industry" is divided into 3 parts:
Part 1: Securities;
Part 2: Futures;
Part 3: Funds.
This part is Part 1 of JR/T0177-2020
This part is drafted according to the rules given in GBT1.1-2009
This part is proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4)
This part is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180) Drafting units of this part: Information Center of China Securities Regulatory Commission, China Securities Information Technology Services Co., Ltd., Hang Seng Electronic Co., Ltd.
Main drafters of this part: Yao Qian, Liu Tiebin, Luo Kai, Wang Dongming, Zhou Yunhui, Lu Yi, Zhou An, Luo Xuan, Jia Shi, Han Xiaohong, Zhu Zhongchun, Su Hang, Yang Zhenjiang
This part specifies the data categories and types, data content and format of investor equity data in the securities industry. The data content and format include investor account data, brokerage business data, credit business data and derivative business data. This part is applicable to industry institutions to carry out data governance related to investors' rights and interests in the securities industry.
JR/T 0177-2020 "Content and format of data related to investors' rights and interests in the securities and futures industry" is divided into 3 parts:
——Part 1: Securities;
——Part 2: Futures;
——Part 3: Funds. This
part is Part 1 of JR/T 0177-2020.
This part is drafted in accordance with the rules given in GB/T 1.1-2009.
This part is proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4).
This part is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180).
The drafting units of this part are: Information Center of China Securities Regulatory Commission, China Securities Information Technology Services Co., Ltd., and Hengsheng Electronics Co., Ltd.
The main drafters of this part are: Yao Qian, Liu Tiebin, Luo Kai, Wang Dongming, Zhou Yunhui, Lu Yi, Zhou An, Luo Xuan, Jia Shi, Han Xiaohong, Zhu Zhongchun, Su Hang, and Yang Zhenjiang.
The following documents are indispensable for the application of this document. For any dated referenced document, only the version with the date is applicable to this document. For any undated referenced document, the latest version (including all amendments) is applicable to this document.
GB/T 2659—2000 Codes for names of countries and regions in the world
GB/T 4658—2006 Educational qualifications code
GB/T 12406—2008 Codes for indicating currency and funds
JR/T 0046—2009 Message structure and design rules for data exchange between securities, futures and inter-bank business
Preface II
1 Scope1
2 Normative references1
3 Terms and definitions1
4 Data categories and types1
41 Data categories2
42 Data types2
5 Data content and format2
51 Investor account data2
511 Investor information data2
512 Investor fund account data4
513 Investor securities account data4
514 Investor custody account data5
52 Brokerage business data6
521 ​​Investor fund balance data6
522 Investor securities balance data6 523
Investor restricted stock balance data7
53 Credit business data8
531 Investor stock pledge contract data8
532 Investor agreed repurchase contract data9
533 Investor bond pledge repurchase data11
534 Investor margin trading contract data12
535 Investor margin trading fund balance data13
536 Investor margin trading securities balance data14
537 Investor's margin contract liability data15
538 Investor's margin asset and liability data17
539 Investor's margin lending equity compensation data17
54 Derivative business data18
541 Investor's option fund balance data18
542 Investor's option position data19
Appendix A (Normative Appendix) Data dictionary21
Appendix B (Normative Appendix) Code value and description26
References35

ICS03.060
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Financial Industry Standard of the People's Republic of China
JR/T 0177.1—2020
Contents and formats of data on investors' rights and interests in the securities and futures industry Part 1: Securities
Contents and formats of data on investors' rights and interests in the securities and futures industryPartl:SecuritiesIndustry Standard Information Service Platform
Released on 2020-02-26
China Securities Regulatory Commission
Implementation on 2020-02-26
iiikAacJouakAa
Industry Standard Information Service Platform
2Normative reference documents
3Terms and definitions.
4Data categories and types
4.1Data categories..
4.2Data types..
5Data content and format.
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5.1Investor account data..
5.1.1Investor information data.
5.1.2 Investor fund account data
5.1.3 Investor securities account data.
5.1.4 Investor custody account data.
5.2 Brokerage business data...
5.2.1 Investor fund balance data.
5.2.2 Investor securities balance data...
5.2.3 Investor restricted stock balance data.
5.3 Credit business data...
5.3.1 Investor stock pledge contract data
5.3.2 Investor repurchase contract data..
5.3.3 Investor bond pledge repurchase Data, 5.3.4 Investor's margin trading contract data..
5.3.5 Investor's margin trading fund balance data
5.3.6 Investor's margin trading securities balance data.5.3.7 Investor's margin trading contract liability data.5.3.8 Investor's margin trading asset and liability data..5.3.9 Investor's margin trading equity compensation data..5.4 Derivatives business data
5.4.1 Investor's option fund balance data
5.4.2 Investor's option position data
Appendix A (Normative Appendix)
Data fonts
Appendix B (Normative Appendix) Code value and description References
JR/T 0177.1—2020
JR/T 0177.1—2020
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JR/T0177—2020 "Content and format of data related to investor rights and interests in securities and futures industry" is divided into 3 parts: Part 1: Securities; Part 2: Futures; Part 3: Funds. This part is Part 1 of JR/T0177—2020. This part is drafted in accordance with the rules given in GB/T1.1-2009. This part is proposed by the Securities Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4). This part is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180). Drafting units of this part: Information Center of China Securities Regulatory Commission, China Securities Information Technology Services Co., Ltd., and Hang Seng Electronics Co., Ltd.
The main drafters of this part: Yao Qian, Liu Tiebin, Luo Kai, Wang Dongming, Zhou Yunhui, Lu Yi, Zhou An, Luo Xuan, Jia Shi, Han Xiaohong, Zhu Zhongchun, Su Hang, Yang Zhenjiang.
Industry Standard Information Service Platform
iiiKAacJouiaKAa
JR/T 0177.1—2020
Content and format of investor rights and interests data in securities and futures industry Part 1: Securities 1 Scope
This part specifies the data categories and types, data content and format of investor rights and interests data in the securities industry. The data content and format include investor account data, brokerage business data, credit business data and derivative business data. This part is applicable to industry institutions to carry out work related to the governance of investor rights and interests data in the securities industry. Normative reference documents
The following documents are indispensable for the application of this document. For all referenced documents with dates, only the versions with the dates noted are applicable to this document. For any undated referenced document, the latest version (including all amendments) shall apply to this document. GB/T2659-2000 Codes for names of countries and regions in the world GB/T4658-2006 Educational code
GB/T12406-2008 Codes for currency and funds JR/T0046-2009 Rules for the structure and design of message bodies for data exchange between securities and futures industry and inter-bank business 3 Terms and definitionsbzxZ.net
The following terms and definitions apply to this document. 3.1
securitiesinvestor
Securities investor
Investors participating in the stock market and other on-site securities markets. Note: Mainly institutional investors and individual investors. 3.2
Investorsrights and interestsInvestors' rights and interests
The interests brought by investors' rights arising from their investment in securities. Note: After deducting liabilities from investors' assets, the remaining rights shall be enjoyed by the investors. Information service
Fund accountfund account
Special account used by investors for securities trading fund settlement. Note: According to different purposes, fund accounts can be divided into general fund accounts, credit fund accounts, derivative fund accounts, etc. 3.4
Securities accountstock account
A carrier set up by securities registration and settlement institutions for investors to record the holding and changes of securities and securities derivatives. Note: According to different purposes, securities accounts can be divided into A-share accounts, B-share accounts, A-share credit accounts, stock transfer system accounts, fund accounts, derivative contract accounts, etc.
4Data categories and types
JR/T 0177.1—2020
Data categories
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This part covers all on-site businesses, but does not cover over-the-counter businesses for the time being. It mainly includes four categories of business data: investor account data, brokerage business data, credit business data, and derivative business data. The data categories are shown in Table 1. The data items involved in each data category are shown in Appendix A, and the code values ​​of the data items are shown in Appendix B.
Data category
Investor account data
Brokerage business data
Credit business data
Derivative business data
Basic information related to investors, such as basic customer information, funds and securities accounts, etc. Standardized securities business in which securities companies accept customer entrustment and act on behalf of customers to buy and sell securities
Securities business that generates liabilities such as stock pledge business, agreed repurchase business, and margin trading business
Underlying securities business such as individual stock options
Industry standard.
4.2 Data type
Data type description:
C, character type. Such as the one-code account code, 050.
Data category
Investor information data
Investor fund account data
Investor securities account data
Investor custody account data
Investor fund balance data
Investor securities balance data
Investor restricted stock balance data
Investor stock pledge contract data
Investor agreed repurchase contract data
Investor bond pledge repurchase data
Investor margin trading contract data
Investor margin trading fund balance data
Investor margin trading securities balance data
Investor margin trading contract liabilities data
Investor margin trading assets and liabilities data
Investor margin trading equity compensation data
Investor option fund balance data
Investor option position data
-N, numeric type. Its length does not include decimal points, and the sentence participation number is always calculated. The field length is x, which means that the field is at most x; the length of the word En service platform
is (x, y), which means that the field is at most x, retaining y decimal places, such as the balance of the fund account, N (17, 2). 5 Data content and format
5.1 Investor account data
5.1.1 Investor information data
The content and format of investor information data are shown in Table 2. 2
Field identifier
YMTZHBM
YMTZHZTDM
ZQGSBM
ZQGSYYBBM
KHBMKHRQ
KHBMXHRQ
KHLBDM
KHZTDM
KHZJLXDM
KHZJHM
ZJYXQJZRQ
KHDEZJL XDM
KHDEZJHM
DEZJYXQJZRQ
GJDQDM
KHXLDM
KHZYDM
FDDBRXM
FDDBRZJHM
JBRZJHM
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Field Chinese name
Data date
MaTong account code
-MaTong account status code
MaTong account opening date
-MaTong account closing date Date
Securities company code
Securities company sales department code
Customer code
Customer code account opening date
Customer code account closing date
Customer name
Customer category code
Customer status code
Customer ID type code
Customer ID number
ID expiration date
Customer second ID type code
Customer second ID number
Second ID expiration date
Nationality and region code
Customer education code
Customer occupation code
Name of legal representative
ID number of legal representative
Name of person handling the case
ID number of person handling the case
Registered address
Content and format of investor information data
Is it possible
JR/T0177.1—2020
Format: YYYYMMDD
Customer one-code identification code
Format: YYYMMDD
Format: YYYYMMDD, if it is not cancelled, it is empty.
Securities company organization code determined by the China Securities Regulatory Commission
Business department code determined by the securities company.
Customer unique identification code, if not available, fill in the customer fund account number. In the single customer multi-bank mode, if there is no customer code, fill in the main fund account number.
Format: YYYYMMDD
Format: YYYYMMDD, empty when not closing an account.
The name of the customer recorded when the investor opened an account. Format: YYYYMMDD
When "KHDEZJHM Customer Second ID Number" is not empty, it cannot be empty.
The nationality and region code determined according to the 3-digit
character code in GB/T2659-2000, such as CHN China.
The customer's school code determined according to GB/T4658-2006.
The investor's occupation information registered in the securities exchange. 3
JR/T0177.1—2020
Field Identifier
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Field Name in Chinese
Contact Address
Postal Code
Contact Telephone
Mobile Phone
Email
Investor Fund Account Data
Content and Format of Investor Information Data (Continued) Field
The content and format of investor fund account data are shown in Table 3. Table 3
Field Identifier
YMTZHBM
ZQGSBM
ZQGSYYBBM
ZJZHBM
ZJZHYTDM
ZJZHZTDM
ZHCGLXDM
Field Name in Chinese
Data Date
-MaTong Account Code
Securities Company Code
Is it possible
Content and format of investor fund account data Field
Securities company business department code
Customer code
Fund account code
Master account mark
Fund account purpose code
Fund account status code
Fund account custody type code
Account opening date
Account closing date
Investor securities account data
The content and format of investor securities account data are shown in Table 4.4
Is it possible
The contact address registered by the investor with the securities company. The postal code registered by the investor with the securities company. The contact telephone number registered by the investor with the securities company.
The mobile phone number registered by the investor with the securities company.
The email address registered by the investor with the securities company.
Format: YYYYMMDD
If it is a One-Code Pass customer, fill in the One-Code Pass account number.
Securities company organization code determined by the CSRC
Sales department code determined by the securities company.
Customer unique identification code. If none, fill in the customer fund account number. In the single-customer multi-bank mode, if there is no customer code, fill in the main fund account number.
Customer fund account number
Format: YMMDD
Format: YYYYMMDD. It is empty for non-cancellation status.
Field identifier
YMTZHBM
ZQGSBM
ZQGSYYBBM
ZJZHBM
ZQZHBM
ZQZHLBDM
ZQZHZTDM
ZQZHKHFSDM
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Content and format of investor securities account data Table 4
Field Chinese name
Number Date
One-code account code
Securities company code
Securities company sales department code
Customer code
Fund account code
Securities account code
Securities account category code
Securities account status code
Securities account opening method code
Account opening date
Account closing date
Investor custody account data
The content and format of investor custody account data are shown in Table 5Table 5|| tt||Field Identifier
YMTZHBM
ZQGSBM
ZQGSYYBBM
YHJGBM
ZJZHBM
Field Name in Chinese
Data Date
One-Code Account Code
Securities Company Code
Securities Company Sales Department Code
Bank Institution Code
Customer Code
Fund Account Code
Bank Account Number||tt ||Is it possible
Content and format fields of investor custody account data
Is it possible
JR/T0177.1—2020
Format: YYYYMMDD
One-code account code
Securities company organization code determined by the CSRC
Sales department code determined by the securities company
Customer unique identification code, if none, fill in the customer fund account number, in the single customer multi-bank mode, if there is no customer code, fill in the main fund account number.
Customer fund account number
Customer securities account number
Format: YYMMDD
Format: YYYYMMDD, non-cancellation status is empty.
Format: YYYYMMDD
One-code account code
Securities company organization code determined by the CSRC
Sales department code determined by the securities company.
Bank code determined according to TR/T0046-2009.
Customer unique identification code. If no customer code is available, fill in the customer fund account number. In the single customer multi-bank mode, if no customer code is available, fill in the main fund account number.
Customer fund account number
Bank card account number
JR/T0177.1—2020
Field identifier
CGZTDM
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Content and format of investor custody account data (continued) Table 5
Field Chinese name
Master account flag
Currency code
Currency status code
Brokerage business data
Investor funds balance data
The content and format of investor funds balance data are shown in Table 6. Table 6
Field Identifier
YMTZHBM
ZQGSBM
ZQGSYYBBM
ZJZHBM
ZJZHYTDM
ZJZHYE
Field Chinese Name
Data Date
One-Code Account Code
Securities Company Code
Securities Company Sales Department Code
Customer Code
Fund Account Code
Fund Account Purpose code
Currency code
Balance of fund account
Frozen amount of funds
Unreceived amount
5.2.2 Investor securities balance data
Is it possible
Content and format of investor funds balance data Field
Content and format of investor securities balance data are shown in Table 7.6
(17,2)
Is it possible
Currency code confirmed according to GB/T12406-2008.
Format: YYYYMMDD
One-code account code
Securities company organization code determined by the CSRC
Sales department code determined by the securities company.
Customer unique identification code, if not available, fill in the customer fund account number. In the single customer multi-bank mode, if there is no customer code, fill in the main fund account number.
Customer fund account number.
The purpose of the fund account is a general fund account.
Currency code confirmed according to GB/T12406-2008.
Does not include frozen funds.
Does not include frozen funds generated by entrustment
The funds owned by the account but not yet received. Including the dividend amount generated by the self-owned securities, pledged and frozen
securities after the equity registration date and the unreceived interest generated by the account fund balance.
Field ID
YMTZHBM
ZQGSBM
ZQGSYYBBM
ZJZHBM
ZQZHBM
ZQLBDM
ZHCYSL
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Field Chinese name
Data date
MaTong account code
Securities company code
Securities company sales department code||t t||Customer code
Fund account code
Securities account code
Market code
Securities code
Securities category code
Account holding quantity
Frozen quantity
Current market value of account
Frozen market value
Non-received quantity
Full amount data of restricted shares of investors
Content and format fields of investors' securities balance data
The content and format of investors' restricted shares balance data are shown in Table 8. Table 8
Field identification
YMTZHBM
ZQGSBM
ZQGSYYBBM
Field Chinese name
Data date
One-code account code
Securities company code
(17,2)
(17,2)
(17,2)
(17,2)
Is it possible
Content and format fields of investor's stock sale balance data
Securities company sales department code
Customer code
Zhixiu Ke
JR/T0177.1—2020
Format: YMMDD
One-code account code
Securities company organization code determined by the China Securities Regulatory Commission
Sales department code determined by the securities company,
Customer unique identification code, if not, fill in the customer fund account number, in the single customer multi-bank mode, if there is no customer code, you need to fill in the main fund account number
Customer fund account number
Customer securities account number
Securities product code approved by the stock exchange.
Does not include the freezing caused by the entrustment.
All stocks of the stock that have not yet been received but the ownership
rights already belong to the account, such as bonus
shares, rights issue, additional issue of stocks, etc.
Format: YYYYMMDD
One-code account code
Securities company organization code determined by the Securities Regulatory Commission
Sales department code determined by the securities company
Customer unique identification code. If none, fill in the customer capital account number. In the single-customer multi-bank mode, if there is no customer code, fill in the main capital account number.
JR/T 0177.1—2020
Field Identification
ZJZHBM
ZQZHBM
XSYYDM
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Contents and Formats of Investor's Restricted Share Balance Data (Continued) Table 8
Field Chinese Name
Fund Account Code
Securities Account Code
Market Code
Securities Code
Restricted Sale Start Date
Restricted Sale End Date
Restricted Sale Quantity
Restricted Sale Reason Code
Credit Business Data
Investor's Stock Pledge Contract Data
(17, 2) Whether the customer's fund account number and the customer's securities account number can be approved by the stock exchange. The securities product code. Format: YYYYMMDD Format: YYYYMMDD See Table 9 for the data content and format of the investor's stock pledge contract. The data content is the data of the unsettled stock pledge contract and the same-day settled contract under the credit business of the securities market investors. Table 9
Field Identification
YMTZHBM
ZQGSBM
ZQGSYYBBM
ZJZHBM
ZQZHBM
GLHTBH
Field Chinese Name
Data Date
MaTong Account Code
Securities Company Code
Content and Format of Investor Stock Pledge Contract Data Field Class
Transaction Period
Securities Company Business Code C
Is it Possible
Customer Code|| tt||Fund account code
Securities account code
Currency code
Contract number
Related contract number
Market code
Format: YYYYMMDD
One-code account code
Securities company organization code determined by the CSRC
Format: YYYYMMDD
Sales department code determined by the securities company
Customer unique identification code. If none, fill in the customer fund account number. In the single-customer multi-bank mode, if there is no customer code, fill in the main fund account number.
Customer fund account number
Customer securities account number
Currency code confirmed according to GB7112406-2008.
Stock pledge contract number or contract number when supplementing pledge
.
The main contract number pointed to when supplementing the pledge. If there is no supplementary pledge, fill in 0.2) Whether the customer's fund account number and the customer's securities account number can be approved by the stock exchange. The securities product code. Format: YYYYMMDD Format: YYYYMMDD See Table 9 for the data content and format of the investor's stock pledge contract. The data content is the data of the unsettled stock pledge contract and the same-day settled contract under the credit business of the securities market investors. Table 9
Field Identification
YMTZHBM
ZQGSBM
ZQGSYYBBM
ZJZHBM
ZQZHBM
GLHTBH
Field Chinese Name
Data Date
MaTong Account Code
Securities Company Code
Content and Format of Investor Stock Pledge Contract Data Field Class
Transaction Period
Securities Company Business Code C
Is it Possible
Customer Code|| tt||Fund account code
Securities account code
Currency code
Contract number
Related contract number
Market code
Format: YYYYMMDD
One-code account code
Securities company organization code determined by the CSRC
Format: YYYYMMDD
Sales department code determined by the securities company
Customer unique identification code. If none, fill in the customer fund account number. In the single-customer multi-bank mode, if there is no customer code, fill in the main fund account number.
Customer fund account number
Customer securities account number
Currency code confirmed according to GB7112406-2008.
Stock pledge contract number or contract number when supplementing pledge
.
The main contract number pointed to when supplementing the pledge. If there is no supplementary pledge, fill in 0.
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