About SIPF
CHRONICLE IN 2016
January：
January 4, launched the securities market information collection, formed the Daily Extraction of Research Reports mechanism;
January 7, organized a symposium on the Specifications for Securities Company to Interface with the Monitoring System (V1.8);
January 20, officially launched the comprehensive upgrade of 12386 hotline;
January 21, published the list of winners from the 2015 investor survey; attended the 1st shareholders’meeting of Beijing Huazheng Puhui Information Co., Ltd.;
January 22, officially launched the nationwide securities business office manager confidence survey, followed by monthly surveys and preparation of business office manager confidence index for 12 issues of the year;
January 26, established the individual and institutional investor information collection system based on the investor sample pool and launched the telephone survey mechanism, resulting in 39 issues of Daily Information Report on Individual and General Institutional Investors;
January 27, formed the daily and weekly report mechanism for investor fund flow in the securities market;
January 28, issued the Specifications for Securities Company to Interface with the Monitoring System (V1.8) and related documents.
February：
February 2, added monthly data to the Fund Balance and Change of Securities and Stock Equity Investors;
February 3, prepared the Risk Monitoring Indicators for Securities Companies (V1.0);
February 19, issued the Guide for Monitoring Data Reporting (No. 13)——Private Fund Custody Business;
February 23, SIPF 3rd Investment Decision Committee convened its 1st session in 2016.
March：
March 16, issued the A Collection of 2015 Monthly Monitoring Reports on Clients’ Funds in the Securities Market— Fund Security;
March 21, the Board of Directors convened its 1st session in 2016 (the 25th in total); attended the annual shareholders’ meeting of Harbin Pharmaceutical;
March 21-April 1, investigated telephone availability of listed companies, securities companies, fund management companies and futures companies in the 12386 Hotline workplaces;
March 22, issued the Annexes to Specifications for Securities Company to Interface with the Monitoring System (V1.5.1) and the Monitoring System FAQ (March 2016);
March 25, established the underlying platform of the management system for the special investor compensation funds for misrepresentations of listed companies;
attended the annual shareholders’meeting of Bai Hua Cun.
April：
April 1, attended the 2nd shareholders’meeting of Beijing Huazheng Puhui Information Co., Ltd.;
April 13, attended the annual shareholders’meeting of SDIC Essence;
April 14-15, organized the training course on alert cases of the transaction settlement fund monitoring system and the 2nd symposium on the Specifications for Securities Company to Interface with the Monitoring System (V1.8);
April 18, attended the annual shareholders’meeting of Liaoning Chengda;
April 19, the Board of Directors convened its 2nd session in 2016 (the 26th in total); SIPF 3rd Investment Decision Committee convened its 2nd session in 2016; the revised Measures for the Administration of Securities Investor Protection Fund was officially published;
April 29, the Specifications for Securities Company to Interface with the Securities Transaction Settlement Fund Monitoring System (V1.8) was officially launched.
May：
May 5, SIPF Strategic Development Committee held its 1st session in 2016;
May 9, attended the 3rd shareholders’ meeting of Beijing Huazheng Puhui Information Co., Ltd.;
May 11, attended the 2016 International Securities Investor Protection Conference;
May 26, launched the new website of China Securities Investor Protection Fund Corporation Limited (www.sipf.com.cn);
May 27, held the symposium of major broker-dealers of securities companies; attended the annual shareholders’ meeting of China Resources-Double Crane.
June：
June 3, SIPF 3rd Investment Decision Committee convened its 3rd session in 2016;
June 5, the external email system of SIPF website was upgraded through fundamental resource rental;
June 15, the Board of Directors convened its 3rd session in 2016 (the 27th in total);
June 20, optimized the data report line in the securities transaction settlement fund monitoring system for securities companies;
June 22, attended The 1st International Conference for the protection of investors’ rights in EEU countries and China;
June 23, held the first meeting for the establishment of the ad hoc expert group of statistics and the first symposium of 2016 on risk monitoring of securities companies;
June 24, optimized the data transmission line in the monitoring system for securities companies;
June 27, attended the annual shareholders’ meeting of Nanfang Textile;
June 29, held the 1st investor survey training session in 2016;
June 30, held the first symposium of securities business office managers in 2016.
July：
July 2, erected the main and backup lines dedicated to MicroBlog and WeChat;
July 8, attended the 4th shareholders’ meeting of Beijing Huazheng Puhui Information Co., Ltd.;
July 15, launched two routine monitoring posts respectively for “integrity of clients’ information” and “integrity of the correlation between clients’fund account and securities account”;
July 18, attended the first extraordinary shareholders’ meeting of SDIC Essence in 2016;
July 19, SIPF 2nd Strategic Development Committee held its 2nd session (extended) in 2016;
July 20, issued the Guide for Monitoring Data Submission (No. 1) ——Securities Companies’ Initial Interface with the Monitoring System.
August：
August 9, SIPF 3rd Investment Decision Committee convened its 4th session in 2016;
June 16, issued the Analysis Report on Chinese Securities Investor Confidence Index for the first half of 2016;
August 17, probed into the risk monitoring indicator system for securities companies and prepared the Analysis Report on the Risks Monitoring of Securities Companies (January 2014-June 2016);
completed the local system-level backup system and non-local data-level backup system for 12386 hotline;
August 23, Credit Suisse Founder Securities Limited was included into the monitoring system.
September：
September 1, issued the Measures of China Securities Investor Protection Fund Corporation Limited for Detection of and Dealing with Violation of Regulations on Securities and Futures (Trial);
September 2, China Securities Internet System Co., Ltd. was included into the monitoring system;
September 8, issued the Rules of China Securities Investor Protection Fund Corporation Limited on the Mediator of Securities Dispute Resolution (Trial), the Rules of China Securities Investor Protection Fund Corporation Limited on Securities Dispute Resolution (Trial) and the Administrative Measures of China Securities Investor Protection Fund Corporation Limited for Securities Dispute Resolution (Trial);
September 12, SIPF 3rd Investment Decision Committee convened its 5th session in 2016;
September 21, the Board of Directors convened its 4th session in 2016 (the 28th in total);
September 23, SIPF 4th Investment Decision Committee convened its 1st session in 2016;
September 26, attended the training symposium of IOSCO Affiliate Members Consultative Committee;
September 28, attended EFDI international symposium; established the monthly reporting mechanism for risk monitoring of securities companies;
September 29, issued the Specifications for Securities Company to Interface with the Monitoring System (V1.8.1) and related documents to define the data reporting requirements for Hong Kong Stock Connect under Shenzhen-Hong Kong Stock Connect.
October：
October 11, the Board of Directors convened its 5th session in 2016 (the 29th in total);
October 13, the Board of Directors convened its 6th session in 2016 (the 30th in total);
October 17-31, attended the field inspection of securities and fund operators organized by the Department of Fund and Intermediary Supervision of CSRC;
October 20, attended the 5th shareholders’ meeting of Beijing Huazheng Puhui Information Co., Ltd.;
October 25, SIPF 4th Investment Decision Committee convened its 2nd session in 2016;
October 26, convened the first meeting of the Securities Dispute Resolution Committee and reviewed the proposal on the engagement of the first group of mediators.
November：
November 1, issued the Specifications for CSDC to Interface with the Transaction Settlement Fund Monitoring System (V3.3);
November 3, issued the Seventh Five-year Plan of China Securities Investor Protection Fund Corporation Limited for Legal Education;
completed the filing of Class 2 information security of the Securities Transaction Settlement Fund Monitoring System;
November 10, published the Report on Website Construction and Online Information Disclosure of the Companies Listed in A-share Market in 2016;
November 15, held the second symposium of the ad hoc expert group of statistics on risk monitoring of securities companies;
November 16, SIPF 4th Investment Decision Committee convened its 3rd session in 2016; held the 2nd investor survey training session in 2016;
November 17, held the second symposium of securities business office managers in 2016;
November 18, the Board of Directors convened its 7th session in 2016 (the 31st in total);
November 19, printed The Case of Wanfu Biotechnology Investor Compensation Funds (2016);
November 28, attended the 6th shareholders’ meeting of Beijing Huazheng Puhui Information Co., Ltd.;
developed the Summary Report on the Works of China Securities Investor Protection Fund Corporation Limited in Risk Monitoring of Securities Companies and Clients’ Fund Safety and the Summary Report on the Works of China Securities Investor Protection Fund Corporation Limited in Information Collection and Processing;
November 30, visited FSCS of UK to communicate on the legal system and practices relating to investor protection and investor compensation.
December：
December 1-2, held the 2nd symposium of major broker-dealers of securities companies;
December 5, attended the third extraordinary shareholders’ meeting of SDIC Essence in 2016;
the Specifications for Securities Company to Interface with the Monitoring System (V1.8.1) was launched, securities companies reported data on Hong Kong Stock Connect under Shenzhen-Hong Kong Stock Connect, and Jintong Securities was included into the monitoring system;
December 6, held the media symposium in 2016;
attended the 7th shareholders’ meeting of Beijing Huazheng Puhui Information Co., Ltd.;
held the 2nd Symposium on Standard Fund Accounts in Securities Sector;
December 8, the Board of Directors convened its 8th session in 2016 (the 32nd in total);
December 9, SIPF 4th Investment Decision Committee convened its 4th session in 2016;
December 9, held the 2016 report and situation analysis meeting on clients’ fund custody;
December 14, published the White Paper on Investor Protection in Chinese Capital Market —2015 Report on Investor Protection of SROs in the Securities and Futures Market;
December 16, the Securities Dispute Resolution Center was inaugurated;
December 20, published the White Paper on Investor Protection in Chinese Capital Market —2015 Assessment Report on Investor Protection of Companies Listed in A-share Market; held the SIPF education and guiding conference.
December 23, the Board of Directors convened its 9th session in 2016 (the 33rd in total); issued the Rules of China Securities Investor Protection Fund Corporation Limited on Bank Savings;
December 27, attended the fourth extraordinary shareholders’ meeting of SDIC Essence in 2016.
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