银川市统计管理条例
宁夏回族自治区人大常委会
银川市统计管理条例
宁夏回族自治区人大常委会
（1996年5月21日银川市第十届人民代表大会常务委员会第十三次会议通过 1996年10月17日宁夏回族自治区第七届人民代表大会常务委员会第二十一次会议批准 1996年11月1日起施行）
目 录
第一章 总 则
第二章 统计机构和统计人员
第三章 统计资料、统计报表的管理
第四章 统计检查和监督
第五章 法律责任
第六章 附 则
第一章 总 则
第一条 为了加强统计管理和监督，保障统计资料的真实性、准确性、及时性和全面性，发挥统计在了解国情国力，指导国民经济和社会发展中的重要作用，适应社会主义市场经济和社会发展的需要，根据《中华人民共和国统计法》、《宁夏回族自治区统计管理条例》，结合我市实际
，制定本条例。
第二条 统计的基本任务是对国民经济和社会发展情况进行统计调查、统计分析，为国家管理国民经济和社会事务提供统计资料和统计咨询意见，实行统计监督。
第三条 凡在本市行政区域内的国家机关、社会团体、企事业组织（包括外资、中外合资、中外合作经营和港澳台同胞、华侨投资经营的企事业组织；我市在市外、港澳地区、国外投资经营的企事业组织）和个体工商户，必须依照本条例，准确及时地提供统计资料，不得虚报、瞒报、
拒报、迟报，不得伪造、篡改。
基层群众性自治组织和公民有义务如实提供国家统计调查所需要的情况。
第二章 统计机构和统计人员
第四条 市、县（区）统计行政主管部门对本行政区域内的统计工作有组织领导、管理协调和监督检查的职责。
乡（镇）人民政府和街道办事处统计人员，负责做好本乡镇、街道的统计工作。
第五条 市、县（区）各部门、各单位应根据统计任务设置统计机构或配备专、兼职统计人员，指定统计负责人，负责做好本部门及所属单位的统计工作。并在统计业务上受所在地统计行政主管部门的指导。
第六条 各级统计行政主管部门和统计人员实行统计工作责任制，依照统计法律、法规规定的职责，如实提供统计资料，准确、及时、全面、客观地完成统计工作任务，保守国家机密。
各级统计行政主管部门和统计人员依法独立行使统计调查、统计报告、统计监督的职权受法律保护。
第七条 市、县（区）统计行政主管部门应加强对统计人员的培训。统计人员必须经过统计专业培训，经考核合格，取得《统计上岗合格证》，方可从事统计工作。
第八条 各部门、各单位应保持统计人员的稳定，对考核合格的统计人员，不得随意调离统计工作岗位。
统计人员确需调动实行先补后调的原则，并须办理统计资料的交接手续，保持资料的完整性和连续性。
第九条 市、县（区）统计行政主管部门和各企事业组织，应当依照国家和自治区的有关规定，评聘统计人员的专业技术资格（职务），享受相应待遇，保障有技术职称的统计人员的稳定性。
第十条 市、县（区）人民政府统计行政主管部门应依法加强统计信息咨询服务市场的管理与工作监督。
第三章 统计资料、统计报表的管理
第十一条 各级统计行政主管部门、企事业组织必须建立健全统计档案、原始记录、统计台帐等管理制度，加强统计信息开发和建设。
第十二条 制发统计调查表和进行统计调查，必须按照下列规定执行：
（一）全市性国民经济和社会发展情况的统计调查表，由银川市统计局制定；重大灾情或其他特殊情况的调查报银川市人民政府批准后实施。
（二）市、县（区）人民政府各工作部门的专业统计报表，发到本系统内的，须报市、县（区）统计行政主管部门备案；发到系统外的，须经市、县（区）统计行政主管部门审批。
（三）县（区）统计行政主管部门及其他工作部门组织的统计调查，必须与市统计行政主管部门和其他工作部门的统计调查互相衔接，不得重复。
（四）经批准或备案的统计调查表，必须在调查表右上角标明制表机关、表号、批准或备案部门、批准文号。
违反上述规定的调查表属非法报表，任何单位和个人有权拒绝填报，各级统计部门有权明令废止。
第十三条 任何部门、单位和个人不得拒绝填报或擅自修改合法的统计调查表。统计调查表确需增补的，应经原审批机关同意，并按制发新表的规定办理审批手续。
第十四条 各部门、各单位提供的统计资料，必须由单位领导人或统计负责人审核盖章，方可提供。
单位领导人对统计人员依法提供的统计资料不得擅自修改或强行要求修改；如认为计算方法、数据来源有错误或不准确，应提出由统计部门、统计人员依照国家统计制度核实订正，不得强令或授意统计部门、统计人员篡改统计资料、弄虚作假。
第十五条 考核评价地区经济效益、社会效益和工作成绩，必须以上级统计行政主管部门核定的统计资料为准。
考核评价部门或单位的经济效益、社会效益和工作成绩，应当以上一级主管部门的统计机构或同级统计部门核定的统计资料为准。
第十六条 市、县（区）统计行政主管部门负责审定、公布、出版本地区的基本统计资料。
单位和个人需要了解本地区的有关统计资料的，必须向当地统计部门咨询。
第十七条 市、县（区）人民政府其他部门公开发布经备案或审批的调查项目的统计资料，应经同级统计部门认可。
禁止新闻、出版单位发表尚未公布的经济社会发展基本情况的统计资料。
第十八条 任何单位、个人使用和公布统计资料，必须遵守国家统计局制定的《统计资料保密管理办法》。
属于国家秘密的统计资料，必须依法保密。
属于私人、家庭的单项调查资料、统计调查对象的商业秘密或者工作秘密的统计资料，非经本人和统计调查对象书面同意，不得泄露。
第十九条 市、县（区）统计行政主管部门在进行经常性抽样调查前查明基本单位及分布情况，建立统计登记制度。本条例第三条所规定的统计调查对象，必须在开业或设立30日内到所属地区的统计行政主管部门办理统计设立登记。在办理统计设立登记后，发生改组、转业、分设、
合并、联营、迁移、歇业、停产、破产等变动时，必须从变动之日起30日内向原登记的统计行政主管部门办理统计变更登记或注销登记。
已办理统计登记的单位和个人，从登记的下一年度开始，每三年须持《统计登记证》到所在市、县（区）统计行政主管部门进行检验。
第四章 统计检查和监督
第二十条 银川市统计行政主管部门设置统计检查机构，配备专、兼职统计检查人员，负责银川地区的统计监督、检查工作。县（区）统计行政主管部门配备专、兼职统计检查员。
第二十一条 统计检查员经考核合格，按有关规定发给《统计检查证》。统计检查员执行统计检查任务时，应出示《统计检查证》。不出示证件的，被检查单位有权拒绝接受检查。
统计检查人员在依法执行统计检查任务时，有权向被检查单位和个人发出《统计检查查询书》。被检查单位和个人接到《统计检查查询书》5日内，必须对所查询的问题按期如实答复；逾期不答复的，按拒报论处。
统计检查机构和统计检查员依法行使职权，受法律保护，任何单位和个人不得干扰和阻挠。
第二十二条 对违反统计法律、法规的行为，任何单位和个人，都有权检举、揭发和控告，并受法律保护，任何人不得打击报复。
第五章 法律责任
第二十三条 统计调查对象有下列违法行为之一的，由市、县（区）统计行政主管部门责令改正，予以通报批评；情节较重的，对负有直接责任的主管领导和其他直接责任人员依法给予行政处分：
（一）伪造、篡改或拒报统计资料的；
（二）虚报、瞒报统计资料的；
（三）屡次迟报统计资料的。
企事业组织、个体工商户违反前款（一）项规定的，处以1000元至10000元罚款；违反（二）项规定的，处以500元至5000元罚款；违反（三）项规定的，处以200元至2000元罚款。
第二十四条 利用统计调查损害社会公共利益或者进行欺诈活动的，由市、县（区）统计行政主管部门责令改正，没收违法所得，并处以3000元至30000元罚款；构成犯罪的，依法追究刑事责任。
第二十五条 不办理统计登记、变更、注销登记及检验手续的，由市、县（区）统计行政主管部门责令限期登记，逾期不登记的，给予通报批评，对负有直接责任的主管领导和其他责任人员依法给予行政处分。
第二十六条 违反本条例，有下列行为之一的，由市、县（区）统计行政主管部门通报批评，情节严重的，对负有直接责任的主管领导和其他责任人员依法给予行政处分；构成犯罪的，依法追究刑事责任。
（一）对依法行使职权的统计人员或检举、揭发人员进行打击报复的；
（二）利用职权修改或授意，强迫统计机构或下属人员弄虚作假，修改统计资料的；
（三）阻挠、抗拒统计检查机构和检查人员监督检查的；
（四）无原始记录和统计台帐的；
（五）未经核准，擅自发布统计资料的。
第二十七条 国家机关违反本条例规定，未报经审查或者备案，擅自制发统计调查表的，由市、县（区）统计行政主管部门责令改正，予以通报批评。
对违反本条例有关保密规定的，依照有关法律规定处罚。
第二十八条 对提供不真实统计资料骗取奖励、荣誉称号或晋升职务的，由统计行政主管部门建议有关部门取消其荣誉称号，追缴物质奖励和撤销晋升的职务。
第二十九条 统计行政主管部门的统计人员玩忽职守、徇私舞弊、滥用职权或者弄虚作假，构成犯罪的，依法追究刑事责任；尚不构成犯罪的，依法给予行政处分。
第三十条 被处罚单位和个人必须在收到罚款通知书之日起15日之内到指定的银行交纳罚款。如不按时上交罚款，每日加收罚款总额的3％滞纳金。
第三十一条 当事人对行政处罚决定不服的，可在接到处罚决定通知书之日起15日内，向复议机关申请复议，也可直接向人民法院起诉。当事人对复议决定不服的，可在接到复议决定书之日起15日内，向人民法院起诉。逾期不起诉，不申请复议，又不履行处罚决定的，由作出处罚
决定的机关申请人民法院强制执行。
第六章 附 则
第三十二条 本条例在应用中的具体问题，由银川市统计行政主管部门负责解释。
第三十三条 本条例自1996年11月1日起施行。
1996年10月17日
SECURITIES (CLEARING HOUSES) ORDINANCE ——附加英文版
Hong Kong
SECURITIES (CLEARING HOUSES) ORDINANCE
(CHAPTER 420)
CONTENTS
ion
I PRELIMINARY
hort title
nterpretation
II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS
NANCE AND RULES OF CLEARING HOUSES
ecognized clearing houses
ules of recognized clearing houses, etc.
III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD
ATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
roceedings of recognized clearing house take precedence over law
of
lvency
upplementary provisions as to default proceedings
uty to report on completion of default proceedings
et sum payable on completion of default proceedings
isclaimer of property, rescission of contracts, etc.
Adjustment of prior transactions
Right of relevant office-holder to recover certain amounts
arising
certain transactions
Application of market collateral not affected by certain other
rests, etc.
Enforcement of judgments over property subject to market charge,
etc.
Law of insolvency in other jurisdictions
IV MISCELLANEOUS
Participant to be party to certain transactions as principal
Securities deposited with recognized clearing house
Immunity, etc.
Preservation of rights, etc.
Amendment of Schedules 1 and 2
(Omitted as spent)
Transitional
dule 1 Property which may be subject to a market charge or provided
as
et collateral
dule 2 Requirements for default rules of recognized clearing
houses
dule 3 (Omitted as spent)
Whole document:
rdinance to empower the Commission to declare clearing houses
to be
gnized clearing houses for the purposes of this Ordinance, to
provide
the approval by the Commission of the rules of recognized
clearing
es, to make provision for safeguarding the operations and
procedures
ecognized clearing houses, and to provide for matters
incidental
eto or connected therewith.
ctober 1992] L. N. 324 of 1992
PART I PRELIMINARY
hort title
This Ordinance may be cited as the Securities (Clearing
Houses)
nance.
(Omitted as spent)
nterpretation
In this Ordinance, unless the context otherwise requires--
rge" means any form of security, including a mortgage;
aring house" means a person--
whose activities or objects include the provision of services for
the
ring and settlement of transactions in securities effected
on, or
ect to the rules of, the Unified Exchange; or
who guarantees the settlement of any such transactions;
mission" means the Securities and Futures Commission
established by
ion 3 of the Securities and Futures Commission Ordinance (Cap.
24);
stitution", in relation to a clearing house, means the memorandum
and
cles of association of the clearing house;
ault proceedings" means any proceedings or other action taken
by a
gnized clearing house under its default rules;
ault rules", in relation to a recognized clearing house, means
such of
rules of the clearing house which it is required to have by virtue
of
ion 4 (2);
aulter" means a participant who is the subject of any
default
eedings; "functions" includes duties and powers;
ket charge" means a charge, whether fixed or floating,
granted in
ur of a recognized clearing house--
over any property specified in Schedule 1 which is held
by or
sited with the clearing house; and
for the purpose of securing liabilities arising directly in
connection
the clearing house's ensuring the settlement of one or more
market
racts; "market collateral" means any property specified in
Schedule 1
h is held by or deposited with a recognized clearing house for
the
ose of securing liabilities arising directly in connection
with the
ring house's ensuring the settlement of one or more market
contracts;
ket contract" means a contract subject to the rules of a
recognized
ring house entered into by the clearing house with a
participant
uant to a novation which is both in accordance with those rules
and
the purposes of the clearing and settlement of
transactions in
rities effected on, or subject to the rules of, the Unified
Exchange;
icer" means an officer within the meaning of section 2
of the
anies Ordinance (Cap. 32);
ticipant" means a person who, in accordance with the rules
of a
gnized clearing house, may participate in one or more of the
services
ided by the clearing house in its capacity as a clearing house;
formance", in relation to a function, includes discharge and
exercise;
ognized clearing house" means a clearing house declared under
section
) to be a recognized clearing house for the purposes
of this
nance;
evant office-holder" means--
the Official Receiver appointed under section 75 of the
Bankruptcy
nance (Cap. 6);
any person acting in relation to a company as its
liquidator,
isional liquidator, receiver or manager;
any person acting in relation to an individual as his
trustee in
ruptcy or interim receiver of his property; or
any person appointed pursuant to an order for the
administration in
ruptcy of an insolvent estate of a deceased person;
es", in relation to a clearing house--
means the constitution, rules, regulations or directions, by
whatever
called, governing the membership, management,
operations and
edures of the clearing house; and
without restricting the generality of paragraph (a), includes
rules,
lations or directions relating to--
the provision of clearing and settlement services, and the
suspension
ithdrawal of such services;
the provision of services other than the services referred
to in
aragraph (i);
) the persons who may participate in one or more of the
services
rred to in subparagraphs (i) and (ii); and
setting and levying fees and charges;
urities" means securities within the meaning of section 2
of the
rities Ordinance (Cap. 333);
tlement", in relation to a market contract, includes
partial
lement; "Unified Exchange" means the Unified Exchange
established
r section 27 of the Stock Exchanges Unification Ordinance (Cap.
361).
Where--
a charge is granted partly for the purpose specified in the
definition
market charge" and partly for other purposes, the charge is in
this
nance a market charge in so far as it has effect for that
specified
ose;
collateral is provided partly for the purpose specified
in the
nition of "market collateral" and partly for other
purposes, the
ateral is in this Ordinance market collateral in so far as it has
been
ided for that specified purpose.
References in this Ordinance to the law of insolvency
include
rences to every provision made by or under--
the Bankruptcy Ordinance (Cap. 6);
the Companies Ordinance (Cap. 32); and
any other enactment which is concerned with or in any way related
to
insolvency of a person.
References in this Ordinance to settlement in relation to a
market
ract are to the discharge of the rights and liabilities of the
parties
he contract, whether by performance, compromise or otherwise.
PART II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS ORDI-
NANCE AND RULES OF CLEARING HOUSES
ecognized clearing houses
Where the Commission is satisfied that it is appropriate to do
so in
interest of the investing public or in the public interest, or
for the
er regulation of services for the clearing and
settlement of
sactions in securities, it may, with the consent in writing
of the
ncial Secretary, by notice in the Gazette, declare a clearing
house to
recognized clearing house for the purposes of this Ordinance.
Where the Commission makes a declaration under subsection
(1) in
ect of a clearing house--
it shall give notice thereof in writing to the clearing house;
and
the rules of the clearing house in operation immediately
before the
aration shall continue to have effect unless otherwise
specified, or
l such time as is specified, in the notice referred to in paragraph
ules of recognized clearing houses, etc.
Subject to section 3 (2) (b) and subsection (4), no rules
of a
gnized clearing house (including any default rules of the
clearing
e) or any amendment thereto shall have effect unless
approved in
ing by the Commission.
A recognized clearing house shall have rules which provide
for the
ng of proceedings or other action in the event of a
participant
aring to be unable, or likely to become unable, to
meet his
gations in respect of all unsettled market contracts to which he
is a
y, and such rules shall comply with the requirements of Schedule
2.
Where a recognized clearing house takes any default proceedings,
all
equent proceedings or other action taken under its rules
for the
oses of the settlement of market contracts of which the
defaulter
erned is a party shall be treated as done under the default rules
of
clearing house notwithstanding that, but for this subsection,
such
equent proceedings or other action would not be treated as done
under
default rules of the clearing house.
The Commission may, by notice in the Gazette, declare any
class of
s of a recognized clearing house (except any default rules
of the
ring house) to be a class of rules which are not required
to be
oved under subsection (1) and, accordingly, any rules of that
clearing
e which belong to that class (including any amendment thereto)
shall
effect notwithstanding that they have not been so approved.
Without prejudice to the operation of subsection (4), a
recognized
ring house shall submit or cause to be submitted to the
Commission,
the information of the Commission, any of its rules
(including any
dment thereto )--
which belong to a class of rules the subject of a declaration
under
ection (4); and
as soon as practicable after those rules (or amendment thereto,
as the
may be) are made.
A recognized clearing house shall submit or cause to be
submitted to
Commission for its approval the rules of the clearing house and
every
dment thereto except any rules (including any amendment thereto)
which
ng to a class of rules the subject of a declaration under
subsection
Subject to subsections (8) and (9), the Commission shall,
within 6
s after the receipt of any submission under subsection (6)
from a
gnized clearing house, give notice in writing to the clearing
house
its approval of; or
its refusal to approve,
rules or amendment of the rules, as the case may be, or any
part
eof, the subject of the submission.
The Commission may, in a particular case, with the agreement of
the
gnized clearing house concerned, extend the time
prescribed in
ection (7).
The Financial Secretary may, on the advice of the
Commission and
er generally or in a particular case, extend the time
prescribed in
ection (7).
The Commission may request in writing a recognized clearing
house--
to make rules--
specified in the request; and
within the period specified in the request; or
to amend rules--
referred to in the request;
in the manner specified in the request; and
) within the period specified in the request.
Where the Commission is satisfied that a recognized clearing
house
not complied with a request referred to in subsection (10) within
the
od specified in the request, the Commission may direct in writing
the
ring house to comply with the request within such further period
as is
ified in the direction and, accordingly, the clearing house
shall
ly with that request within that further period.
For the purposes of subsection (10), "rules", in relation
to a
gnized clearing house, do not include the constitution of the
clearing
e.
PART III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD OPE-
RATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
roceedings of recognized clearing house take precedence over
law of
lvency
None of the following shall be regarded as to any extent
invalid at
on the ground of inconsistency with the law relating
to the
ribution of the assets of a person on insolvency,
bankruptcy or
ing-up, or on the appointment of a receiver over any of the assets
of
rson--
a market contract;
the rules of a recognized clearing house relating to the
settlement of
rket contract;
any proceedings or other action taken under the rules of a
recognized
ring house relating to the settlement of a market contract;
a market charge;
the default rules of a recognized clearing house; or
any default proceedings.
Subject to subsection (3), the powers of a relevant office-
holder in
capacity as such, and the powers of a court under the
law of
lvency, shall not be exercised in such a way as to
prevent or
rfere with--
the settlement in accordance with the rules of a recognized
clearing
e of a market contract; or
any default proceedings.
Subsection (2) shall not operate to prevent a relevant
office-holder
seeking to recover any amount under section 11 after the
completion
matter referred to in paragraph (a) or (b) of that subsection.
upplementary provisions as to default proceedings
A court may on an application by a relevant office-holder make
such
r as it thinks fit altering or releasing him from compliance with
such
he functions of his office as are affected by the fact that
default
eedings are pending or could be taken, or have been or could have
been
n and, accordingly, such functions of the relevant officeholder
shall
onstrued subject to such order.
Nothing in--
section 12, 14 or 20 of the Bankruptcy Ordinance (Cap. 6); or
section 166, 181, 183, 186 or 254 of the Companies Ordinance
(Cap.
shall prevent or interfere with any default proceedings.
uty to report on completion of default proceedings
A recognized clearing house shall, upon the completion by it of
any
ult proceedings, make a report on such proceedings stating in
respect
ach defaulter--
the net sum, if any, certified by the clearing house to be payable
by
o the defaulter; or
the fact that no sum is so payable,
he case may be, and the clearing house may include in that report
such
r particulars in respect of such proceedings as it thinks fit.
A recognized clearing house which has made a report
pursuant to
ection (1) shall supply the report to--
the Commission;
any relevant office-holder acting in relation to--
the defaulter to whom the report relates; or
that defaulter's estate;
if there is no relevant office-holder referred to in paragraph
(b),
defaulter to whom the report relates.
Where the Commission receives pursuant to subsection (2) a report
made
uant to subsection (1), it may publish notice of that fact in
such
er as it thinks appropriate to bring it to the attention of
creditors
he defaulter to whom the report relates.
Where a relevant office-holder or defaulter receives
pursuant to
ection (2) a report made pursuant to subsection (1), he shall,
at the
est of a creditor of the defaulter to whom the report relates--
make the report available for inspection by the creditor;
on payment of such reasonable fee as the relevant office-
holder or
ulter, as the case may be, determines, supply to the creditor all
or
part of that report.
In subsections (2), (3) and (4), "report" includes a copy of a
report.
et sum payable on completion of default proceedings
The provisions of this section shall apply with respect to any
net sum
ified under section 7 (1) (a) by a recognized clearing house, upon
the
letion by it of any default proceedings, to be payable by or
to a
ulter.
Where a receiving or winding-up order has been made, or a
resolution
voluntary winding-up has been passed, any net sum
shall,
ithstanding any of the provisions of section 34 or 35
of the
ruptcy Ordinance (Cap. 6) or section 264 of the Companies
Ordinance
. 32), be--
provable in the bankruptcy or winding-up or, as the case
may be,
ble to the relevant office-holder; and
taken into account, where appropriate, under section 35
of the
ruptcy Ordinance (Cap. 6) or that section as applied in the case
of a
ing-up order under the Companies Ordinance (Cap. 32).
isclaimer of property, rescission of contracts, etc.
Neither section 59 of the Bankruptcy Ordinance (Cap. 6) nor
section
of the Companies Ordinance (Cap. 32) shall apply in relation to--
a market contract;
a contract effected by a recognized clearing house for the purpose
of
izing property provided as market collateral;
a market charge; or
any default proceedings.
Neither section 42 of the Bankruptcy Ordinance (Cap. 6) nor
section
of the Companies Ordinance (Cap. 32) shall apply in relation to
any
matter or thing which has been done pursuant to--
a market contract;
a disposition of property pursuant to a market contract;
the provision of market collateral;
a contract effected by a recognized clearing house for the purpose
of
izing property provided as market collateral, or any
disposition of
erty pursuant to such a contract;
a disposition of property in accordance with the rules of a
recognized
ring house as to the application of property provided as
market
ateral;
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