Measures for Calculation of Business Turnover for the Reporting of Concentrations of Business Operators in the Financial Sector

金融业经营者集中申报营业额计算办法

The Measures explain the calculation of the business turnover of banking financial institutions, securities companies, futures companies, fund management companies and insurance companies for the reporting of concentrations of business operators.

Clp Reference: 3000/09.07.15 Promulgated: 2009-07-15 Effective: 2009-08-14

Order of Mofcom, PBOC, CBRC, CSRC and CIRC [2009] No.10

商务部、人民银行、银监会、证监会、保监会令 [2009] 第10号

(Promulgated by the Ministry of Commerce, People's Bank of China, China Banking Regulatory Commission, China Securities Regulatory Commission and China Insurance Regulatory Commission on July 15 2009 and effective 30 days after the date of promulgation.)

(商务部、中国人民银行、中国银行业监督管理委员会、中国证券监督管理委员会、中国保险监督管理委员会于二零零九年七月十五日公布，自公布之日起三十日后施行。)

Article 1: These Measures have been formulated pursuant to the Anti-monopoly Law and the State Council, Provisions on the Reporting Thresholds for Concentrations of Business Operators (Provisions) in order to clarify the reporting thresholds for concentrations of business operators in the financial sector.

第一条 根据《反垄断法》及《国务院关于经营者集中申报标准的规定》（以下简称《规定》），为明确金融业经营者集中的申报标准，制定本办法。

Article 2: These Measures shall govern the calculation of business turnover for the reporting of concentrations of business operators in the financial sector, such as banking financial institutions, securities companies, futures companies, fund management companies and insurance companies.

第二条 本办法适用于银行业金融机构、证券公司、期货公司、基金管理公司和保险公司等金融业经营者集中申报营业额的计算。

Banking financial institutions include commercial banks, urban credit co-operatives, rural credit co-operatives and other such financial institutions that take deposits from the public as well as policy banks.

银行业金融机构包括商业银行、城市信用合作社、农村信用合作社等吸收公众存款的金融机构以及政策性银行。

The provisions of these Measures on calculation of the business turnover of banking financial institutions shall apply to financial asset management companies, trust companies, finance companies, lease financing companies, motor vehicle finance companies and money brokerages as well as other financial institutions whose establishment has been approved by the banking regulatory authority.

对金融资产管理公司、信托公司、财务公司、金融租赁公司、汽车金融公司、货币经纪公司以及经银行业监督管理机构批准设立的其他金融机构的营业额计算办法，适用本办法对银行业金融机构的规定。

Article 3: The elements making up the business turnover of banking financial institutions shall include the following:

第三条 银行业金融机构的营业额要素包括以下项目：

(1) net interest income;

一、利息净收入；

(2) net service fee and commission income;

二、手续费及佣金净收入；

(3) investment returns;

三、投资收益；

(4) returns on changes in fair value;

四、公允价值变动收益；

(5) exchange gains; and

五、汇兑收益；

(6) other business income.

六、其他业务收入。

Article 4: The elements making up the business turnover of securities companies shall include the following:

第四条 证券公司的营业额要素包括以下项目：

(1) net service fee and commission income (including those from brokerage business, asset management business, underwriting and sponsorship business and financial advisory business);

一、手续费及佣金净收入（包括经纪业务、资产管理业务、承销与保荐业务和财务顾问业务等）；

(2) net interest income;

二、利息净收入；

(3) investment returns;

三、投资收益；

(4) exchange gains; and

四、汇兑收益；

(5) other business revenue.

五、其他业务收入。

Article 5: The elements making up the business turnover of futures companies shall include the following:

第五条 期货公司的营业额要素包括以下项目：

(1) net service fee and commission income; and

一、手续费及佣金净收入；

(2) net interest income from bank deposits.

二、银行存款利息净收入。

Article 6: The elements making up the business turnover of asset management companies shall include the following:

第六条 基金管理公司的营业额要素包括以下项目：

(1) management fee income; and

一、管理费收入；

(2) service fee income.

二、手续费收入。

Article 7: The formula for the calculation of business turnover for the reporting of the aforementioned concentrations of business operators is as set forth below:

第七条 上述经营者集中申报营业额的计算公式为：

business turnover = (total of elements making up business turnover – business tax and surcharges) × 10%.

营业额＝（营业额要素累加－营业税金及附加）×10%

Article 8: The formula for the calculation of business turnover for the reporting of concentrations of insurance companies is as set forth below:

第八条 保险公司集中申报营业额的计算公式为：

business turnover = (premium income – business tax and surcharges) × 10%;

营业额＝（保费收入－营业税金及附加）×10%

of which, premium income = original premium income under insurance contracts + inward reinsurance premiums – reinsurance premiums ceded.

其中，保费收入＝原保险合同保费收入＋分入保费－分出保费

Article 9: The foregoing methods of calculating business turnover shall be used solely for the reporting of concentrations of business operators.

第九条 以上营业额计算办法仅限用于经营者集中申报。

Article 10: These Measures shall enter into effect 30 days from the date of promulgation.

clp reference:3000/09.07.15prc reference:商务部、人民银行、银监会、证监会、保监会令 [2009] 第10号promulgated:2009-07-15effective:2009-08-14

第十条 本办法自发布之日起三十日后生效。

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