JR/T 0177.1-2020 in English
VALIDContents and formats of data on investors rights and interests in the securities and futures industry—Part 1: Securities
- Issued on:2020-02-26
- Implemented on:2020-02-26
- File Format:PDF
- Delivery:Via email within 5 business days
$563.00
本部分规定了证券业投资者权益数据的数据类别及类型、数据内容及格式等内容，数据内容及格式包括投资者账户数据、经纪业务数据、信用业务数据及衍生品业务数据等。
本部分适用于行业机构开展证券业投资者权益数据治理相关工作。
Introduction
Standard Framework and Technological Evolution
| Version Features | JR/T 0177.1—2020 | Historical Versions |
|---|---|---|
| Business Scope Covered | All on-site businesses (securities/credit/derivatives) | Brokerage business only |
| Data Granularity | Account level + Contract level details | Mainly summary statistics |
| Field Standardization | Using data dictionary unified coding | Institutional customization is the main method. |
Analysis of core data elements
1. Investor account data
Includes a three-layer association system of One-code account, capital account, and securities account. Key fields:
- YMTZHBM (One-code code): 50-bit character type, used as the unique identifier of the investor
- ZJZHZTDM (capital account status): Using the DIM09 code table, including 5 states: normal/frozen/cancelled
- ZQZHLBDM (securities account category): Distinguish 14 categories such as A shares/B shares/credit accounts through DIM11
2. Credit business data specifications
Special attention should be paid to margin trading:
| Field group | Key indicators | Calculation logic |
|---|---|---|
| Contract liabilities | WJXF (unsettled interest and fees) | =unsettled normal interest + unsettled penalty interest |
| Assets and liabilities | WCDBBL (maintenance margin ratio) | =(funds + securities market value)/(financing liabilities + securities lending liabilities) |
Implementation suggestions
Data governance path
- System transformation: Transform the core business system fields according to Appendix A data dictionary
- Historical data migration: Establish a mapping relationship between ZQZHYTDM and the old system account type
- Verification mechanism: Establish mandatory verification for referenced national standard fields such as DIM14 currency code
Typical application scenarios
Case study: A securities firm uses the standardized RQSL (number of securities borrowed) field to achieve automated monitoring of securities borrowing balances, increasing T+1 day report generation efficiency by 70%
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