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{"sheet":"1.业务概况","index":0,"n_rows":17,"n_cols":9,"rows_kept":17,"cut":false,"hidden":false,"merged":[[12,8,14,9]]}
["1.场外证券业务年度开展概况表"]
["序号","业务种类","是否开展","开展该业务部门数量","开展该业务的部门","开展该业务部门情况说明及分工情况","2025年业务开展计划","是否已在“场外证券业务报告系统”中进行过首次备案","是否定期在“场外证券业务报告系统”中进行提交数据报告"]
[null,"填报要求","请选择“是”或“否”","请填写阿拉伯数字，未开展请不要填写","请按照顺序填写：\n1.XX部门\n2.XX部门\n3.XX部门","请按照顺序填写：\n1.XX部门负责...\n2.XX部门负责...\n4.XX部门负责…","请在下拉列表选项中直接选择","请选择“是”或“否”","请选择“是”或“否”"]
[1,"场外衍生品业务"]
[2,"收益凭证业务"]
[3,"跨境业务"]
[4,"场外金融产品销售业务"]
[5,"场外登记结算托管业务"]
[6,"区域市场业务"]
[]
["2.场外证券业务联系人表"]
["序号","机构","场外业务合规联系人","部门","联系电话","联系人手机","电子邮箱","填表日期"]
[null,"填报要求","作为公司日常场外业务合规联系人，负责联系、协调、监督公司，依法依规履行相关义务","填写部门名称","格式如下：区号-电话-分机号（若有分机）","填写手机号","填写邮箱地址","格式如下：2020年XX月XX日","请务必填写两位同事的联系方式"]
[1,"XX公司（全称）","联系人姓名"]
[2,"XX公司（全称）","联系人姓名（备岗）"]
[]
["注意：请各场外证券业务经营机构定期、及时、准确、完整更新“场外证券业务报告系统中”所开立的各账户的持有人基本信息"]

{"sheet":"2.场外衍生品业务","index":1,"n_rows":91,"n_cols":16,"rows_kept":91,"cut":false,"hidden":false,"merged":[[83,9,88,9],[83,1,83,2],[83,0,84,0],[83,3,83,4],[83,5,83,6],[83,7,83,8]]}
["1.部门联系人表（若有多个部门同时开展业务，请增添表行、分别填写）"]
["部门","人员类别","姓名","职务","座机","手机","邮箱"]
[null,"分管领导",null,null,"区号-电话-分机号（若有分机）"]
[null,"期权部门负责人"]
[null,"互换部门负责人"]
[null,"合规部门负责人"]
[null,"期权日常业务联系人"]
[null,"互换日常业务联系人"]
[null,"部门年报联系人"]
[null,"日常报告联系人"]
[null,"合规部门联系人"]
[]
[]
[]
["2.业务开展情况表（该表不分部门统计，业务开展场所包括：本公司柜台、报价系统、银行间市场等场所；不包括新三板）"]
["序号","业务类型","是否开展","开展场所","开展部门数量","备注"]
[null,null,"请选择“是”或“否”","请在下拉列表选项中直接选择","请在下拉列表选项中直接选择","请注明该项业务起始时间，如有其他需要说明的内容，请填写文字"]
[1,"场外期权业务"]
[2,"收益互换业务"]
[]
["3.主协议类型统计表"]
["序号","主协议类型","全年是否签署","开展场所","全年签署数量","交易类型","是否在该主协议下开展过该标的类型：权益类\n（包括A股股票、股指期货）","是否在该主协议下开展过该标的类型：大宗商品类\n（包括黄金在内的期货、现货）","是否在该主协议下开展过该标的类型：债券类\n（包括可转债在内的沪深交易所、银行间市场相关债券品种）","是否在该主协议下开展过该标的类型：货币类\n（包括人民币在内的货币汇率）","是否在该主协议下开展过该标的类型：利率类\n（包括人民币在内的货币利率）","是否在该主协议下开展过该标的类型：信用类\n（包括CRM、CDS在内的衍生品）"]
[null,null,"请选择“是”或“否”","请在下拉列表选项中直接选择","请填写阿拉伯数字，单位：笔\n未开展请不要填写","请在下拉列表选项中直接选择","请在下拉列表选项中直接选择","请在下拉列表选项中直接选择","请在下拉列表选项中直接选择","请在下拉列表选项中直接选择","请在下拉列表选项中直接选择","请在下拉列表选项中直接选择"]
[1,"SAC"]
[2,"NAFMII"]
[3,"ISDA"]
[4,"SAC（信用保护合约专用版）"]
[5,"其他（请说明）"]
[]
[]
["4.交易对手方及其签订协议统计"]
["协议版本","类别","交易对手方-全年新增","交易对手方-年末存续","主协议-全年新增","主协议-年末存续","补充协议-全年新增","补充协议-年末存续","交易确认书-期权全年新增名义本金","交易确认书-期权年末存续名义本金","交易确认书-期权全年新增笔数","交易确认书-期权年末存续笔数","交易确认书-互换全年新增名义本金","交易确认书-互换年末存续名义本金","交易确认书-互换全年新增笔数","交易确认书-互换年末存续笔数"]
[null,"统计时间","单位：家","单位：家","单位：笔","单位：笔","单位：笔","单位：笔","单位：亿元","单位：亿元","单位：笔","单位：笔","单位：亿元","单位：亿元","单位：笔","单位：笔"]
["SAC",2023]
["SAC",2024]
["SAC（信用保护合约专用版",2023]
["SAC（信用保护合约专用版",2024]
["NAFMII",2023]
["NAFMII",2024]
["ISDA",2023]
["ISDA",2024]
[]
["表5 期权交易结构统计（请以当年新增规模交易规模降序排列各交易结构）"]
["交易结构","当年新增规模","年末存量规模","主要标的类型","主要交易对手类型","常见期限","交易动机","对冲方式"]
[null,"单位：亿元","单位：亿元","多选：A股个股/A股股指（包括股指期货、ETF等）/境内债券（包括国债期货及各类指数等）/境内大宗商品（包括黄金等）/港股标的（包括股票、股指、股指期货、权证、期权ETF等）/境外权益标的（包括股票、股指、期权、ETF等）/境外大宗商品/境外债券/其他（请说明）","多选：银行及其子公司/证券公司及其子公司/期货公司及其子公司/基金公司及其子公司/私募基金/一般工商企业/境外机构/其他请自行补充","多选：3M（含）/3M-6M（含）/6M-12M（含）/1Y-2Y（含）/3Y（含）及以上","请根据实际情况填写","请根据实际情况填写"]
["香草及其组合Vanilla"]
["二元及其组合Digital"]
["障碍及其组合Barrier"]
["自动赎回AutoCallable"]
["区间累计RangeAccrual"]
["安全气囊Airbag"]
["其他请自行补充（可以是约定俗成的名称，也可以是本公司内部命名）"]
[]
["表6 互换交易结构统计（请以当年新增规模交易规模降序排列各交易结构）"]
["业务类型","当年新增规模（亿元）","年末存量规模（亿元）","主要标的类型","主要交易对手类型","常见期限","交易动机","对冲方式"]
[null,"单位：亿元","单位：亿元","多选：A股个股/A股股指（包括股指期货、ETF等）/境内债券（包括国债期货及各类指数等）/境内大宗商品（包括黄金等）/港股标的（包括股票、股指、股指期货、权证、期权ETF等）/境外权益标的（包括股票、股指、期权、ETF等）/境外大宗商品/境外债券/其他（请说明）","多选：银行及其子公司/证券公司及其子公司/期货公司及其子公司/基金公司及其子公司/私募基金/一般工商企业/境外机构/其他请自行补充","多选：3M（含）/3M-6M（含）/6M-12M（含）/1Y-2Y（含）/3Y（含）及以上","请根据实际情况填写","请根据实际情况填写"]
["客户多头"]
["客户空头"]
["多空组合"]
["其他请自行补充（可以是约定俗成的名称，也可以是本公司内部命名）"]
[]
["表7 相关制度统计（请以以发布时间升序排列）"]
["制度名称","发布时间","发布部门","规范对象及行为"]
[]
[]
[]
[]
[]
["表8 相关系统统计（请以上线时间升序排列）"]
["系统名称","上线时间","使用部门","相关功能与作用","系统来源\n（自行开发或开发商名称）"]
[]
[]
[]
[]
[]
["表9 2024年重大事项统计（请以发生时间升序排列）"]
["重大事项","发生时间","起因","处理措施","结果或进展"]
[]
[]
[]
[]
[]
["表10 2024年场外衍生品业务收入情况表"]
[null,"全公司合计",null,"展业部门1：部门名称请补充",null,"展业部门2：部门名称请补充",null,"展业部门3：部门名称请补充",null,"备注：如果存在多于3个展业部门，可以继续添加表格"]
[null,"场外衍生品业务收入-合计","场外衍生品业务净收入-合计","场外衍生品业务收入-合计","场外衍生品业务净收入-合计","场外衍生品业务收入-合计","场外衍生品业务净收入-合计","场外衍生品业务收入-合计","场外衍生品业务净收入-合计"]
[null,"单位：万元","单位：万元","单位：万元","单位：万元","单位：万元","单位：万元","单位：万元","单位：万元"]
["场外期权"]
["收益互换"]
["合计"]
[]
["备注：表10中仅统计证券公司场外衍生品交易商业务盈亏情况（包括SAC、NAMFII、ISDA），不纳入资管产品投资场外衍生品盈亏。"]

{"sheet":"3.收益凭证业务 ","index":2,"n_rows":34,"n_cols":7,"rows_kept":34,"cut":false,"hidden":false,"merged":[]}
["1.部门联系人表（若有多个部门同时开展业务，请增添表行、分别填写）"]
["部门","人员类别","姓名","职务","座机","手机","邮箱"]
[null,"分管领导",null,null,"区号-电话-分机号（若有分机）"]
[null,"部门负责人"]
[null,"日常业务联系人"]
[null,"日常业务联系人"]
[null,"部门年报联系人"]
[null,"部门日常报告联系人"]
[]
[]
["2.收益凭证产品情况（请在表内简要说明，详细情况请以文字形式说明）"]
["品牌系列","发行规模","发行支数","产品定位"]
[]
[]
[]
[]
[]
["3.相关制度统计（请在表内简要说明，详细情况请以文字形式说明，并以发布时间升序排列）"]
["制度名称","发布时间","发布部门","修订时间","规范对象及行为"]
[]
[]
[]
[]
[]
["4.相关系统统计（请在表内简要说明，详细情况请以文字形式说明，并以上线时间升序排列）"]
["系统名称","上线时间","使用部门","相关功能与作用","系统来源"]
[{"$nulls":4},"（自行开发或开发商名称）"]
[]
[]
[]
[]
[]
["5.2024年重大事项统计（1.请在表内简要说明，详细情况请以文字形式说明，并以发生时间升序排列2.请重点列出但不限于交易对手违约等事件）"]
["重大事项","发生时间","起因","处理措施","结果或进展"]

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["1. 部门联系人表（若有多个部门同时开展业务，请增添表行、分别填写)"]
["部门","人员类别","姓名","职务","座机","手机","邮箱"]
[null,"分管领导"]
[null,"合规部门负责人"]
[null,"跨境自营业务部门负责人"]
[null,"跨境场外衍生品业务部门负责人"]
[null,"结售汇业务部门负责人"]
[null,"跨境其他业务部门负责人"]
[null,"跨境自营业务联系人"]
[null,"跨境场外衍生品业务联系人"]
[null,"结售汇业务联系人"]
[null,"跨境其他业务联系人"]
[null,"合规部门联系人"]
[null,"部门年报联系人"]
[null,"日常报告联系人"]
[]
[]
[]
["2. 业务开展情况表（跨境场外衍生品&跨境收益凭证-交易标的）",{"$nulls":8},"单位：亿元/人民币"]
["交易标的大类","交易标的小类","客需",null,null,null,"自营"]
[null,null,"2023年",null,"2024年",null,"2023年",null,"2024年"]
[null,null,"年度累计规模","年末存续规模","年度累计规模","年末存续规模","年度累计规模","年末存续规模","年度累计规模","年末存续规模"]
["权益类","股票"]
[null,"股指"]
[null,"股指期货"]
[null,"基金"]
[null,"其他标的"]
[null,"合计"]
["固定收益类","信用债"]
[null,"利率债"]
[null,"国债期货"]
[null,"银行间回购定盘"]
[null,"其他标的"]
[null,"合计"]
["大宗商品类","其他期货"]
[null,"黄金期货"]
[null,"黄金现货"]
[null,"其他标的"]
[null,"合计"]
["汇率类","其他期货（外汇期货）"]
[null,"合计"]
["其他类","……"]
[null,"合计"]
["混合类","……"]
[null,"合计"]
["合计"]
["注：1.跨境场外衍生品业务和跨境收益凭证业务分开填写。"]
["    2.本表剔除挂钩银行间市场货币对业务规模，注意不剔除挂钩外汇期货业务规模。"]
[]
["3. 业务开展情况表（跨境场外衍生品&跨境收益凭证-交易对手）",{"$nulls":8},"单位：亿元/人民币"]
["交易对手大类","交易对手小类","客需",null,null,null,"自营"]
[null,null,"2023年",null,"2024年",null,"2023年",null,"2024年"]
[null,null,"年度累计规模","年末存续规模","年度累计规模","年末存续规模","年度累计规模","年末存续规模","年度累计规模","年末存续规模"]
["境内交易对手","境内商业银行（含理财子公司及产品）"]
[null,"境内基金公司及其子公司"]
[null,"境内证券公司及其子公司"]
[null,"境内期货公司及其子公司"]
[null,"境内私募基金及产品"]
[null,"境内信托公司"]
[null,"境内非金融机构"]
[null,"外资银行"]
[null,"境内其他机构"]
[null,"个人投资者"]
[null,"合计"]
["境外交易对手","证券公司境外子公司"]
[null,"境外金融机构"]
[null,"境外非金融机构"]
[null,"合计"]
["注：1.跨境场外衍生品业务和跨境收益凭证业务分开填写。"]
["    2.本表剔除挂钩银行间市场货币对业务规模，注意不剔除挂钩外汇期货业务规模。"]
[]
["4. 业务开展情况表（跨境场外衍生品-TOP10交易对手-剔除汇率（银行间市场货币对））",null,"单位：亿元/人民币"]
["序号","南向交易对手名称","南向交易对手年度累计规模","北向交易对手名称","北向交易对手年度累计规模"]
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
["注：1.按照截至2024年年末的存续规模降序排列；\n"]
["    2.本表剔除挂钩银行间市场货币对业务规模，注意不剔除挂钩外汇期货业务规模。"]
[]
[]
[]
["5. 业务开展情况表（跨境自营业务-不含跨境场外衍生品&跨境收益凭证）",null,null,null,"单位：亿元/人民币"]
["跨境自营业务","2023年",null,"2024年"]
[null,"年度累计规模","年末存续规模","年度累计规模","年末存续规模"]
["固定收益类投资"]
["权益类投资"]
["大宗商品类投资"]
["其他投资"]
["合计"]
["注：1.其他不包含场外衍生品和收益凭证。"]
["    2.如开展跨境融资业务，请予以详细说明。"]
[]
[]
["6. 业务开展情况表（债券“南向通”业务）",null,null,null,"单位：亿元/人民币"]
["债券类型","自营投资","对客平盘","年度累计规模","年末存续规模"]
["地产类"]
["金融类"]
["城投类"]
["其他类"]
["合计"]
["注意：1.按照债券发行人主体类型进行填报。"]
["      2.仅限取得试点资质的机构进行填写。"]
[]
[]
["7. 业务开展情况表（结售汇业务）",{"$nulls":5},"单位：亿元/美元"]
["跨境结售汇业务",null,"即期","远期","掉期","期权","其他"]
["客需","2023年累计规模"]
[null,"2024年累计规模"]
["自营","2023年累计规模"]
[null,"2024年累计规模"]
["合计","2023年"]
["合计","2024年"]
["注：单位为亿元/美元。"]
[]
[]
[]
["8. 业务开展情况表（跨境ETF做市业务）",null,null,"单位：亿元/人民币"]
["年度","TOP5交易标的（列举）","年度累计规模","年末存续规模"]
["2023年"]
[]
[]
[]
[]
["2024年"]
[]
[]
[]
[]
["注：TOP5交易标的（列举），按照交易额降序排列。"]
[]
[]
["9. 业务开展情况表（跨境ETF做市业务）",null,null,"单位：亿元/人民币"]
["年度","TOP5境外对冲标的（列举）","年度累计对冲规模","年末对冲规模"]
["2023年"]
[]
[]
[]
[]
["2024年"]
[]
[]
[]
[]
["注：Top5对冲标的（列举），按对冲规模降序排列；如无境外对冲则不填写。"]
[]
[]
["10. 相关制度统计"]
["（拟）制度名称","（拟）发布时间","（拟）发布部门","（拟）规范对象及行为","备注"]
[]
[]
[]
[]
["注：请在表内说明，详细情况请以文字形式说明，以（拟）发布时间升序排列。"]
[]
[]
[]
["11. 相关系统统计"]
["（拟）系统名称","（拟）上线时间","（拟）使用部门","（拟）相关功能与作用","（拟）系统来源\n（自行开发或开发商名称）","备注"]
[]
[]
[]
[]
[]
["注：请在表内说明，详细情况请以文字形式说明，以（拟）上线时间升序排列。"]
[]
[]
[]
["12. 2024年重大事项统计"]
["重大事项","发生时间","起因","处理措施","结果或进展"]
[]
[]
[]
[]
["注：1.请在表内简要说明，详细情况请以文字形式说明，并以发生时间升序排列。"]
["    2.请重点列出但不限于交易对手违约、境外子公司流动性紧缺等事件。"]

{"sheet":"5.场外金融产品销售","index":4,"n_rows":16,"n_cols":7,"rows_kept":16,"cut":false,"hidden":false,"merged":[]}
["1.部门联系人表（若有多个部门同时开展业务，请增添表行、分别填写）"]
["部门","人员类别","姓名","职务","座机","手机","邮箱"]
[null,"分管领导",null,null,"区号-电话-分机号（若有分机）"]
[null,"部门负责人"]
[null,"日常业务联系人"]
[null,"日常业务联系人"]
[null,"部门年报联系人"]
[null,"部门日常报告联系人"]
[]
["2.2024年场外金融产品销售情况统计表"]
["产品类型","是否开展","销售规模（亿元）","销售数量（支）","销售涉及客户数量（个）","年末销售保有规模（亿元）"]
["资产管理计划份额（发行、代销）（包括定向资产管理计划）"]
["信托产品（代销）"]
["基金专户（代销）"]
["私募基金（代销）"]
["合计"]

{"sheet":"6.场外证券登记结算托管","index":5,"n_rows":20,"n_cols":10,"rows_kept":20,"cut":false,"hidden":false,"merged":[]}
["1.部门联系人表（若有多个部门同时开展业务，请增添表行、分别填写）"]
["部门","人员类别","姓名","职务","座机","手机","邮箱"]
[null,"分管领导",null,null,"区号-电话-分机号（若有分机）"]
[null,"部门负责人"]
[null,"日常业务联系人"]
[null,"日常业务联系人"]
[null,"部门年报联系人"]
[null,"部门日常报告联系人"]
[]
["2.业务开展情况表（该表不分部门统计）"]
["序号","产品类型","是否为该类产品提供登记结算服务","是否为该类产品提供托管服务","业务规模（请填写每月平均登记、托管、结算的产品只数）","年初业务规模（万元）","年初产品数量（支）","年末业务规模（万元）","年末产品数量（支）","备注"]
[null,"填报要求：请区分登记、托管和登记+托管三种业务类型，每种产品类型分三条填报","请选择“是”或“否”","请选择“是”或“否”","请在下拉列表选项中直接选择","如有，请填写文字"]
[1,"基金份额（公募）"]
[2,"资产证券化产品份额"]
[3,"资产管理计划份额"]
[4,"基金专户份额"]
[5,"私募基金份额"]
[6,"债券"]
[7,"收益凭证"]
[8,"其他产品（请说明）"]

{"sheet":"7.区域市场业务","index":6,"n_rows":11,"n_cols":7,"rows_kept":11,"cut":false,"hidden":false,"merged":[]}
["1.部门联系人表（若有多个部门同时开展业务，请增添表行、分别填写）"]
["部门","人员类别","姓名","职务","座机","手机","邮箱"]
[null,"分管领导",null,null,"区号-电话-分机号（若有分机）"]
[null,"部门负责人"]
[null,"日常业务联系人"]
[null,"日常业务联系人"]
[null,"部门年报联系人"]
[null,"部门日常报告联系人"]
[]
["表2 2024年区域市场业务开展情况统计表（请列出2024年在哪些区域市场开展过业务，以及相关业务规模，详细情况请以文字形式说明，）"]
["区域市场名称","完成挂牌数量","完成融资规模"]

{"sheet":"Tags（勿修改此页）","index":7,"n_rows":20,"n_cols":14,"rows_kept":20,"cut":false,"hidden":false,"merged":[]}
["是","未开展",null,"未开展",null,"未开展",null,"未开展",null,"未开展",null,"未开展",null,"未开展"]
["否","A.100万元及以下",null,"A.调整收缩",null,"A.证券公司柜台",null,"A.1",null,"A.权益类",null,"A.500支及以下",null,"A.期权"]
[null,"B.100万元-1000万元（含）",null,"B.保持现状",null,"B.报价系统",null,"B.2",null,"B.大宗商品类",null,"B.500支-1000支（含）",null,"B.互换"]
[null,"C.1000万元-5000万元（含）",null,"C.积极拓展",null,"C.银行间市场",null,"C.3",null,"C.债券类",null,"C.1000支-3000支（含）",null,"C.期权与互换"]
[null,"D.5000万元-1亿元（含）",null,null,null,"D.包括A、B",null,"D.3个以上",null,"D.利率类",null,"D.3000支-5000支（含）"]
[null,"E.1亿元以上",null,null,null,"E.包括A、C",null,null,null,"E.货币类",null,"E.5000支-10000支（含）"]
[{"$nulls":5},"F.包括B、C",null,null,null,"F.信用类",null,"F.10000支以上"]
[{"$nulls":5},"G.包括A、B、C"]
[{"$nulls":5},"H.其他场所（请在备注中说明）"]
[{"$nulls":5},"I.以上所有场所（请在备注中说明）"]
[]
[]
[]
["未开展"]
["A.3个月及以下"]
["B.3-6个月（含）"]
["C.6-12个月（含）"]
["D.1-3年（含）"]
["E.3年及以上"]
["F.无期限"]