| Field | Value | Source text | Reading (model) |
|---|---|---|---|
| G1 Scope, precedence and principles · 6 fields | |||
| Covered rule documents | index business policies, general index compilation rules, index compilation schemes for specific indices or index series | （一） 指数业务制度，即适用于指数业务的相关内部制度，包括但不限于《指数管理基本规则》及其所指向的各项业务制度；Open p.3 ↗ |
Index rules covered include index business policies, general index compilation rules, and index compilation schemes. |
| Interpretation department | Research and Development Department | 第二十三条 本办法由研究开发部负责解释。Open p.9 ↗ |
The Research and Development Department is responsible for interpreting these measures. |
| Covered indices | Equity indices, bond indices, multi-asset indices, and other indices managed by China Securities Index Co., Ltd. | 为规范中证指数有限公司（以下简称“公司”）指数规则修订的流程，特制定本办法。本办法适用于公司管理的股票指数、债券指数、多资产指数等。Open p.3 ↗ |
The rules apply to equity, bond, multi-asset and other indices managed by the company. |
| Administrator | China Securities Index Co., Ltd. (CSI) | 为规范中证指数有限公司（以下简称“公司”）指数规则修订的流程，特制定本办法。Open p.3 ↗ |
The administrator is China Securities Index Co., Ltd. |
| Rulebook version | V3.0 | The version of these implementation rules is V3.0. | |
| Effective date | 2023-04-01 | 2023 年4 月Open p.1 ↗ |
The version is dated April 2023 and takes effect after approval by the General Office Meeting. |
| G8 Governance, changes and termination · 15 fields | |||
| Revision triggers | rules can no longer adapt to changes in the market environment, rules no longer match the index's function or positioning, the index's function or positioning is proposed to change, the Index Expert Committee, custom index client or index user proposes revisions, rules conflict with laws, regulations or regulatory requirements, other special circumstances identified by the company | 第三条 指数规则面临修订的潜在情形包括但不限于：Open p.3 ↗ |
Potential revision situations include market changes, positioning mismatches or changes, stakeholder proposals, legal conflicts and other special circumstances. |
| Implementation with scheduled review | Rule revisions may be implemented together with a scheduled sample review or scheduled weight rebalancing. | 第十八条 在符合第十七条的前提下，指数规则修订的实施可以随指数的定期调样或定期权重再平衡一并进行。Open p.8 ↗ |
Subject to the announcement requirement, rule revisions may take effect with a scheduled review or rebalancing. |
| Quarterly revision report | Quarterly | 并做《指数规则修订情况报告》每季度报送一次指数业务监督委员会。Open p.8 ↗ |
The responsible department prepares an Index Rule Revision Situation Report and submits it quarterly to the Index Business Supervision Committee. |
| Complaint source handling | External complaints are among the channels through which departments identify potential rule revisions and submit matters for prompt assessment. | 第五条 除定期审阅外，公司各部门通过审视市场环境、听取指数专家委员会建议、接受市场反馈、外部投诉等途径，发现指数规则面临修订的潜在情形时，应尽快提交经办部门评估。Open p.4 ↗ |
External complaints are treated as market feedback that can trigger prompt assessment of a potential index-rule revision. |
| Liability disclaimer | CSI disclaims liability for losses related to use of the material and for index termination, maintenance or publication events, without giving notice of content revisions. | 中证指数在任何情况下（包括但不限于指数成份券发生停牌、违约或其他负面事件，指数终止计算、维护与发布等）均不对任何人遭受的任何利益损失、时机损失或商誉损失Open p.9 ↗ |
CSI does not accept liability for losses from use of the material and may revise its content from time to time without notice. |
| Oversight body | General Office Meeting, Index Business Supervision Committee, Index Review Working Committee, Index Expert Committee | 第二十二条 本办法由总办会负责监督相关施行情况，一旦发现有未遵照施行的情况，总办会有权根据情况对相关人员进行处罚。Open p.8 ↗ |
Oversight and review roles are assigned to the General Office Meeting, Index Business Supervision Committee, Index Review Working Committee and Index Expert Committee. |
| Discretion points | company may identify special circumstances that may trigger rule revision, company assesses the necessity and timing of revisions, special circumstances may use targeted consultation for Category I indices with committee consent, special circumstances may permit implementation immediately after announcement with committee consent | （六） 公司认定的特殊情形。Open p.4 ↗ |
The company may act in special circumstances, assess revision necessity and timing, and use alternative consultation or implementation procedures with the specified committee consent. |
| Methodology review frequency | Frequency: Annually; Ad hoc reviews: Yes | 第四条 公司每年定期对指数规则进行审阅，其中：Open p.4 ↗ |
The company reviews index rules annually and also evaluates potential revisions when issues arise outside scheduled reviews. |
| External review | Required for: material changes; Forms: public consultation, targeted consultation; Public maximum period months: 3; Targeted maximum period months: 1; Targeted stakeholders: managers of products using the index as investment target or benchmark, custom index clients | 第八条 指数规则修订涉及重大变更的，公司应事先向市场征求意见。征求意见包括公开征求意见及定向征求意见两种形式。Open p.4 ↗ |
Material changes require prior market consultation through public or targeted consultation, with maximum consultation periods of three months and one month respectively. |
| Material change definition | substantive change to the sample-space definition, such as overlap of old and new sample spaces below 70%, substantive change to the selection method, such as overlap of old and new samples below 70%, substantive change to the weighting method, such as changing market-cap weighting to non-market-cap weighting or vice versa, substantive change to general index compilation rules, including scheduled review implementation timing, free-float scope, index correction circumstances or formulas, other circumstances the Index Business Supervision Committee considers material | 第七条 指数规则的重大变更仅涉及指数编制方案或通用性指数编制规则的修订，具体是指：Open p.4 ↗ |
Material changes are substantive changes to sample space, selection method, weighting method or general compilation rules, plus other cases designated by the Index Business Supervision Committee. |
| Change procedure | identify a potential revision and submit it to the responsible department for assessment, assess necessity and timing and prepare a revision proposal, conduct market consultation when the change is material, submit the proposal to the Index Review Working Committee, refine the proposal after feedback when consultation applies, obtain review and approvals from the responsible leader, General Manager, and, for material Category I changes, Index Expert Committee discussion, report the proposal to the Index Business Supervision Committee, announce on the company website before implementation, record and archive the revision | 第五条 除定期审阅外，公司各部门通过审视市场环境、听取指数专家委员会建议、接受市场反馈、外部投诉等途径，发现指数规则面临修订的潜在情形时，应尽快提交经办部门评估。Open p.4 ↗ |
Rule changes are assessed, proposed, consulted where material, reviewed by the working committee, approved internally, reported to the supervision committee, announced, implemented, and archived. |
| Consultation procedure | Category I indices: public consultation by default, targeted consultation only in special circumstances with Index Business Supervision Committee consent; Non Category I indices: targeted consultation by default; Disclosed items: revision background, proposed revision, consultation schedule, proposed implementation schedule; Feedback handling: Prepare a feedback summary and analysis, submit it to the responsible leader and General Manager for review, report it to the supervision committee, and disclose it with the revision announcement | 第九条 一类指数的重大变更原则上采用公开征求意见的形式。公司认定的特殊情形，经指数业务监督委员会同意的，可采用定向征求意见的形式Open p.6 ↗ |
Category I indices generally use public consultation and other indices targeted consultation; consultation documents explain the background, proposal and schedule, and feedback is summarized, reviewed, reported and disclosed. |
| Notice period | 1 business day | 第十七条 指数规则的修订根据指数分类不同须在正式实施前至少一个交易日于公司官网进行公告，公告内容包括指数规则修订的背景、内容及实施时间表。Open p.7 ↗ |
Unless otherwise specified, rule revisions must be announced on the company website at least one trading day before formal implementation. |
| Disclosure channels | company official website, Email, Fax, written communications to stakeholders | 采用公开征求意见的，应在公司官网公告征求意见内容、时间表及意见反馈方式，征询时间原则上不超过三个月。Open p.4 ↗ |
Disclosures are made through the company website and, for targeted consultation, by email, fax or other written forms to stakeholders. |
| Usage restrictions | The material is for reference only, may not be used for illegal or unauthorized purposes, and does not constitute investment advice or a guarantee. | 本材料仅供参考，不得用于任何非法或未经授权的用途。本材料中的任何信息（包括但不限于将某个证券纳入指数或从指数中剔除、调整指数成份券权重等）均不构成中证指数有限公司Open p.9 ↗ |
The material may not be used for illegal or unauthorized purposes and its information does not constitute investment advice or an investment-value guarantee. |
Open points · 11Model-written, for reference
- 1No precedence rule was found explaining whether these measures or an individual index methodology prevails in a conflict.
- 2No stated guiding principles such as representativeness, investability or transparency were found.
- 3No explicit index cessation policy or termination procedure was found beyond a disclaimer mentioning termination of index calculation, maintenance and publication.
- 4No standalone complaints procedure, response timeline or complaint-handling body was found; external complaints are only identified as a source of rule-revision feedback.
- 5No exact effective day within April 2023 was stated; only the version month and approval-based effectiveness clause were provided.
- 6Not coveredG2 Calculation and publication: not covered by this edition
- 7Not coveredG3 Prices and market data: not covered by this edition
- 8Not coveredG4 Corporate events: not covered by this edition
- 9Not coveredG5 Shares, free float and weight factors: not covered by this edition
- 10Not coveredG6 Disruption, emergencies and corrections: not covered by this edition
- 11Not coveredG7 Review and constituent changes: not covered by this edition
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