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Scope of survey:The survey mainly covers financial companies registered in Shanghai and subject to financial regulation and administration by or reporting to Shanghai’s government authorities.

Survey targets:The survey targets are financial practitioners working for financial companies registered in Shanghai and engaged in financial activities in the territory of Shanghai,including employees,leased staff and other practitioners.For financial companies headquartered in Shanghai,only their workforce in active service in the Shanghai is surveyed,while their workforce engaged in operation activities in other provinces or municipalities or overseas is not included.

Classification of financial companies:According to the Industrial Classification for National Economy Activities(2011)and the operational realities of financial service companies,and with the consent of Shanghai Municipal Statistics Bureau,the survey puts financial companies into 16 subsectors:banking,securities,fund,futures,insurance,trust,asset management,group finance,financial leasing,microlending,financing guarantee,pawn,financing leasing,factoring,third-party payment and markets.Internet-based financial companies are not included.

Banking:Including State-owned banks,policy banks,jointstock commercial banks,rural banks,foreign banks,credit card centers,licensed operation centers(fund operation centers,business units for notes,private banking units,business units for precious metals,RMB trading business headquarters),bank branches in the pilot free trade zone,SME finance units and financial services centers for small businesses.

Securities:Including securities companies,Shanghai branches or business units of securities companies registered in other regions,securities investment consulting companies,underwriting and sponsorship and other subsidiaries of securities companies.

Fund:Including fund companies(public offering)and fund sales institutions.

Futures:Including futures companies,Shanghai branches or business units of futures companies registered in other regions.

Insurance:Including insurance groups,life insurance companies,property and casualty insurance companies,reinsurance companies,pension companies,health and accident insurance companies,insurance brokers and agents,risk and impairment assessment companies,and shipping insurance operation centers.

Trust:Including Shanghai International Trust,Zhonghai Trust,Shanghai AJ Trust,Anxin Trust,Hwabao Trust,Zhongtai Trust,and Sino-Australian International Trust.

Asset management:Including private equity funds,venture funds,QFLPs,private equity securities and QDLPs managing over one billion RMB yuan of assets,banking asset management companies,and specialized subsidiaries of fund companies.

Group finance:Including limited liability financial companies under large corporate groups such as SAIC,China Eastern Airlines,Sinopec,Shanghai Huayi Group,Matsushita Electric Industrial(China),Shenergy,China COSCO Shipping,Jin Jiang International,China Power,Hitachi(China),Baosteel Group,Shanghai Fosun High-Tech Group,Shanghai Electrics and Bailian Group.

Financial leasing:Including CAF Financial Leasing Co.,Ltd.,Bank of Communications Financial Leasing Co.,Ltd.,CMB Financial Leasing Co.,Ltd.and SPD Bank Financial Leasing Co.,Ltd.

Micro-lending:Including all licensed micro-lending companies.

Financing guarantee:Including all financing guarantees companies holding a valid business license.

Pawn:Including non-banking financial institutions which provide non-gratuitous term loans with the deposit of property as security.

Financing leasing companies:Including domestic financing leasing companies and foreign financing leasing companies with a registered capital of over 100 million RMB yuan.

Factoring:Including factoring service providers.

Third-party payment:Including independent businesses that provide payment platforms outside the banking system.

Markets:Including Shanghai Stock Exchange,Shanghai Futures Exchange,China Financial Futures Exchange,Shanghai Gold Exchange,Shanghai Clearing House,CSDC Shanghai,China Foreign Exchange Trading Center,China Union Pay and Shanghai Equity Exchange.

Survey methodology:The survey was conducted by the comprehensive method.Financial companies within the scope of survey reported data on a fact sheet developed by Shanghai Municipal Statistics Bureau and submitted the fact sheet online through the National Bureau of Statistics Reporting System.Moreover,to ensure the completeness and accuracy of the reported information,the person in charge of each reporting company must confirm the fact sheet with seal before it was submitted.

Analysis methodology:To ensure the truthfulness,validity and reliability of the analysis,the survey depended on the verity of the actually reported data,while no projections and estimates had been made.

Setting scientific indicators.From February to June 2015,a task team set up by Shanghai Financial Development Services Center including participants from-government departments,industry regulators,the financial industry and the academia developed a system of indicators.In order to make the indicators more reasonable and reflect the industry realities truthfully,the task team selected sample financial companies from different subsectors and asked them to fill in the fact sheet in a test run.After repeated revision and improvement,the indicators were reported to Shanghai Municipal Statistics Bureau for review and approval.The indicators were aligned with the human resources statistics of MOHRSS and relevant statistics of national financial regulators and Shanghai Municipal Statistics Bureau,but also reflect the characteristics of the financial industry and the financial workforce.In other words,there are common industry indicators and specific indicators which serve international financial practitioners and the market realities very well.So the system of indicators is rather innovative.

Identifying target companies strictly.To ensure that the surveyed companies are complete and valid,the financial regulators,Shanghai Financial Service Office,Shanghai Municipal Commission of Commerce and the finance bureaus of Shanghai’s districts(and a county)compared and updated the directory of more than 1,300 financial companies in Shanghai produced by the third national economic census in 2013.Then,Shanghai Administration for Industry and Commerce,Shanghai Tax Bureau and Shanghai Municipal Human Resources and Social Security Bureau helped verify the list which was sorted out by the Shanghai Financial Development Service Center.Finally,2,052 companies were identified and included in the survey.On this basis,a database of the financial companies was built which includes business name,organization code,business address,registered address and contact information.Meanwhile,a work mechanism was adopted comprising of:implementation by district-level finance offices;support by regulators;coordination by the Financial Development Service Center;and assistance by professional survey companies and industry associations.This mechanism was expected to mobilize relevant financial companies to participate in training sessions and fill in the fact sheet in good faith.

Analyzing the collected data objectively.To ensure data quality,six training sessions had been organized and 1,442 companies had participated in the training sessions,accounting for 65.7%of the total surveyed companies.In the course of survey,guidance and advisory services were offered intensively for financial companies to report their data and the reporting process was monitored on a real-time basis.Audits were made to discover noncompliance and non-compliant data were rejected or only accepted after a special note was made.In this sense,the reported data were under effective quality control.Data review and correction were made on an on-going basis following special guidelines.Key companies and core indicators were especially inspected by the sampling method,and where errors or misreports were discovered,companies were required to make corrections.At the end of the survey,in order to ensure data validity and reliability,Shanghai Financial Service Office,Shanghai Financial Development Services Center,Shanghai Municipal Statistics Bureau and financial regulators first compared and reviewed the statistical scope and the collected data,and then organized experts to conduct an objective analysis of the data to ensure data accuracy and reliability.

Workforce refers to all practitioners engaged in the operation activities of an organization and directly paid for the service or otherwise benefiting from the operating income of the organization as of June 30,2015,including employees,leased staff and other practitioners.Workforce also includes contractor employees and insurance agents(marketers),but does not include:

1)people who have left the organization but still keep the employment relation and regularly receive basic allowances;

2)students working part-time or on internship for the organization;

3)employees of the organization recruited by PLA;or

4)people providing out sourced services to the organization.

Employees refer to the people who work for and get salary or wages from an organization under an employment contract,including those who are on study leave and sick or injury leave(within six months)but are still paid by the organization.Employees also include temporary staff without employment contract with any organization.

Leased staff refers to the people belonging to the lessor organization under a formal employment contract but actually working for another organization under a Staff Leasing Agreement between the lessor and the lessee organization,according to the Labor Contract Law of the People’s Republic of China.

Other practitioners refer to the people who work for an organization but do not fall into the subsector of either employees or leased staff.Such practitioners are actually engaged in the operation activities of the organization and get directly paid for their job by the organization.Other practitioners include:part-time staff,temporarily employed retirees,second job takers,as well as expatriates and staff from Hong Kong,Macao and Taiwan working for the organization.

Practitioners returning from overseas studies refer to the people who have studied abroad with public funding or at their own expense and got a bachelor’s degree or higher from overseas education institutions;or those who have already obtained a bachelor’s degree or higher or intermediate(or higher)professional qualifications in China,and have further studied overseas as visiting scholars or research fellows for a year(or more).

Expatriates and staff from Hong Kong,Macao and Taiwan refer to the foreign nationals and people from Hong Kong,Macao and Taiwan who work for an organization and get paid for their job,not including those engaged in short-term(within six months)research or work on any temporary visit,lecture tour,and research project.

New recruitment or job cut applies to the employees,leased staff and other practitioners in active service from January to December 2014,but does not include insurance agents.

Overseas recruits refers to the practitioners recruited through overseas job markets(including new graduates and those with work experience)from January to December 2014.

Assignments refer to the people assigned by the superior organization by administrative means to a certain position in an organization(including appointment and external assignment)from January to December 2014.

Resignation refers to the act of employees,leased staff or other practitioners proposing to terminate the employment contract or other service relation from January to December 2014.

Dismissal refers to the act of an employer terminating the employment contract or other service relationship as a penalty from January to December 2014.

Academic background refers to the highest academic degree or level of education equivalent to an existing certificate or degree received at home and abroad.Those who have not been educated according to the syllabus adopted by the Ministry of Education or those who have only learned a standalone subject or subjects are not categorized under“junior college”,“college”or“graduate”,but are instead described specifically.

Professional qualification refers to the technical or vocational qualification organized by the State,and includes senior,intermediate and junior titles.

Professional certification includes:in addition to professional qualification mentioned above,domestic professional competence certification programs generally recognized in the financial services(including insurance)sector,such as Chinese CPA,Actuaries China,China Financial Planners;and foreign certification programs such as IOA(UK),ChFP,CPA,AFP,CGA,FRM,CFP,CIA(Certified Internal Auditor),ACCA,CFA,SOA,LOMA.