Securities companies that have been ordered to suspend business for rectification, designated other institutions for custody, takeover, administrative restructuring and other risk disposal measures according to law are rated as Class E companies, with an evaluation score of 0. Securities companies with an evaluation score below 60 points are classified as Class D companies.
According to the development of the industry and the classification results in previous years, China Securities Regulatory Commission determines the relative proportion of A, B and C companies in advance, and determines the number of companies of various categories and levels according to the distribution of evaluation scores, among which the evaluation score of B-class companies with BB grade and above should be higher than the benchmark score of 65,438+000.
(1) Class A companies have the highest risk management ability in the industry, and can better control the risks of new businesses and new products;
(2) Class B companies have high risk management capabilities in the industry and can better control the risks of business expansion in the market changes;
(3) The risk management capability of Class C companies matches its existing business;
(4) The risk management ability of Class D companies is low, and the potential risks may exceed the company's tolerable range;
(V) The potential risks of Class E companies have become real risks, and risk disposal measures have been taken.