Article 9 During the evaluation period, if a securities company is subject to administrative punishment measures, regulatory measures or criminal punishment by judicial organs by the China Securities Regulatory Commission and its dispatched offices due to violations of laws and regulations, the corresponding points will be deducted according to the following principles:
(1) If a warning letter is issued, a public explanation is ordered, training is ordered, regular reports are ordered, and the number of internal compliance inspections is increased, 1 point will be deducted each time;
(2) If a warning letter is issued and notified within the jurisdiction, and relevant personnel are ordered to correct or be punished, or directors, supervisors and senior management personnel are held accountable for the company's violations of laws and regulations, 65,438+0.5 points will be deducted each time;
(3) If a warning letter is issued and notified in the whole industry, and it is ordered to stop the authority or remove the post, replace the directors, supervisors and senior managers or restrict their rights, restrict the rights of shareholders or order the transfer of equity, 2 points will be deducted each time;
(4) Those who have been publicly condemned, restricted in business activities, temporarily detained relevant documents of administrative license, suspended the approval of new business or applied for the establishment or acquisition of business branches will be deducted 2.5 points each time;
(5) If a director, supervisor or senior manager is found to be an inappropriate candidate or has his post qualification revoked due to his responsibility for the company's violation of laws and regulations, 3 points will be deducted each time;
(6) For those who are responsible for the company's illegal acts and have been given warning or administrative punishment measures, or directors, supervisors and senior managers have been banned from the market for a certain period of time, 5 points will be deducted each time;
(7) If the company is held responsible for the company's illegal acts, and administrative punishment measures such as confiscation of illegal income, fine and revocation of business license are taken, or directors, supervisors and senior managers are permanently banned from the market, 8 points will be deducted each time;
(8) If administrative punishment measures are taken to revoke part of the business license or criminal punishment is imposed, 10 will be deducted each time.
Branches of securities companies, business departments and other branches directly take the above measures, and deduct points by half according to the above principles, with a cumulative maximum of 5 points; If the holding subsidiary of a securities company is included in the merger evaluation of the parent company, the regulatory measures taken by the subsidiary shall be deducted by half according to the above principles.
Article 10 If a securities company is punished by a self-regulatory organization of the securities industry, 0.5 points will be deducted each time.
Article 11 If administrative punishment measures, regulatory measures and disciplinary actions are taken against a securities company for the same matter for many times, the points will be deducted according to the highest score, and no repeated points will be deducted, except that administrative punishment measures, regulatory measures and disciplinary actions are taken again because the rectification within a time limit is not in place; If the same administrative punishment measures, regulatory measures or disciplinary actions are taken on different matters, the scores shall be calculated separately and the total points shall be deducted.
Article 12 If there are certain problems in six evaluation indexes of securities companies, such as capital adequacy ratio, corporate governance and compliance management, dynamic risk monitoring, information system security, customer rights protection and information disclosure, 0.5 points will be deducted according to specific evaluation criteria. If regulatory measures have been taken, they shall be implemented in accordance with Article 9 of these Provisions, and no repeated points will be deducted.
Article 13 If the market competitiveness of a securities company meets the following conditions, it shall be given corresponding bonus points according to the following principles:
(1) If the net income of trading agent business or the average net income of trading agent business of the securities company in the previous year is in the top five, top 10 and top 20 industries, add 2 points, 1 point and 0.5 point respectively;
(2) If the net income of financial consulting business such as underwriting and sponsorship business, merger and reorganization in the previous year or the number of stock underwriters or bond underwriters was among the top 5 and 65,438+00 in the industry, add 2 points and 65,438+0 points respectively;
(3) If the net income of the asset management business of the securities company in the previous year was in the top 5, 10 and 20 industries, 2 points, 1 minute and 0.5 point were added respectively;
(4) If the net profit of the securities company in the previous year is positive and its cost management ability is in the top 5, 10 and 20 industries, add 2 points, 1 minute and 0.5 points respectively;
(five) the innovation achievements of the securities company have been promoted by the industry during the evaluation period, and the maximum score of 5 points can be obtained individually or cumulatively.
During the evaluation period, if a securities company is dealt with by the measures in Items (6) to (8) of Article 9 of these Provisions due to illegal acts, the points in Items (1) to (3) of this Article shall not apply.
If a securities company fails to perform legal duties and obligations such as listing sponsorship and continuous sponsorship during the evaluation period, the bonus points in Item (2) of this article shall not apply.
Fourteenth securities companies meet the following conditions, according to the following principles to give corresponding points:
(1) If the main risk control indicators of the company have reached the standard continuously in the last two or three evaluation periods, add 2 points and 3 points respectively;
(2) If the company has not taken the measures in Items (6) to (8) of Article 9 in the last two or three evaluation periods, 2 points and 3 points will be added respectively;
(3) If the company's net capital reaches 5 times or more of the prescribed standard, 0. 1 point will be added for each multiple, with a maximum of 3 points;
(4) If the ratio of the company's net capital to liabilities and the ratio of the net capital to the sum of various risk capital reserves reach 2 times or more of the prescribed standards, add 0.5 points respectively;
(5) If the net return on capital is above the top 5, top 65, 438+00 and median, add 2 points, 65 points, 438+0 points and 0.5 points respectively.
Fifteenth China Securities Regulatory Commission and its dispatched offices can adjust the evaluation score of securities companies according to the implementation of special supervision of securities companies during the evaluation period, with a maximum of 3 points for each item.
Article 16 A securities company may apply to an institution recognized by the China Securities Regulatory Commission (hereinafter referred to as a professional evaluation institution) to organize experts to conduct professional evaluation on its professional management ability, stability and security of information technology system, customer service and management level, investor education, etc. Professional appraisal institutions can conduct professional appraisal of major accidents, technical failures, business disputes and customer complaints of securities companies involved in the securities industry. The standards and measures for professional evaluation of securities companies shall be formulated separately.
China Securities Regulatory Commission and its dispatched offices may adjust the evaluation scores of securities companies according to the professional evaluation results of securities companies, with a maximum of 3 points for each professional evaluation.
According to the evaluation of professional evaluation institutions, major accidents, technical failures, business disputes and customer complaints of securities companies are all caused by poor management of securities companies. China Securities Regulatory Commission and its dispatched offices shall take corresponding regulatory measures to deduct points.