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.
Article 18 During the evaluation period, a securities company commits illegal acts such as misappropriating clients' assets, illegally entrusting wealth management, making false financial information, or making false capital contributions by shareholders, or withdrawing capital contributions. , the company category will be lowered by three levels; If the circumstances are serious, the company category is directly identified as Class D. ..
Article 19 In the self-assessment, if the securities company fails to truthfully mark the existing problems, omissions and concealment, the points will be doubled; If there are major items concealed during the self-assessment, or the information and materials submitted and provided contain false records, misleading statements or major omissions, the company category will be reduced to 1 to 3 levels according to the seriousness of the case.
If the securities company fails to report the self-evaluation results before the specified date, the company category will be reduced by 1 level; If the self-assessment results are not reported before the deadline for determining the classification results, the company category will be directly determined as D.