According to the evaluation scores of securities companies, China Securities Regulatory Commission classifies securities companies into five categories: A(AAA, AA, A), B(BBB, BB, B), C(CCC, CC, C), D and E, and 1 1 level.
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;
5. The potential risks of Class E companies have become real risks, and the risk disposal measures have been taken.
Extended data:
Evaluation index of securities companies
1, with sufficient funds. It mainly reflects the net capital of securities companies and risk control indicators with net capital as the core, and reflects their capital strength and liquidity.
2. Corporate governance and compliance management. It mainly reflects the governance and standardized operation of securities companies and their compliance risk management capabilities.
3. Dynamic risk monitoring. It mainly reflects the risk control indicators of securities companies and the dynamic identification, measurement, monitoring, early warning, reporting and handling mechanisms of various business risks, and reflects their ability to manage market risks and credit risks.
4. Information system security. IT mainly reflects the IT governance and information technology system operation of securities companies and their technical risk management capabilities.
5. Consumer rights protection. It mainly reflects the level of customer asset security, customer service and customer management of securities companies, and reflects their operational risk management capabilities.
6. Information disclosure. It mainly reflects the authenticity, accuracy, completeness and timeliness of the information submitted by securities companies, and reflects their accounting risk and integrity risk management capabilities.
Baidu Encyclopedia-Regulations on Classified Supervision of Securities Companies