1, mainly including Goldman Sachs Gaohua (parent company: Beijing Gaohua), Bohai Huijin Asset Management (parent company: Bohai Securities), Changjiang Underwriting Sponsorship, Changjiang Asset Management (parent company: changjiang securities (7.370, 0.03, 0.4 1%)) and Caitong Securities (1%). First Venture (7.090, -0.04, -0.56%) underwrites sponsored securities (parent company first venture) and Zhengdong Rong Hui Asset Management (parent company Northeast Securities (9.1/kloc-0, -0.0 1,-0./kloc-)

2. According to the Regulation on Classified Supervision of Securities Companies, securities companies are classified into five categories: A(AAA, AA, A), B(BBB, BB, B), C(CCC, CC, C), D and E, with the level of 1 1. Companies at all levels in categories A, B and C are normal operating companies, and the division of categories and levels only reflects the relative level of risk management ability and compliance management level of companies in the industry. D and E companies are companies whose potential risks may exceed the company's tolerable range and take risk disposal measures according to law.

3. The classification result of securities companies is not the evaluation of the credit status and grade of securities companies, but the comprehensive evaluation of securities companies by securities regulatory authorities based on the needs of prudential supervision and the risk management ability of securities companies, combined with the company's market competitiveness and compliance management level, which mainly reflects the overall situation of compliance management and risk control of securities companies. According to the classification results of securities companies, the CSRC implements different regulatory policies for different types of securities companies in terms of administrative licensing, allocation of regulatory resources, frequency of on-site inspections and off-site inspections. The classification results are mainly used by securities regulatory authorities, and securities companies may not use the classification results for commercial purposes such as advertising, publicity and marketing.

1, Class A companies have high risk management ability, strong ability to cope with market changes, and strong risk control ability in new business and new products;

2. The risk management ability of Class B company covers its existing business scale well and has strong ability to cope with market changes;

3. The risk management ability of Class C companies basically matches its existing business scale, and its ability to cope with market changes is average;

4. The risk management ability of Class D companies is low, and the potential risks may exceed the company's tolerance.

5. The potential risks of Class E companies have become real risks, and the risk disposal measures have been taken.

Article 17 If a securities company conceals important matters in the process of self-evaluation, or there are false records, misleading statements or major omissions in the information and materials submitted and provided, 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-evaluation results are not reported within the time limit for determining the classification results, the company will be classified as Class D. ..