Class A companies have the highest risk management ability in the industry, and can better control the risks of new business and new products.
according to the evaluation scores of securities companies, China Securities Regulatory Commission divides them into five categories, namely, A(AAA, AA, A), B(BBB, BB, B), C(CCC, CC, C), D and E, and 11 levels.
1. Class A companies have the highest risk management ability in the industry, and can better control the risks of new business and new products;
2. The risk management ability of Class B companies is relatively high in the industry, and the risk of business expansion can be well controlled in the market changes;
3. The risk management capabilities of Class C companies match their existing businesses;
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 risk disposal measures have been taken.
Extended information:
Evaluation indicators of securities companies
1. Capital adequacy. It mainly reflects the net capital of securities companies and the risk control indicators with net capital as the core, reflecting their capital strength and liquidity.
2. Corporate governance and compliance management. It mainly reflects the governance and standardized operation of securities companies and reflects their compliance risk management capabilities.
3. Dynamic risk monitoring. It mainly reflects the dynamic identification, measurement, monitoring, early warning, reporting and handling mechanism of risk control indicators and various business risks of securities companies, 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 reflects their technical risk management capabilities.
5. Protection of customers' rights and interests. It mainly reflects the security of customer assets, customer service and customer management level 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