Securities companies are divided into five categories: A, B, C, D and E, with 1 1 level. Companies at all levels in categories A, B and C are normal operating companies, and the division of their categories and levels only reflects the relative level of their risk management capabilities in the industry. Class D and E companies are companies whose potential risks may exceed the company's tolerable range and take risk disposal measures according to law.
Extended data:
The development of coil dealers mainly focuses on the following six aspects:
First, accelerate the transformation of brokerage business and enhance wealth management capabilities. It is an inevitable choice for the development of the securities market to change the brokerage business from simple channel service to value-added service. The business innovation of securities companies should be based on improving the financial service system, vigorously developing intermediate value-added services and developing low-risk financial innovative products.
The second is to strengthen the appropriate management of customers and improve the education level of investors. The ups and downs of the wealth stock market, especially the Growth Enterprise Market (GEM) and margin trading, urgently require further strengthening the risk prevention education of investors. Securities companies should guide the right investors to buy the right products by understanding and classifying their customers.
Third, we should strengthen the research on the securities market and improve the research and pricing capabilities of securities companies. The CSRC clearly stipulates that publishing research reports is the basic business form of investment consulting companies and securities companies. Securities companies and investment consulting companies should take this opportunity to improve their pricing power and industry core competitiveness.
Fourth, we should enhance customer service awareness and improve customer service capabilities. With the formation of the capital market and the arrival of the financial management era, investment products will be more abundant, the number of customers will increase rapidly, the customer structure and customer needs will become increasingly complex and diverse, the marketing methods of the industry will inevitably improve, and the service means will inevitably become more scientific. Only by improving customer service level and providing differentiated and personalized services can securities companies enhance their industry competitiveness.
Fifth, it is necessary to strengthen the construction of industry compliance system and improve the internal control level of the industry. In the next step, the compliance management system should be widely promoted throughout the industry, laying an institutional foundation for securities companies to improve self-management and self-restraint, achieve sustained and healthy development, and enhance their core competitiveness. The Securities Industry Association is working hard to formulate guidelines for information systems of securities companies, and put forward specific requirements for information isolation of securities companies' issuance, sponsorship and self-operation.
Sixth, it is necessary to strengthen the construction of industry teams and improve the quality of employees. The development of the capital market has spawned a large number of financial institutions and trained a large number of financial professionals. The capital market has entered thousands of households, and the financial management culture has quietly emerged. In the process of this reform, securities companies are required to constantly improve the professional level and moral level of employees in order to keep up with the pace of economic development and economic transformation.
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