According to the " Xinhua News Agency ", the China Securities Regulatory Commission will follow the " Securities Company Classification Supervision Regulations" every year to conduct multiple evaluation procedures such as evaluation, review, and review of securities companies on the market. According to different operating conditions, it is classified into 11 levels in five major categories, including AA (AAA, AA), B (BBB, BB), C (CCC, CC, C), D, and E. Baihui Securities believes that in recent years, more and more securities suppliers have appeared in the market, and investors have difficulty making a choice. The rating classification of the CSRC happens to provide investors with a vane. Referring to these authoritative data from the CSRC to discover high-quality securities companies.
The "Regulations on Classification Supervision of Securities Companies" has detailed the evaluation indicators of securities companies by the China Securities Regulatory Commission, indicating that it mainly uses six types of evaluation indicators such as capital adequacy, corporate governance and compliance management, , dynamic risk monitoring, information system security, customer rights protection, and information disclosure. The CSRC also pointed out that at the initial stage of the rating, securities companies may be required to make self-evaluation, and then the securities company classification evaluation expert review committee composed of the CSRC securities fund institutions, and the securities company classification evaluation expert review committee composed of Securities Regulatory Bureau, self-discipline organizations, securities company representatives, etc., will be reviewed for the final comprehensive evaluation.
Baihui Securities believes that the evaluation standards of the "Securities Company Classification Supervision Regulations" are objective and correct, and regular evaluations can indeed reflect the management structure of securities companies in all aspects and the management capabilities of operating risks. Among them, "capital adequacy" is the first standard indicator, which mainly reflects the securities company's net capital and the risk control indicator with net capital as the core, and reflects its capital strength and liquidity status. In addition, in terms of "corporate governance and compliance management", the evaluation can directly reflect the company's standardized operation and directly screen out qualified securities companies. Taking Baihui Securities (Central License No.: BPQ161) as an example, it was licensed for Class I and Class IV regulated activities. At the same time, it has offices or related companies in Hong Kong, Shenzhen and Shanghai.
In terms of information system security, customer rights protection and information disclosure, these evaluation indicators focus on the protection of securities companies for their customer assets and information. Baihui Securities believes that these standards are crucial to establishing a positive image of a brokerage firm, and they cannot be ignored even from a subtle position. For example, investors need to set up a dual security code in Baihui Securities APP to prevent any person from performing any operations without authorization. At the same time, Baihui Securities also complies with all laws and regulatory regulations on the preservation of personal information in the Hong Kong Special Administrative Region, so as to ensure that investors feel at ease. The China Securities Regulatory Commission will comprehensively integrate various capabilities in benchmark scores and will also carefully consider these factors to add points. Securities companies can even rated as high level A.
On the contrary, some securities companies that have exposed negative news will be judged to be unable to bear potential risks, and even more serious situations have occurred, so these securities companies may be downgraded to D or E levels under the influence. In summary, many securities companies have focused on developing their own soft and hard power in the "Securities Company Classification Supervision Regulations", and have carried out healthy competition over time to promote the steady and long-term financial market.
