证监会拟修订证券公司分类评价规定，并公开征求意见

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has publicly solicited opinions on the revised draft of the "Securities Company Classification Evaluation Regulations," aiming to optimize the classification evaluation system for securities companies and support differentiated and specialized operations for small and medium-sized institutions [1][4]. Group 1: Key Aspects of the Revision - The revision emphasizes enhancing the functional role of securities companies, with the evaluation framework adjusted to focus on four dimensions: risk management capability, compliance status, business development, and functional performance [4][5]. - The revised regulations integrate and optimize business development indicators, encouraging institutions to focus on high-quality development and supporting the differentiated operations of small and medium-sized firms. The new rules eliminate the ranking-based scoring for operating income and reduce redundant scoring for scale indicators while increasing the emphasis on return on net assets [4][5]. - The evaluation results will be adjusted to reflect serious violations, with a clear mechanism for downgrading evaluations for companies involved in significant illegal activities. The revised rules also increase the penalty points for disciplinary actions to enhance evaluation fairness [5]. Group 2: Special Provisions and Adjustments - The regulations summarize previous classification evaluation experiences and introduce rules for handling special issues, such as reducing penalty points for companies that actively seek administrative enforcement and engage in proactive compensation [5]. - New scoring rules are established for companies that resolve significant risks through changes in controlling shareholders, supporting eligible entities in participating in the resolution of troubled securities firms [5].