北交所发布2024年度证券公司执业质量评价结果

Core Insights - The Beijing Stock Exchange and the National Equities Exchange and Quotations released the 2024 annual evaluation results for the operational quality of securities firms, reflecting their performance in various business dimensions such as investment banking, brokerage, market making, and research [1] Group 1: Evaluation Results - A total of 103 securities firms were rated from high to low into four categories: Category A includes 20 firms such as CITIC Securities, Category B includes 41 firms like Guoxin Securities, Category C includes 21 firms such as Debon Securities, and Category D includes 21 firms like Wukuang Securities [3] Group 2: Operational Characteristics - The operational quality of securities firms in 2024 shows three main characteristics: 1. The service coverage is continuously expanding, with an increase in the number of companies recommended for listing, a doubling in the amount of stock trading, and a significant rise in the number of research reports published [4] 2. Participation enthusiasm is gradually increasing, with 59 firms involved in new third board listing recommendations, including 13 firms participating for the first time since 2023, and an increase in market makers completing evaluation tests for trading business [4] 3. The responsibility of being a "gatekeeper" has been further emphasized, with an average compliance quality score decrease of 27% compared to the previous year, and a 39% increase in negative records related to investment banking activities such as sponsorship and listing recommendations [4] Group 3: Future Directions - The Beijing Stock Exchange and the National Equities Exchange and Quotations will further improve the operational quality evaluation process to guide securities firms in enhancing their functions, increasing compliance awareness, and continuously improving the service quality for innovative small and medium-sized enterprises [4]