期货公司分类评价制度发布 优化扣分加分标准

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has released a revised version of the "Regulations on the Classification Evaluation of Futures Companies," aimed at optimizing the regulatory framework and resource allocation for the futures industry [1][4]. Summary by Sections Revision of Evaluation Mechanism - The revision enhances the scoring mechanism by clarifying the basis for deductions, which must be based on effective regulatory measures [2] - It categorizes regulatory measures and assigns different deduction values based on the severity of violations, eliminating duplicate deductions for the same violation [2] - Violations by shareholders and actual controllers are now included in the evaluation of the company, promoting compliance with regulatory laws [2] Optimization of Scoring System - The revised regulations strengthen indicators related to the ability to serve the real economy, adding metrics for "average daily positions of industrial clients" and adjusting those for institutional clients [2] - The market competitiveness scoring system has been restructured into three categories with nine indicators, evaluating various business operations, profitability, and capital strength [3] - Specific income indicators have been split into brokerage and futures trading consulting income, while new indicators for market-making and derivative trading have been added [3] Special Evaluations and Incentives - The "insurance + futures" evaluation has been moved to a special evaluation category, reflecting its importance in national strategy [4] - The regulations now include assessments of party building and cultural construction, integrating trader education into this category [4] - Special incentives are provided for companies that cooperate with regulatory bodies in risk management and maintain compliance without deductions over three evaluation periods [4]