【深圳商报讯】（记者钟国斌）证监会近日就《证券公司分类评价规定（修订草案）》公开征求意见。 该《规定》通过优化业务发展加分指标支持中小证券机构特色化、差异化发展；提出"打大打恶"导向， 切实加强中小投资者保护，并鼓励证券公司申请适用行政执法当事人承诺或开展先行赔付，更好维护投 资者合法权益。 为强化对严重违法违规行为的综合惩戒，更好落实"打大打恶"的要求，加强对中小投资者合法权益的保 护，《规定》突出"打大打恶"，针对重大恶性案件从严下调相关证券公司评级；引导充分有效运用行政 处罚、行政监管措施和自律管理措施等多种监管手段。本次修订适当提高了"资格罚"纪律处分扣分分 值，进一步强化"资格罚"自律管理手段的制度震慑；鼓励证券公司申请适用行政执法当事人承诺或开展 先行赔付。证券公司因涉嫌证券违法违规行为被立案调查且事实情节清晰的，按照《规定》应当至少扣 1.5分。 （文章来源：深圳商报） 具体来看，《规定》取消了营业总收入的加分指标，同时提升对净资产收益率的加分力度，最高加分由 1分提高至2分，引导证券公司坚持集约型的发展方向、提升经营效率。 《规定》适当提升了部分加分指标的覆盖面，将净资产收益率和经纪、投行、资 ...

【环球网财经综合报道】6月20日，证监会正式就《证券公司分类评价规定（修订草案征求意见稿）》（以下简称《规定》）向社会公开征求意见。此次修 订旨在优化证券公司分类评价制度，突出功能发挥导向，支持中小机构差异化、特色化经营。 具体来看，修订内容主要包括四个方面。一是突出促进证券公司功能发挥的导向，完善评价框架。《规定》将立法目的明确为"引导证券公司更好发挥功能 作用，提升专业能力"，并将现有评价框架调整为"风险管理能力、持续合规状况、业务发展和功能发挥状况"四大维度。其中，功能发挥情况涵盖服务实体 经济和国家战略的情况，同时授权证券业协会组织"功能发挥情况"专项评价。 | 中国证券监督管理委员会 CHINA SECURITIES REGULATORY COMMISSION | | | | | 请输入关键字 | | --- | --- | --- | --- | --- | --- | | 八 首页 价 机构概况 | 司 新闻发布 | 圈 政务信息 | 三. 办事服务 | 曰 互动交流 | 000 统计信息 | | ♥ 当前位置： 首页 > 政务信息 > 政府信息公开 > 主动公开目录 > 按体裁文种查看 > 其 ...

优化业务发展加分指标，完善下调评级手段等 时隔近五年，券商分类评价制度再迎修订。 证监会6月20日发布消息，近日，证监会就《证券公司分类评价规定（修订草案）》（下称《规定》） 公开征求意见，修订内容重点围绕促进券商功能发挥、优化业务发展加分指标、突出"打大打恶"三大导 向展开。 具体来看，包括优化了业务发展加分指标。取消了营业总收入的加分指标，同时提升对净资产收益率的 加分力度。同时，完善下调评级手段，针对重大恶性案件从严下调相关证券公司评级，提高"资格罚"纪 律处分扣分分值；引导证券公司申请适用行政执法当事人承诺或开展先行赔付，降低投资者维权成本， 保护中小投资者合法权益等。 比如，在2024年的分类评价工作中，为引导证券公司发挥好直接融资"服务商"和资本市场"看门人"功 能，提升投行服务实体经济质效，证券业协会组织开展了并购重组专业能力等专项评价，并对评价结果 靠前的证券公司在分类评价中予以加分。 在总结经验基础上，《规定》修订将"引导证券公司更好发挥功能作用，提升专业能力"写入总则，并将 现有评价框架调整为"风险管理能力、持续合规状况、业务发展和功能发挥状况"，新增由证券业协会组 织"功能发挥情况"专项 ...

时隔5年，证券公司分类评价制度再一次迎来修订。 6月20日，证监会就《证券公司分类评价规定（修订草案）》（以下简称《规定》）公开征求意见，突 出促进功能发挥、提升专业能力，优化业务发展加分指标，引导经营机构聚焦高质量发展，支持中小机 构特色化、差异化发展，突出"打大打恶"导向，强化综合惩戒，切实加强中小投资者保护。 将规则标题由《证券公司分类监管规定》调整为《证券公司分类评价规定》，与以分类评价为主要内容 的制度框架相适应。业内人士指出，证券公司分类评价制度是证券公司监管的基础性制度，证监会根据 证券公司分类结果，在风险控制指标标准、风险资本准备计算比例、监管资源分配、现场检查和非现场 检查频率等方面，对不同类别的公司实施差异化的监管政策，发挥其"奖优罚劣"和监管"指挥棒"的重要 作用。 更加突出券业功能发挥 注重专业能力 此次《规定》修改，在总结经验基础上，将"引导证券公司更好发挥功能作用，提升专业能力"写入总 则，并将现有评价框架调整为"风险管理能力、持续合规状况、业务发展和功能发挥状况"，突出督促证 券公司端正经营理念、发挥功能作用、提高专业能力的鲜明导向，引导证券公司加大服务实体经济和国 家战略的力度 ...

Core Viewpoint - The revised classification evaluation system for securities companies aims to enhance functionality, professional capabilities, and support high-quality development while protecting the interests of small and medium investors [2][4][10]. Group 1: Regulatory Changes - The China Securities Regulatory Commission (CSRC) has publicly solicited opinions on the revised "Securities Company Classification Evaluation Regulations," emphasizing the importance of functionality and professional capability [2]. - The title of the regulations has been changed from "Securities Company Classification Supervision Regulations" to "Securities Company Classification Evaluation Regulations" to align with the new focus on evaluation [2]. - The revised regulations will implement differentiated supervision policies based on the classification results of securities companies, affecting risk control indicators, capital preparation ratios, and inspection frequencies [2][15]. Group 2: Focus on Functionality and Professional Capability - The revision emphasizes guiding securities companies to better fulfill their functional roles and enhance professional capabilities, with a new evaluation framework focusing on risk management, compliance, business development, and functionality [4][5]. - A special evaluation for "functionality" will be organized by the Securities Association, with results incorporated into the classification evaluation, promoting better service to the real economy and national strategies [4][5]. Group 3: Support for Small and Medium Institutions - The revised regulations optimize and integrate scoring indicators to encourage differentiated and specialized operations, removing the revenue-based scoring while increasing the emphasis on return on net assets [8][9]. - The regulations will support small and medium institutions in exploring differentiated development paths, allowing them to achieve better performance in specific business areas [8][9]. Group 4: Strengthening Investor Protection - The revised regulations enhance punitive measures against major violations, expanding the scope for downgrading evaluation results for companies involved in significant illegal activities [11]. - The regulations encourage securities companies to apply for administrative commitments or advance compensation to better protect investors' rights, reducing their costs and time in seeking redress [12][10]. Group 5: Historical Context and Future Implications - The classification evaluation system has undergone multiple revisions since its introduction in 2009, reflecting the evolving regulatory landscape and the need for alignment with national financial strategies [15]. - The recent changes are expected to significantly impact the development landscape of securities companies, reinforcing the connection between regulatory evaluations and company growth [15].

Group 1 - The core viewpoint of the article is the revision of the "Securities Company Classification Evaluation Regulations (Draft for Public Consultation)" to enhance the classification evaluation system for securities companies, aiming to support differentiated development and specialized operations of small and medium-sized institutions [1][3]. - The public is invited to provide feedback on the draft regulations through specified channels, including email and postal address [1]. - The deadline for submitting feedback is set for July 5, 2025 [2].