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Provisions on the Classified Supervision and Administration of Securities Companies
(Announcement No.12 [2009] of the CSRC on May 26, 2009)
| | 证券公司分类监管规定
（证监会公告[2009]12号 二○○九年五月二十六日）
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Chapter I General Provisions
| | 第一章 总则
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Article 1 To effectively carry out the routine supervision and administration of securities companies, reasonably allocate the resources for supervision and administration, improve the efficiency of supervision and administration and promote the sustainable and legitimate development of securities companies, these Provisions are formulated in accordance with the Securities Law, the Regulation on the Supervision and Administration of Securities Companies and other relevant laws and administrative regulations.
| | 第一条 为有效实施证券公司常规监管，合理配置监管资源，提高监管效率，促进证券公司持续规范发展，根据《证券法》、《证券公司监督管理条例》等有关法律、行政法规的规定，制定本规定。
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Article 2 The classification of securities companies refers to the evaluation and determination of the classes of securities companies according to these Provisions, on the basis of their risk management capabilities and in combination with their market competitiveness and continuous regulatory-compliance.
The China Securities Regulatory Commission (CSRC) shall, according to the market developments and the principle of prudential supervision and administration, formulate and, when necessary, adjust the evaluation indicators and standards for the classification of securities companies after soliciting the opinions of the securities sector.
| | 第二条 证券公司分类是指以证券公司风险管理能力为基础，结合公司市场竞争力和持续合规状况，按照本规定评价和确定证券公司的类别。
中国证监会根据市场发展情况和审慎监管原则，在征求行业意见的基础上，制定并适时调整证券公司分类的评价指标与标准。
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Article 3 The CSRC and its dispatched offices shall, according to the results of classification of securities companies, apply different regulatory policies to different classes of securities companies.
| | 第三条 中国证监会及其派出机构根据证券公司分类结果对不同类别的证券公司实施区别对待的监管政策。
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Article 4 The classification of securities companies shall be conducted by the CSRC and its dispatched offices.
The classification of securities companies must follow the principles of legality, regulatory-compliance, objectivity and fairness. Persons involved in the classification of securities companies shall have the corresponding professional quality, business ability and experience in supervision and administration, and stick to principles, be honest and unselfish and diligently perform their duties in their work.
| | 第四条 证券公司的分类由中国证监会及其派出机构组织实施。
证券公司分类工作必须坚持依法合规、客观公正的原则。参与证券公司分类工作的人员应当具备相应的专业素质、业务能力和监管经验，在工作中坚持原则、廉洁奉公、勤勉尽责。
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Chapter II Evaluation Indicators
| | 第二章 评价指标
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Article 5 The risk management capability of a securities company shall be evaluated mainly by virtue of six indicators: capital adequacy, corporate governance and regulatory-compliance management, dynamic risk control, information system safety, protection of clients' rights and interests and information disclosure, according to the Indicators and Standards for the Evaluation of the Risk Management Capability of Securities Companies (see Annex) to reflect the company's capability to manage liquidity risks, regulatory-compliance risks, market risks, credit risks, technical risks, operational risks, etc.
| | 第五条 证券公司风险管理能力主要根据资本充足、公司治理与合规管理、动态风险监控、信息系统安全、客户权益保护、信息披露等6类评价指标，按照《证券公司风险管理能力评价指标与标准》（见附件）进行评价，体现证券公司对流动性风险、合规风险、市场风险、信用风险、技术风险及操作风险等管理能力。
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1. Capital adequacy: mainly to tell the company's net capital and other risk control indicators based on net capital and reflect the company's capital strength and fluidity.
| | （一）资本充足。主要反映证券公司净资本以及以净资本为核心的风险控制指标情况，体现其资本实力及流动性状况。
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2. Corporate governance and regulatory-compliance management: mainly to tell the governance and regulatory-compliance situations of the company and reflect the company's ability to manage regulatory-compliance risks.
| | （二）公司治理与合规管理。主要反映证券公司治理和规范运作情况，体现其合规风险管理能力。
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3. Dynamic risk control: mainly to tell the company's risk control indicators and the dynamic identification, measurement, monitoring, warning, reporting and handling mechanisms of business risks and reflect the company's ability to manage market risks and credit risks.
| | （三）动态风险监控。主要反映证券公司风险控制指标及各项业务风险的动态识别、度量、监测、预警、报告及处理机制情况，体现其市场风险、信用风险的管理能力。
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4. Information system safety: mainly to tell the IT governance situation and the operation status of the information technology system of the company and reflect the company's ability to manage technical risks.
| | （四）信息系统安全。主要反映证券公司IT 治理及信息技术系统运行情况，体现其技术风险管理能力。
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5. Protection of clients' rights and interests: mainly to tell the clients' assets safety, customer service and customer management level of the company and reflect the company's ability to manage operational risks.
| | （五）客户权益保护。主要反映证券公司客户资产安全性、客户服务及客户管理水平，体现其操作风险管理能力。
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6. Information disclosure: mainly to tell the authenticity, accuracy, integrity and timeliness of the information filed by the company and reflect the company's ability to manage accounting risks and integrity risks.
| | （六）信息披露。主要反映证券公司报送信息的真实性、准确性、完整性和及时性，体现其会计风险及诚信风险管理能力。
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Article 6 The market competitiveness of a securities company shall be evaluated mainly by virtue of the situations of its brokerage business, underwriting and sponsoring business, asset management business, cost management ability and innovation ability.
| | 第六条 证券公司市场竞争力主要根据证券公司经纪业务、承销与保荐业务、资产管理业务、成本管理能力、创新能力等方面的情况进行评价。
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Article 7 The continuous regulatory-compliance status shall be evaluated mainly by virtue of the criminal punishments given by the judicial organs, the administrative punishments given or regulatory measures taken by the CSRC and its dispatched offices and the disciplinary actions taken by the self-disciplinary organization of the securities sector.
| | 第七条 证券公司持续合规状况主要根据司法机关采取的刑事处罚措施，中国证监会及其派出机构采取的行政处罚措施、监管措施及证券行业自律组织纪律处分的情况进行评价。
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Chapter III Evaluation Methods
| | 第三章 评价方法
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Article 8 The benchmark score of a securities company in normal operation shall be 100 points. The evaluation score of a securities company shall be determined by adding or deducting certain points to or from the benchmark score corresponding to such factors as the evaluation indicators and standards for the risk management capability of a securities company and the company's market competitiveness and continuous regulatory-compliance status.
| | 第八条 设定正常经营的证券公司基准分为100分。在基准分的基础上，根据证券公司风险管理能力评价指标与标准、市场竞争力、持续合规状况等方面情况，进行相应加分或扣分以确定证券公司的评价计分。
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Article 9 Where, during the evaluation period, a securities company commits a violation of law or regulation and receives an administrative penalty or regulatory measure from the CSRC or its dispatched office or a criminal penalty from the judicial organ, corresponding points shall be deducted in light of the following different circumstances:
| | 第九条 评价期内证券公司因违法违规行为被中国证监会及其派出机构采取行政处罚措施、监管措施或者被司法机关刑事处罚的，按以下原则给予相应扣分：
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1. If it is given a warning letter, ordered to make a public explanation, ordered to participate in training, ordered to make reports periodically or ordered to increase the frequency of internal regulatory-compliance inspections, 1 point shall be deducted each time;
| | （一）被采取出具警示函，责令公开说明，责令参加培训，责令定期报告，责令增加内部合规检查次数的，每次扣1分；
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2. If it is given a warning letter and criticized by notice within the jurisdiction, ordered to correct, or ordered to punish the liable personnel, or if any of its directors, supervisors and senior managers liable for the company's violation is subject to a regulatory talk, 1.5 points shall be deducted each time;
| | （二）被采取出具警示函并在辖区内通报，责令改正，责令处分有关人员，或者董事、监事、高级管理人员因对公司违法违规行为负有责任被监管谈话的，每次扣1.5分；
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3. If it is given a warning letter and criticized by notice in the whole sector, ordered to stop powers or forfeit titles, ordered to change any of its directors, supervisors and senior managers or restrict the rights thereof, restricted in its shareholder' rights or ordered to transfer its shares, 2 points shall be deducted each time;
| | （三）被采取出具警示函并在全行业通报，责令停止职权或解除职务，责令更换董事、监事、高级管理人员或限制其权利，限制股东权利或责令转让股权的，每次扣2分
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4. If it is subject to a public condemnation, its business operations are restricted, its documents on administrative licensing are subject to temporary rejection, or the examination and approval of its applications for launching new businesses or establishing or purchasing branch offices are subject to suspension, 2.5 points shall be deducted each time;
| | （四）被采取公开谴责，限制业务活动，暂不受理与行政许可有关文件，暂停核准新业务或增设、收购营业性分支机构申请的，每次扣2.5分；
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5. If any of its directors, supervisors and senior managers liable for the company's violation of law or regulation is determined as incompetent or disqualified for his position, 3 points shall be deducted each time;
| | （五）董事、监事、高级管理人员因对公司违法违规行为负有责任被认定为不适当人选或被撤销任职资格的，每次扣3分；
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6. If it receives an administrative penalty of warning, or any of its directors, supervisors and senior managers liable for the company's violation of law or regulation is prohibited from market access within a certain period of time, 5 points shall be deducted each time;
| | （六）被采取警告行政处罚措施，或者董事、监事、高级管理人员因对公司违法违规行为负有责任被采取一定期限内市场禁入的，每次扣5分；
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7. If it receives an administrative penalty such as confiscation of illegal gains, a fine or suspension of licensing for its business, or any of its directors, supervisors and senior managers liable for the company's violation of law or regulation is permanently prohibited from market access, 8 points shall be deducted each time; and
| | （七）被采取没收违法所得、罚款、暂停业务许可等行政处罚措施，或者董事、监事、高级管理人员因对公司违法违规行为负有责任被采取永久性市场禁入的，每次扣8分；
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8. If it receives an administrative penalty of cancellation of licensing for certain businesses or if it receives a criminal penalty, 10 points shall be deducted each time.
．．．．．． | | （八）被采取撤销部分业务许可行政处罚措施或被刑事处罚的，每次扣10分。
证券公司分公司、营业部等分支机构被直接采取上述措施的，按以上原则减半扣分，累计最高扣5分；证券公司控股子公司纳入母公司合并评价的，子公司被采取的监管措施，按以上原则减半扣分。
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