中證協啟動2020年度券商建設實踐評估工作
據內媒報道,中國證券業協會啟動2020年度證券公司文化建設實踐評估工作。
在中證協下發的《關於啟動2020年度證券公司文化建設實踐評估工作的通知》中,具體評估指標包括基礎評估指標、加分事項、扣分事項三個方面,評估結果由高至低分為A、B、C、D四類等級。
存在以下情形的券商直接被評為D類,包括:拒絕或阻礙文化建設實踐評估;評估中存在隱瞞重大事實、提供虛假材料、誤導性陳述、重大遺漏等情形的;公司治理機制存在重大缺陷或失靈,反映出證券公司文化建設存在重大問題或缺陷的;公司發生重大違法違規或風險事件,反映出證券公司文化建設存在重大問題或缺陷的。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!

Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.