Self-assessment Study Of The Securities Investor Visit

According to "Regulatory Classification of Securities Companies", China SecuritiesRegulatory Commission made for all securities companies classification managementsince2007, in order to supervise and manage the securities companies effectively,allocated regulatory resources,improved the efficiency of supervision, and promotedthe sustainable development of securities companies in China.According to the CSRCregulatory classification rating content and process, the securities company requiredto the self assessment first,mainly based on investor feedback. At present, China’ssecurities companies carry on the investors self assessment feedback, mainly on thebasis of "Regulatory Classification of Securities Companies",according to the numberand content of investors feedback,and feedback system construction,etc., which forminvestors self-assessment feedback report, and this report take securities companiesclassificated regulation as the investors feedback self-assessment result.This research mainly through three levels of practice-theory-practice, by mean of thefeedback research from foreign and domestic investors, China regulatory authoritytheoretical requirement that is carrying on investigation to AA securities investorfeedback self-assessment, and finding in investors feedback the existing shortcomings,including feedbck content, timeliness, risk control, and feedback system constructionect. Set up appropriate feedback content of the self-assessment in practice for investor,as well as feedback self-assessment criteria, through case studies,that is testingfeedback feasibility. From the practice and theory, put forward the principle of China’ssecurities investors feedback in the self-assessment of settings, set up feasiblefeedback self assessment content, Form in the quantitative assessment criteria inpractice;This criteria can be provided real, effective investor feedback self-assessmentresults in the CSRC classification and grading regulatory management.Through thesis research, which form securities companies investors self-assessmentcontent, we are looking forward to make the investors feedback service standard insupervision and management of the process,and also through domestic securitiescompanies investors self-assessment case anylysis,which test content systemfeasibility in practice,and it can be provided a quantitative evaluation of SFCassessment basis in regulatory classification rating process.