Regulators Will Conduct Ratings of Wealth Management Companies, with Asset Management Capabilities and Risk Management Weighing Most Heavily

WealthCoffee · 2026-03-16T12:42:29+00:00

After six years of development, the wealth management company has achieved results, but still needs to clarify its positioning, improve professional capabilities, deepen net value transformation, and strengthen risk management. The National Financial Regulatory Administration has issued new "Measures" to strengthen rating and supervision of wealth management companies.

WealthCoffee

2026-03-16 12:42:29

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** Caixin.com ** After more than six years of development, wealth management companies have achieved certain results in their transformation. However, some institutions still need to clarify their development positioning, improve their professional investment capabilities, deepen their transition to net asset value, and enhance risk management. There is also a tendency among peers to compete in scale, which urgently requires better guidance.

On the evening of March 16, 2026, the National Financial Regulatory Administration issued the “Interim Measures for the Supervision and Rating of Wealth Management Companies” (hereinafter referred to as the “Measures”). The Measures establish six rating modules: corporate governance, asset management capability, risk management, information disclosure, investor rights protection, and information technology. These modules are assigned weightings of 10%, 25%, 25%, 15%, 15%, and 10%, respectively. They also include targeted scoring items, deduction items, and level adjustment factors to comprehensively evaluate the operation management and risk status of wealth management companies.

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