南方周末中国企业社会责任研究中心发布《2026年第三季度上市公司ESG风险报告》显示，当季共有805家上市公司暴露出ESG风险，累计发生风险事件1777起，风险指数总计达到1858.1 1。从风险分布来看，治理（G）维度问题最为突出，其风险事件数量占总数量的57%，其中信息披露违规涉及430起，内控与合规问题涉及417起 1。信披违规被视为当前企业面临的重灾区之一 1。
行业层面，金融业、制造业和房地产业的风险指数位居前三 1。金融企业在季度ESG风险榜前十中占据七席，主要受频发的内控与合规问题影响 1。具体处罚案例包括渤海银行被罚5015万元、渤海理财被罚1230万元以及农业银行上海分行被罚1210万元 1。此外，云创数据因财务造假被北交所终止上市，并于7月30日正式摘牌退市 1。在社会维度方面，星宇股份因劝退百余名应届毕业生引发广泛争议，反映出员工责任风险可能外溢至产业链 1。报告指出，工信部等15部门已印发《关于促进中小企业提升合规意识加强合规管理的指导意见》，提出到2030年合规将成为中小企业的核心竞争力，强调提升合规意识的重要性 1。
The Southern Weekly News’s China Corporate Social Responsibility Research Center has released its ESG risk report for the third quarter of 2026, revealing that 805 listed companies were involved in a total of 1,777 ESG risk events 1. These incidents resulted in a cumulative risk index of 1,858.1, highlighting persistent challenges in corporate governance and compliance across the market 1.
Governance issues accounted for the majority of these risks, with 57% of all recorded events falling under the Governance (G) dimension 1. Within this category, information disclosure violations emerged as the most significant concern with 430 incidents, closely followed by internal control and compliance failures, which totaled 417 cases 1. The financial sector showed particularly high exposure, securing seven spots in the top ten list of companies with the highest quarterly ESG risks 1. This sector, along with manufacturing and real estate, ranked among the top three industries by risk index 1. Specific penalties underscored these trends, including fines of 50.15 million yuan imposed on Bohai Bank, 12.3 million yuan on Bohai Wealth Management, and 12.1 million yuan on the Shanghai branch of Agricultural Bank of China 1.
Beyond governance, social responsibility controversies also drew public attention. Starry Sky Auto Interior Lighting (Xingyu Shares) faced widespread backlash after allegedly forcing out more than 100 fresh graduates, an incident that illustrates how employee-related risks can spill over into supply chains 1. Additionally, Yunchuang Data was delisted from the Beijing Stock Exchange on July 30 following confirmed financial fraud, marking another severe compliance failure 1. These developments coincide with broader regulatory efforts, such as the directive issued by 15 government departments, including the Ministry of Industry and Information Technology, aiming to establish compliance as a core competitive advantage for small and medium-sized enterprises by 2030 1.
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