Guoyuan Securities Company Limited(000728)
About Anhui Xinbo Aluminum Co.Ltd(003038)
Continuously supervise the recommendation work report of 2021
Name of Sponsor: Guoyuan Securities Company Limited(000728) abbreviation of the sponsored company: Anhui Xinbo Aluminum Co.Ltd(003038) (003038. SZ)
Name of Sponsor: Ge Jianfeng Tel.: 620551-27051
Name of sponsor representative: Zhou Yu Tel: 0551-62270323
1、 Overview of sponsor work
Implementation of work content
1. Review of the company’s information disclosure
(1) Whether the company’s information disclosure documents are reviewed in time
(2) The number of times that the company’s information disclosure documents are not reviewed in time is none
2. Supervise the company’s establishment, improvement and effective implementation of rules and regulations (1) whether supervise the company to establish and improve rules and regulations (including but not limited to)
The system of preventing related parties from occupying the company’s resources, the management system of raised funds and
Internal control system, internal audit system and related party transaction system)
(2) Whether the company effectively implements relevant rules and regulations is
3. Supervision of raised funds
(1) Number of times to query the company’s special account for raised funds 1
(2) Is the progress of the company’s fund-raising projects consistent with the information disclosure documents
4. Corporate governance supervision
(1) No attendance at the general meeting of shareholders
(2) No attendance at the board of directors of the company
(3) No attendance at the board of supervisors of the company
5. On site inspection
(1) Number of on-site inspections none
(2) Whether the on-site inspection report is submitted in accordance with the provisions of the exchange
(3) The main problems found in the on-site inspection and the rectification are none
6. Expression of independent opinions
(1) Number of independent opinions: None
(2) Issues involved in issuing non consenting opinions and concluding comments none
7. Report the situation to the exchange (except for the on-site inspection report)
(1) Number of reports to the exchange none
(2) The main contents of the report are not applicable
(3) The progress or rectification of the reported items is not applicable
Implementation of work content
8. Pay attention to the performance of duties
(1) Whether there are matters needing attention none
(2) The main contents of the concerns are not applicable
(3) The progress or rectification of concerns is not applicable
9. Whether the records and custody of the working papers of the recommendation business are in compliance
10. Training for listed companies
(1) Training times none
(2) Training date: None
(3) The main contents of the training are none
11. There is no other recommendation work that needs to be explained
2、 Problems found by the sponsor and measures taken
Problems and measures taken
1. Information disclosure is not applicable
2. The establishment and implementation of the company’s internal system are all applicable
3. The operation of the “three sessions” is applicable
4. Changes in controlling shareholders and actual controllers are applicable
5. The deposit and use of raised funds are applicable
6. Connected transactions are not applicable
7. All external guarantees are applicable
8. Acquisition and sale of assets are applicable
9. Other business categories and important matters (including
Foreign investment, venture capital and entrustment are all applicable
Finance, financial assistance, hedging, etc.)
10. The issuer or the intermediary employed by it has no, and the company and the intermediary employed by it can be very inapplicable
The organization cooperates with the recommendation work, and cooperates with the recommendation work if it is good
11. Others (including business environment and business)
Development, financial status, management status, all applicable
Major changes in core technology)
3、 Performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
The commitment on share locking matters is not applicable
The commitment on shareholders’ shareholding and reduction intention is not applicable
The commitment to share price stabilization measures is not applicable
The commitment on the authenticity and compensation of listing application documents is not applicable
The commitment to fill diluted immediate returns is not applicable
The commitment to avoid horizontal competition is not applicable
The commitment to reduce related party transactions is not applicable
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
Commitments on binding measures when commitments are not fulfilled are not applicable
The process of IPO and listing of the company is not applicable
Commitments made in
The commitment on the pre issuance accumulated profit distribution plan is not applicable
4、 Other matters
Description of report items
Anhui Xinbo Aluminum Co.Ltd(003038) the 13th meeting of the second board of directors held on December 1, 2021 The third extraordinary general meeting of shareholders in 2021 held on December 17, 2021 passed the relevant proposal of the company’s non-public offering of A-Shares in 2021.
Anhui Xinbo Aluminum Co.Ltd(003038) has hired Guoyuan Securities Company Limited(000728) as the sponsor of this non-public offering of a shares, Signed Anhui Xinbo Aluminum Co.Ltd(003038) with Guoyuan 1. Change of sponsor and sponsor representative and its reasons Securities Co., Ltd. on non-public issuance of RMB common shares (A shares) by Anhui xinplatinum Aluminum Co., Ltd. in 2021 And issued the announcement on changing the recommendation institution and recommendation representative on January 19, 2022. The company hired another recommendation agency for re applying for securities issuance, and the continuous supervision recommendation agency of Anhui Xinbo Aluminum Co.Ltd(003038) was changed from the company’s initial public offering recommendation agency Chinalin Securities Co.Ltd(002945) Co., Ltd. to Guoyuan Securities Company Limited(000728) , Zhou Jianyu and Ge Jianfeng were changed as the sponsor representatives.
2. During the reporting period, the CSRC and the exchange have no influence on the recommendation institution or its
Supervision measures taken by the sponsor company and rectification
3. Other major matters to be reported none
(there is no text on this page, which is the signature page of the recommendation work report of Guoyuan Securities Company Limited(000728) on Anhui Xinbo Aluminum Co.Ltd(003038) continuous supervision in 2021)
Sponsor representative:
Ge Jianfeng, Zhou Yu
Guoyuan Securities Company Limited(000728) mm / DD / yy
