Guoyuan Securities Company Limited(000728)
About Anhui Xinbo Aluminum Co.Ltd(003038)
Verification opinions of internal control evaluation report in 2021
Guoyuan Securities Company Limited(000728) (hereinafter referred to as ” Guoyuan Securities Company Limited(000728) ” or “sponsor”) as a sponsor of Anhui Xinbo Aluminum Co.Ltd(003038) (hereinafter referred to as “company” or ” Anhui Xinbo Aluminum Co.Ltd(003038) “) non-public offering of shares, undertakes the continuous supervision work not completed by the company’s original sponsor Chinalin Securities Co.Ltd(002945) (hereinafter referred to as ” Chinalin Securities Co.Ltd(002945) “). In accordance with the securities law of the people’s Republic of China, the measures for the administration of securities issuance and listing recommendation business, the stock listing rules of Shenzhen Stock Exchange, the self regulatory guidelines for listed companies of Shenzhen Stock Exchange No. 1 – standardized operation of listed companies on the main board and other relevant laws and regulations, Guoyuan Securities Company Limited(000728) has checked the 2021 internal control evaluation report issued by the board of directors of Anhui Xinbo Aluminum Co.Ltd(003038) in 2021, and issued the following opinions:
1、 The sponsor’s verification of the company’s 2021 internal control evaluation report
Guoyuan Securities Company Limited(000728) the sponsor representative carefully reviewed the Anhui Xinbo Aluminum Co.Ltd(003038) 2021 annual internal control evaluation report, and consulted the company’s directors, supervisors, senior managers, internal auditors, external audit institutions and other relevant persons, as well as the company’s general meeting, board of directors, board of supervisors and other meeting documents, as well as various business and management rules and regulations, The integrity, rationality and effectiveness of its internal control and the authenticity and objectivity of the 2021 internal control evaluation report were verified from the aspects of Anhui Xinbo Aluminum Co.Ltd(003038) internal control environment, the construction of internal control system and the implementation of internal control.
2、 Overall evaluation of the company’s internal control
According to the identification of major defects in the company’s internal control over financial reporting, there are no major defects in the internal control over financial reporting on the benchmark date of the internal control evaluation report. The board of Directors believes that the company has maintained effective internal control over financial reporting in all major aspects in accordance with the requirements of the enterprise’s internal control standard system and relevant regulations.
According to the identification of major defects in the company’s internal control over non-financial reports, the company has no major defects in the company’s internal control over non-financial reports on the benchmark date of the internal control evaluation report.
There are no factors affecting the evaluation conclusion of the effectiveness of internal control from the base date of the internal control evaluation report to the date of issuance of the internal control evaluation report.
3、 Verification opinions of the recommendation institution on Anhui Xinbo Aluminum Co.Ltd(003038) 2021 internal control evaluation report
Through the verification of the establishment and implementation of the internal control system in Anhui Xinbo Aluminum Co.Ltd(003038) 2021, the recommendation institution believes that the company’s governance structure is relatively sound, and the existing internal control system and relevant implementation are in line with the measures for the administration of securities issuance and listing recommendation business, the stock listing rules of Shenzhen Stock Exchange The company has maintained effective internal control in all major aspects related to enterprise business operation and management in accordance with relevant laws and regulations such as the guidelines for standardized operation of listed companies of Shenzhen Stock Exchange and the requirements of securities regulatory authorities; The 2021 internal control evaluation report issued by the board of directors of the company reflects the construction and operation of its internal control system.
(there is no text on this page, which is the signature page of Guoyuan Securities Company Limited(000728) verification opinions on Anhui Xinbo Aluminum Co.Ltd(003038) 2021 annual internal control evaluation report)
Sponsor representative:
Ge Jianfeng, Zhou Yu
Guoyuan Securities Company Limited(000728) mm / DD / yy
