Inner Mongolia Dazhong Mining Co.Ltd(001203)
Investor relations management system
Chapter I General Provisions
Article 1 in order to strengthen the information communication between Inner Mongolia Dazhong Mining Co.Ltd(001203) (hereinafter referred to as “the company”) and investors and potential investors (hereinafter referred to as “investors”), promote the benign relationship between the company and investors, advocate rational investment, and establish the integrity of the company among the investing public; Improve the corporate governance structure and improve the core competitiveness of the company; To maximize the value of the company and protect the interests of shareholders, in accordance with the company law of the people’s Republic of China, the securities law of the people’s Republic of China, the stock listing rules of Shenzhen Stock Exchange, the self regulatory guidelines for listed companies of Shenzhen Stock Exchange No. 1 – standardized operation of companies listed on the main board, the Inner Mongolia Dazhong Mining Co.Ltd(001203) articles of association and other relevant laws This system is formulated in accordance with laws and regulations and the actual situation of the company.
Article 2 investor relations management refers to the strategic management behavior of the company through full information disclosure and using the principles of Finance and marketing to strengthen communication with investors and potential investors, promote investors’ understanding and recognition of the company, maximize the value of the company and protect the legitimate rights and interests of shareholders.
Article 3 basic principles of investor relations management:
(I) principle of full disclosure of information. In addition to mandatory information disclosure, the company can actively disclose other relevant information concerned by investors.
(II) principle of compliance information disclosure. The company shall comply with the national laws and regulations and the provisions of the securities regulatory authorities and Shenzhen Stock Exchange on the information disclosure of listed companies to ensure that the information disclosure is true, accurate, complete and timely. When carrying out investor relations work, attention shall be paid to the confidentiality of unpublished information and other internal information. In case of disclosure, the company shall disclose it in time in accordance with relevant regulations.
(III) the principle of equal opportunities for investors. The company shall treat all shareholders and potential investors of the company fairly and avoid selective information disclosure.
(IV) the principle of honesty and trustworthiness. The investor relations work of the company shall be objective, true and accurate, and avoid excessive publicity and misleading.
(V) principle of high efficiency and low consumption. When choosing the working mode of investor relations, the company should give full consideration to improving communication efficiency and reducing communication costs.
(VI) principle of interactive communication. The company should actively listen to the opinions and suggestions of investors, realize two-way communication between the company and investors, and form a benign interaction.
Article 4 the purpose of investor relations management:
(I) strengthen the communication with investors through full information disclosure, promote the benign relationship between the company and investors, and promote investors’ understanding and recognition of the company;
(II) form a corporate culture of serving and respecting investors;
(III) establish a stable and high-quality investor base and obtain long-term market support;
(IV) promote the investment philosophy of maximizing the overall interests of the company and increasing the wealth of shareholders.
(V) increase the transparency of corporate information disclosure and improve corporate governance.
The objects of investor relations management include:
(I) small and medium-sized investors (including registered and potential investors);
(II) specific objects.
Article 5 the objects of investor relations management include:
(I) small and medium-sized investors (including registered and potential investors);
(II) specific objects.
Specific objects refer to institutions and individuals that are easier to access the subject of information disclosure than ordinary small and medium-sized investors, have more information advantages, and are likely to use relevant information for securities trading or dissemination of relevant information, including:
1. Institutions, individuals and their affiliates engaged in securities analysis, consulting and other securities services;
2. Institutions, individuals and their affiliates engaged in securities investment;
3. Shareholders holding or controlling more than 5% of the shares of the company and their affiliates;
4. News media and journalists and their affiliates;
5. Other relevant institutions or individuals.
Article 6 in the investor relations work, the communication between the company and investors mainly includes:
(I) the company’s development strategy, including the company’s development direction, development plan, competitive strategy and business policy; (II) statutory information disclosure and its explanation, including regular report, interim announcement and annual report explanation meeting, etc.
(III) operation and management information that the company can disclose according to law, including operation status, financial status, research and development of new products or technologies, business performance, dividend distribution, etc;
(IV) major matters that can be disclosed by the company according to law, including the company’s major investment and its changes, asset restructuring, mergers and acquisitions, foreign cooperation, foreign guarantees, major contracts, related party transactions, major litigation or arbitration, changes in management and changes in major shareholders;
(V) corporate culture construction;
(VI) other relevant information of the company.
Article 7 in accordance with laws, regulations and the provisions of Shenzhen Stock Exchange, the information disclosed by the company shall be published in the information disclosure newspaper designated by the securities regulatory department and the website of Shenzhen Stock Exchange at the first time.
Chapter II executive body of investor relations and responsibilities of all parties
Article 8 the executive body of this system
Directors, supervisors and other senior managers authorized by the company, the Secretary of the board of directors, relevant managers and employees of the company’s headquarters and branches and subsidiaries included in the company’s consolidated accounting statements (hereinafter referred to as “branches (subsidiaries)”) who participate in the company’s investor relations work.
Article 9 Chairman
He is the first person in charge of investor relations of the company. Preside over and participate in major investor relations activities (including shareholders’ meeting, performance press conference, press conference, roadshow promotion, important capital market meetings and important financial media interviews, etc.). Article 10 directors, supervisors and other senior managers authorized by the company preside over and participate in major investor relations activities.
Article 11 Secretary of the board of directors
Be responsible for the overall planning, coordination and arrangement of the company’s investor relations work, including:
(I) collect the company’s production, operation, finance and other relevant information and disclose it in time in accordance with the requirements of laws, regulations and listing rules and the relevant provisions of the company’s information disclosure and investor relations management;
(II) prepare annual general meeting, extraordinary general meeting and board of directors, and prepare meeting materials;
(III) preside over the preparation, design, printing and sending of annual report, semi annual report and quarterly report;
(IV) answer investors’ inquiries by telephone, e-mail, fax, reception and visit;
(V) organize analyst briefings, online meetings, roadshows and other activities regularly or in case of major events to communicate with investors;
(VI) set up an investor relations management column on the company’s website to disclose the company’s information online to facilitate investors’ search and consultation;
(VII) keep regular contact with institutional investors, securities analysts and small and medium-sized investors to improve investors’ attention to the company;
(VIII) strengthen cooperation with financial media, guide media reports, and arrange interviews and reports by senior managers and other important personnel;
(IX) track, study and study the company’s development strategy, business status, industry trends and relevant laws and regulations, and communicate with investors in appropriate ways;
(x) maintain regular contact with regulatory authorities, industry associations, exchanges, etc., and form a good communication relationship;
（11） Maintain good cooperation and exchange relations with investor relations management departments of other listed companies, professional investor relations management consulting companies, financial public relations companies, etc;
（12） Formulate and revise the detailed rules and regulations on information disclosure and investor relations management, and submit them to the competent department of the company for approval and implementation;
（13） For the reference of the company’s investor relationship research or irregular Research Report for the company’s investor relationship level;
（14） Other work conducive to improving investor relations.
Article 12 securities financing department
It is the centralized management department and daily work organization of the company to carry out investor relations. The staff of the institution carry out information disclosure under the leadership of the board of directors and the Secretary of the board of directors, and maintain good daily communication and exchange with investors, securities analysts and financial media reporters; Implement various investor relations activities of the company; Timely summarize and report the capital market dynamics and investors’ views and suggestions on the industry and the company; Participate in important meetings of the company and play the role of staff consultation.
Article 13 relevant managers and employees of the company’s headquarters and branches (subsidiaries) participate in or cooperate with the company’s investor relations work.
Chapter III contents and implementation norms of investor relations
Article 14 the investor relations work involves information disclosure, investor exchange and capital market feedback.
The Secretary of the board of directors is responsible for the planning and overall arrangement of investor relations for the next year. After being submitted to the chairman for approval, the executive body of investor relations will implement relevant contents according to the overall arrangement of the Secretary of the board of directors. The Secretary of the board of directors shall be responsible for the coordination and arrangement of unexpected or temporary investor relations work that cannot be foreseen in the work, and the executive body of relevant investor relations work shall comply with it.
Article 15 Information Disclosure
(I) formulate, implement and improve the company’s information disclosure management system. The Secretary of the board of directors shall be responsible for the drafting and revision of the information disclosure management system, which shall be implemented after being approved by the board of directors; Strictly follow the information disclosure system of the board of directors.
(II) prepare and publish the company’s regular reports (including annual report, semi annual report and quarterly report) and interim announcements in accordance with the regulatory requirements of Shenzhen Stock Exchange.
Article 16 crisis handling
If the company is faced with unexpected events that may have an impact on the company’s share price, such as major litigation, change of management, closure of factories, abnormal fluctuations in stock and bond transactions, rumors related to the company, punishment of regulators, natural disasters, accidents, etc., the Secretary of the board of directors shall organize to study the handling plan and disclose relevant information to investors in a timely manner in accordance with the law.
Article 17 exchange of investors
(I) investor exchanges include direct exchanges with investors and indirect exchanges with investors through securities analysts and financial media.
(II) on the premise of complying with the company’s information disclosure management system, not disclosing trade secrets and treating investors fairly, the executive body of investor relations can conduct voluntary information disclosure on the basis of legal information disclosure.
(III) the Secretary of the board of directors is responsible for discussing the company’s business environment, strategic planning, development prospects, business conditions and the implementation of business plans with relevant departments or branches (subsidiaries) from time to time to determine the information and disclosure criteria that can be used as the company’s voluntary information disclosure.
(IV) all departments or branches (subsidiaries) related to the information shall provide the truth of the relevant information and ensure the authenticity, accuracy and completeness of the relevant information.
(V) the Secretary of the board of directors shall be responsible for notifying the relevant information disclosure criteria to the relevant executive body of investor relations.
(VI) the Secretary of the board of directors or the relevant executive body of investor relations shall carry out continuous voluntary information disclosure according to a unified standard, so as to enhance investors’ understanding of the company and help investors make rational investment judgments and decisions.
(VII) the company actively carries out various activities to communicate with investors. When the executive body of investor relations of the company introduces the relevant situation of the company to investors, securities analysts or media, it shall be accompanied by the Secretary of the board of directors or investor relations staff as far as possible.
(VIII) create conditions for shareholders to actively participate in the general meeting of shareholders.
(IX) performance press conference and roadshow: after the announcement of performance, the company will hold performance press conference, media meeting or teleconference to introduce the company’s performance to investors, analysts and financial media. After the performance conference, the company will hold roadshow promotion activities as appropriate. According to the needs of business and strategic development, the company will hold press conferences and roadshows as appropriate.
(x) meeting visit: the Secretary of the board of directors is responsible for arranging the daily reception of investors and securities analysts. If necessary, relevant personnel of relevant departments of the company or branches (subsidiaries) shall also participate; The company actively participates in domestic and foreign capital market meetings and makes full use of the opportunity to meet with investors to enhance investors’ understanding of the company.
（11） Site visit: organize and arrange investors, securities analysts and financial media reporters to visit the company as needed.
（12） Website management: the company’s website is the main information window to introduce the latest development of the company to investors. The “investor relations column” is set up on the company’s website to introduce the latest production and operation information of the company, and timely publish the company’s background materials, audio-visual materials and regular reports for roadshow promotion or shareholders’ meeting for investors to download.
（13） Media publicity and interview: the office of the board of directors is responsible for objective and effective publicity of the company’s strategy through financial media in a planned and targeted manner. Any manager or employee of the company must strictly follow the company’s information disclosure management system and other relevant systems when interviewed by financial media; The Secretary of the board of directors may suggest and arrange senior managers of the company to accept media interviews as necessary, and introduce the unified information disclosure caliber of the company to relevant personnel before the interview. Unless expressly authorized and trained, other directors, supervisors, senior managers and employees of the company shall avoid speaking on behalf of the company in investor relations activities.
（14） External contact channels: the company shall publish the company’s website and consultation telephone number in the periodic report. When the website or consulting telephone number is changed, the company shall make an announcement in time.
The company shall ensure that the external contact channels such as consultation telephone, fax and e-mail are unblocked, ensure that the consultation telephone is answered by a specially assigned person during working hours, and timely reply and feed back relevant information to investors in an effective form.
（15） Shenzhen Stock Exchange investor relations interactive platform (hereinafter referred to as “interactive platform”)
1. The company shall communicate with investors through various channels such as interactive trading, and assign or authorize special personnel to view and process the relevant information of interactive trading in a timely manner. The company shall make a full, in-depth and detailed analysis, explanation and reply to the investors’ questions about the disclosed information.
For important or general questions and answers, the company shall sort them out and publish them in a prominent way.
2. When publishing information on the interactive platform, the company shall be cautious, objective and based on facts to ensure the authenticity, accuracy, integrity and fairness of the published information, shall not use exaggerated, promotional and misleading language, shall not mislead investors, and shall fully remind the possible major uncertainties and risks of relevant matters.
The company’s information disclosure shall be subject to the content disclosed through qualified media, and the information published on the interactive mobile platform shall not be related to
