Stock Code: Northeast Securities Co.Ltd(000686) stock abbreviation: Northeast Securities Co.Ltd(000686) Announcement No.: 2022009 Northeast Securities Co.Ltd(000686)
The resolution of the second extraordinary meeting of the 10th board of directors in 2022 announced that the company and all members of the board of directors guarantee that the content of information disclosure is true, accurate and complete without false records, misleading statements or major omissions.
1、 Meetings of the board of directors
The notice on the convening of the second interim meeting of the board of directors of the company on June 24, 2022 was sent by e-mail.
2. Northeast Securities Co.Ltd(000686) the second interim meeting of the 10th board of directors in 2022 was held by means of communication voting on February 28, 2022.
3. 13 directors should attend the meeting, and 13 directors actually attended and voted.
4. Non voting participants: all supervisors and senior managers of the company attended the meeting.
5. The meeting complies with relevant laws, administrative regulations, departmental rules, normative documents and the articles of association.
2、 Deliberations of the board meeting
The following proposals were considered and adopted by open ballot at this meeting:
(I) the proposal on the appointment of senior managers of the company was deliberated and adopted
The board of directors of the company agreed to appoint Mr. Wang Xiaodan as the vice president of the company and Ms. Xue Jinyan as the chief risk officer of the company. The term of office starts from the date of deliberation and approval of the board of directors to the date of expiration of the 10th board of directors.
Voting results: 13 in favor, 0 against and 0 abstention. The proposal was considered and adopted.
The independent directors of the company have expressed their independent opinions on the above appointment matters. For details, please refer to the announcement published on cninfo.com.cn on the same day as this announcement Independent opinions of Northeast Securities Co.Ltd(000686) independent directors on the appointment of senior managers by the company.
(II) the proposal on the adjustment of business outlets was deliberated and adopted
According to the development needs of the company’s brokerage business, the board of directors of the company agreed to set up a new business outlet in Jiaxing City, Zhejiang Province, agreed to cancel Shenzhen Futian branch, and agreed to authorize the management of the company to handle the relevant matters of the new and cancelled business outlets in accordance with the regulatory provisions.
Voting results: 13 in favor, 0 against and 0 abstention. The proposal was considered and adopted.
(III) the proposal on Authorizing the management of the company to decide the establishment, relocation, merger and other matters of brokerage branches was deliberated and adopted
In order to promote the better development of the company’s business, the board of directors of the company agrees to authorize the management of the company to decide the establishment, relocation, merger and other related matters of brokerage branches, and the authorization period is from the date of deliberation and approval of the current board of directors to the date of expiration of the 10th board of directors.
Voting results: 13 in favor, 0 against and 0 abstention. The proposal was considered and adopted.
(IV) the proposal on the revision of the investment management system of the bank was reviewed and approved
Voting results: 13 in favor, 0 against and 0 abstention. The proposal was considered and adopted.
(V) the proposal on convening the first extraordinary general meeting of the company in 2022 was deliberated and approved. The company will hold the first extraordinary general meeting of the company in 2022 at 14:30 p.m. on Wednesday, March 16, 2022 in conference room 1118 of the company, 6666 ecological street, Changchun City, Jilin Province, See details published on cninfo.com.cn on the same day as this announcement Notice of Northeast Securities Co.Ltd(000686) on convening the first extraordinary general meeting of shareholders in 2022.
Voting results: 13 in favor, 0 against and 0 abstention. The proposal was considered and adopted.
Meanwhile, the board of directors of the company listened to the report of the audit committee of the board of directors on the audit work of the company in 2021 and had no objection to the contents of the report.
3、 Documents for future reference
1. The resolution of the board of directors signed by the attending directors and stamped with the seal of the board of directors.
2. Other documents required by SZSE.
Attachment: resume of Mr. Wang Xiaodan, vice president and Ms. Xue Jinyan, chief risk officer of the company
It is hereby announced.
Northeast Securities Co.Ltd(000686) board of directors March 1, 2002
Attachment: resume of Mr. Wang Xiaodan, vice president and Ms. Xue Jinyan, chief risk officer of the company
Mr. Wang Xiaodan, born in April 1965, is a CPC member with a bachelor’s degree. He once served as deputy general manager of securities business department of Changchun Wumao building of Northeast Securities Co.Ltd(000686) Co., Ltd., deputy general manager of Northeast Securities Co.Ltd(000686) Shanghai headquarters (presiding over the work), general manager and office director of Beijing headquarters, executive deputy general manager of Beijing Branch, general manager of administration department, general manager of Beijing Representative Office (Preparatory), chief executive officer, assistant to President, chairman of labor union, deputy secretary of Party committee Secretary of Discipline Inspection Commission. Now he is Northeast Securities Co.Ltd(000686) vice president and member of the Party committee.
Mr. Wang Xiaodan has no relationship with shareholders holding more than 5% of the company’s shares, other directors, supervisors and senior managers of the company, does not hold the company’s shares, and has not been punished by the CSRC and other relevant departments or disciplined by the stock exchange, There is no case that the judicial organ has filed a case for investigation due to suspected crime or the CSRC has filed a case for inspection due to suspected violation of laws and regulations, and there is no clear conclusion. It has not been publicized by the securities and futures market information disclosure query platform of the CSRC. It is not the person who is executed for breach of faith, the subject responsible for breach of faith or the object of punishment for breach of faith, There is no case that the company is not allowed to nominate senior managers as required by laws and regulations.
Ms. Xue Jinyan, born in April 1976, is a member of the Jiusan Society, with a bachelor’s degree, a senior accountant, a Chinese certified public accountant, a certified asset appraiser and a member of the risk management committee of the China Securities Association. Former Department Manager of zhongzhun certified public accountants Co., Ltd Northeast Securities Co.Ltd(000686) deputy general manager of finance department, general manager of compliance risk management department and employee supervisor. At present, he is Northeast Securities Co.Ltd(000686) chief risk officer, general manager of risk management headquarters, director of Dongzheng RONGTONG Investment Management Co., Ltd., director of Dongzheng Rongda Investment Co., Ltd., chief risk officer of Dongzheng Ronghui Securities Asset Management Co., Ltd. and chairman of the board of supervisors of Bohai Futures Co., Ltd.
Ms. Xue Jinyan has no relationship with shareholders holding more than 5% of the company’s shares, other directors, supervisors and senior managers of the company, does not hold the company’s shares, and has not been punished by the CSRC and other relevant departments or disciplined by the stock exchange, There is no case that the judicial organ has filed a case for investigation due to suspected crime or the CSRC has filed a case for inspection due to suspected violation of laws and regulations, and there is no clear conclusion. It has not been publicized by the securities and futures market information disclosure query platform of the CSRC. It is not the person who is executed for breach of faith, the subject responsible for breach of faith or the object of punishment for breach of faith, There is no circumstance that the company is not allowed to nominate senior managers and chief risk officer as required by laws and regulations.
