Northeast Securities Co.Ltd(000686) independent director
Independent opinions on the appointment of senior managers by the company
As an independent director of Northeast Securities Co.Ltd(000686) (hereinafter referred to as “the company”) in accordance with the company law, the securities law, the governance standards of listed companies, the Listing Rules of Shenzhen Stock Exchange and other laws and regulations and the articles of association, We have carefully considered the proposal on the appointment of senior managers of the company and relevant materials at the second extraordinary meeting of the 10th board of directors in 2022, and express the following independent opinions based on independent judgment:
1、 The nomination, deliberation and voting procedures for the appointment of Mr. Wang Xiaodan as the company’s vice president and Ms. Xue Jinyan as the company’s chief risk officer by the board of directors comply with the provisions of the company law, the securities law and other relevant laws and regulations and the articles of association.
2、 After verification, Mr. Wang Xiaodan and Ms. Xue Jinyan meet the requirements for senior managers and chief risk officer of securities companies as stipulated in the company law, the measures for the supervision of the qualifications of directors, supervisors and senior managers of securities companies and other laws and regulations, as well as the articles of association, It is not found that he has violated laws and regulations and is not allowed to serve as senior management of the company.
3、 It is agreed that the board of directors of the company shall appoint Mr. Wang Xiaodan as the vice president of the company and Ms. Xue Jinyan as the chief risk officer of the company.
Independent director: Shi Jichun, Li Dongfang, Cui Jun, Wang Wensheng, Ren Chong
February 28, 2022
