3Peak Incorporated(688536) microelectronics technology (Suzhou) Co., Ltd
2021 performance report of the audit committee of the board of directors
In accordance with the company law of the people’s Republic of China (hereinafter referred to as the “company law”), the securities law of the people’s Republic of China (hereinafter referred to as the “Securities Law”), the guidelines for the governance of listed companies, and the self regulatory guidance No. 1 – standardized operation of companies listed on the science and Innovation Board of Shanghai Stock Exchange As a member of the audit committee of the board of directors of 3Peak Incorporated(688536) microelectronics technology (Suzhou) Co., Ltd. (hereinafter referred to as “the company”), we hereby report our work in 2021 as follows:
1、 Basic information of the audit committee
The members of the audit committee of the second session of the board of directors of the company are Ms. Luo Yan, Mr. zhixuzhou (Zhou Zhixu) and Mr. Yuan Xiuting, among which Ms. Luo Yan with professional qualification of accounting is the chairman (convener). All members of the audit committee of the company have professional knowledge and work experience competent for the duties of the audit committee, and the proportion of independent directors among the members exceeds 1 / 2, which is in line with the relevant regulations of Shanghai Stock Exchange and the requirements of the articles of association and other systems.
2、 Meetings of the audit committee in 2021
During the reporting period, the audit committee of the board of directors held 4 meetings, and all members attended the meeting in person. The details are as follows:
Opening time of the meeting and name of the proposal
number
In April 2021, Hong Zhiliang, a member of the first audit committee and an independent director, fully communicated and 1 discussed matters related to the audit of the company’s 2020 financial statements with the accountant.
25th meeting
1. Proposal on the 2020 annual report of the company and its summary;
2. Proposal on the company’s 2020 annual financial statement report;
April 2021 second quarter of 2021 Proposal on two special reports on the deposit and actual use of the company’s raised funds in 2020;
25th meeting
4. Proposal on the appointment of the company’s financial and internal control audit institution in 2021;
5. Proposal on 2020 annual profit distribution plan;
6. Proposal on the company’s report for the first quarter of 2021 and its text.
August 4, 2021 the third quarter of 2021 Proposal on the 2021 semi annual report and its summary;
3 2. Proposal on the report of the special day meeting on the deposit and actual use of the raised funds in the half year of 2021.
October 2021 fourth quarter of 2021
4 1. Proposal on reviewing the third quarter report of 2021.
28th meeting
In addition, in December 2021, the company held an independent communication meeting between the audit committee and the annual audit accountant to communicate the annual audit arrangement in 2021.
3、 Performance of audit committee in 2021
(I) supervise and evaluate the company’s internal control
(1) Improve the company’s internal control system
During the reporting period, the company further improved its corporate governance structure and internal control system in accordance with the company law, securities law and other laws and regulations and the requirements of relevant regulations of China Securities Regulatory Commission and Shanghai Stock Exchange.
(2) Supervise and evaluate the company’s internal control governance
During the reporting period, the audit committee of the board of directors carefully evaluated the appropriateness of the design of the company’s internal control system and communicated with the external audit institutions on the effectiveness of the company’s internal control system. It was agreed that during the reporting period, the company strictly implemented various laws, regulations, the articles of association and other internal management systems, and the general meeting of shareholders, the board of directors, the board of supervisors and the management operated in a standardized manner, The legitimate rights and interests of the company and all shareholders are effectively protected, and the actual operation of the company’s internal control meets the requirements of the governance norms of listed companies issued by China Securities Regulatory Commission and Shanghai Stock Exchange.
(II) supervise and evaluate the work of external audit institutions
During the reporting period, the audit committee of the board of directors supervised and evaluated the independence and professionalism of PricewaterhouseCoopers Zhongtian Certified Public Accountants (special general partnership), the external audit institution hired by the company, and considered that it has the professional qualification of securities, futures and other related businesses, and the relevant auditors have the necessary professional knowledge and experience of audit work
Relevant professional certificates, auditors do not work in the company, do not have any economic interests other than legal audit fees, and there is no relationship between the members of the audit team and the management of the company; In the past audit work, the audit team strictly abided by the provisions of the auditing standards for Chinese certified public accountants, scrupulously performed their duties, performed their duties diligently, followed the professional standards of independence, objectivity and impartiality, showed good professional ethics and professionalism, and had the experience and ability to provide audit services for the company.
Members of the audit committee of the board of directors unanimously believe that the audit report issued by PwC Zhongtian Certified Public Accountants (special general partnership) is objective and fair, and as an external audit institution, it can meet the requirements of the company’s financial audit and internal control audit in 2021. Therefore, the audit committee of the board of Directors recommended that the company continue to employ PricewaterhouseCoopers Zhongtian Certified Public Accountants (special general partnership) as the financial audit institution of the company in 2021, and appoint him as the internal control audit institution of the company in 2021 for one year.
(III) guide internal audit
During the reporting period, the audit committee of the board of directors strictly implemented the requirements of various laws and regulations, followed the provisions of the standards for the governance of listed companies, focused on the standardization of internal audit work on the basis of protecting the rights and interests of all shareholders, and put forward guiding opinions for the internal audit department, which promoted the effective operation of the internal audit department. (IV) review the company’s financial report and express opinions
During the reporting period, the audit committee of the board of directors carefully reviewed various financial reports and believed that the company’s financial reports were true, accurate and complete, and there were no fraud, fraud and material misstatement.
The company’s financial statements are prepared in accordance with the accounting standards and the company’s financial system, and fairly reflect the company’s financial position, operating results and cash flow in all major aspects.
After evaluation, the audit committee of the board of Directors believes that there are no major accounting error adjustment, major accounting estimate change and other matters involving important accounting judgment, nor any matters leading to non-standard unqualified audit report.
(V) coordinate the communication between the management, internal audit department and relevant departments and external audit institutions
The audit team listened to the internal audit team’s report and the external audit team’s report, so as to improve the efficiency of the company’s internal audit team and other audit teams, and fully solve the related problems.
4、 Overall evaluation
In 2021, as a member of the audit committee of the board of directors of the company, we made full use of professional knowledge in strict accordance with the normative requirements of relevant laws and regulations and company rules and regulations, such as the company law, the securities law, the standards for the governance of listed companies, the self regulatory guidelines for companies listed on the science and Innovation Board of Shanghai Stock Exchange No. 1 – standardized operation, the articles of association and so on, Actively participated in corporate governance, worked diligently and conscientiously, paid comprehensive attention to the development and operation of the company, promoted the improvement of the corporate governance system, and earnestly fulfilled the responsibilities of the audit committee of the board of directors.
In 2022, we will continue to adhere to the principles of prudence, objectivity and independence of the audit committee of the board of directors, give full play to the guidance and supervision functions of the audit committee of the board of directors, promote the standardized operation of the company and effectively safeguard the legitimate interests of all shareholders, especially minority shareholders, in accordance with the requirements of relevant laws, regulations and company systems.
3Peak Incorporated(688536) microelectronics technology (Suzhou) Co., Ltd. board of directors audit committee March 11, 2022
