Guodu Securities Co., Ltd
About Inner Mongolia Dazhong Mining Co.Ltd(001203)
2021 annual recommendation work report
Name of Sponsor: Guodu Securities Co., Ltd. abbreviation of the sponsored company: Inner Mongolia Dazhong Mining Co.Ltd(001203)
Name of sponsor representative: Hu Jingjing Tel.: 01084183203
Name of sponsor representative: Lou Jiahang Tel: 01084183203
1、 Overview of sponsor work
Project work content
1. Review of the company's information disclosure
yes
During the recommendation period, the recommendation institution timely reviewed the company's information disclosure documents, and the main work contents are as follows:
(1) Whether to review the company's information disclosure documents in time 1. Urge the company to fulfill its information disclosure obligations in time;
2. Review the company's information disclosure documents in advance or afterwards, and check the content, format and relevant procedures of the information disclosure documents.
(2) The number of times that the company's information disclosure documents are not reviewed in time is none
2. Supervise the establishment, improvement and effective implementation of rules and regulations of the company
(1) Whether to supervise the company to establish and improve rules and regulations (including but not limited to)
Limited to the system to prevent related parties from occupying the company's resources and the supervision of raised funds, the company has formulated a series of corporate governance systems, including related party transaction management system, raising management system, internal control system, internal audit system, related party transaction fund collection management measures, internal audit system and so on, It has established a relatively perfect corporate governance structure and a sound internal control system.
Yes.
(2) Whether the company has effectively implemented relevant rules and regulations. During the recommendation period, the recommendation institution checked the implementation of the company's rules and regulations by consulting the company's documents, and the company's rules and regulations have been basically effectively implemented.
3. Supervision of raised funds
Since undertaking the continuous supervision obligation of the company on December 2, 2021, the sponsor has checked the bank statement in December 2021; 2022 (1) inquired about the number of special accounts for raised funds of the company, conducted an on-site inspection on Inner Mongolia Dazhong Mining Co.Ltd(001203) in February, and inquired about the storage and use of raised funds in 2021 during the on-site inspection, Accompanied by the staff to conduct spot checks and print the bank statements of two special accounts for raised funds in person.
(2) Is the progress of the company's fund-raising project consistent with the information disclosure documents
agreement
4. Corporate governance supervision
(1) The number of times of attending the general meeting of shareholders of the company is 0
(2) Times of attending the board of directors of the company 0 times
(3) Times of attending the board of supervisors of the company as nonvoting delegates: 0
5. On site inspection
(1) Number of on-site inspections: 1
(2) Whether the on-site inspection report is submitted in accordance with the provisions of the exchange yes
(3) The main problems found in the on-site inspection and the rectification are none
6. Special opinions issued
(1) Times of giving special opinions: 1
(2) Issues involved in issuing non consenting opinions and concluding comments none
7. Report to the Institute (except for the on-site inspection report)
(1) No number of reports to the exchange
(2) The main contents of the report are none
(3) No progress or rectification of the reported items
8. Pay attention to the performance of duties
(1) Whether there are matters needing attention none
(2) Main contents of concerns none
(3) No progress or rectification of concerns
9. Whether the records and custody of the working papers of the recommendation business are in compliance
10. Training for listed companies
(1) Training times: 0
(2) Training date not applicable
(3) The main contents of the training are not applicable
The sponsor undertook the continuous supervision obligation of Inner Mongolia Dazhong Mining Co., Ltd. on December 2, 2021; The supervision agreement related to the raised funds was signed in February 2022.
The sponsor representative of the issuer has changed due to the change of the sponsor Other sponsor work that needs to be explained is more detailed.
On November 30, 2021, the former sponsor Haitong Securities Company Limited(600837) Co., Ltd. paid tribute to the directors, supervisors and senior managers of Inner Mongolia Dazhong Mining Co.Ltd(001203) Co., Ltd The management personnel above the middle level and the controlling shareholders and actual controllers of the company were trained once.
2、 Problems found by the sponsor and measures taken
Problems and measures taken
1. Information disclosure none
2. Establishment and implementation of the company's internal system
3. Operation of "three sessions" no
4. No change in controlling shareholder and actual controller
5. Deposit and use of raised funds none
6. Related party transactions none
7. No external guarantee
8. Purchase and sale of assets none
9. Other business categories and important matters (including foreign investment and risk free)
Investment, entrusted financial management, financial assistance, hedging, etc.)
10. The issuer or the securities service institution hired by the issuer shall cooperate with the sponsor
Situation of work
11. Others (including business environment, business development, financial status, none)
Major changes in management status, core technology, etc.) III. performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
The commitment on share mobility restrictions and voluntary lock-in is not applicable
The commitment letter on stabilizing the stock price is not applicable
The commitment that shareholders and actual controllers will not encroach on the interests of the company is not applicable
The repurchase of new shares, repurchase of shares and compensation due to major violations of information disclosure are not applicable
Loss commitment
Commitments on binding measures for the performance of commitments are not applicable
The commitment to reduce and regulate related party transactions is not applicable
The commitment to avoid horizontal competition is not applicable
The commitment on profit distribution policy is not applicable
Measures and commitments to fill diluted immediate returns are not applicable
4、 Other matters
Description of report items
1. Change of recommendation representative and its reasons the recommendation representative of the issuer has changed due to the change of recommendation institution.
2. During the reporting period, the CSRC and the bourse took no regulatory measures against the sponsors or their companies
Construction matters and rectification
3. Other major matters to be reported none
(there is no text on this page, which is the signature page of Guodu Securities Co., Ltd. on the recommendation work report of Inner Mongolia Dazhong Mining Co.Ltd(001203) 2021) signature of the recommendation representative:
Hu Jingjing, Lou Jiahang
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