Sinolink Securities Co.Ltd(600109)
About Hangzhou Baicheng Pharmaceutical Technology Co., Ltd
2021 continuous supervision and tracking report
Name of Sponsor: Sinolink Securities Co.Ltd(600109) sponsor company abbreviation: Baicheng pharmaceutical
Name of sponsor representative: Yu Bo Tel.: 021 Guangdong Huate Gas Co.Ltd(688268) 01
Name of sponsor representative: Geng Xudong Tel: 021 Guangdong Huate Gas Co.Ltd(688268) 01
1、 Overview of sponsor work
Project work content
1. Review of information disclosure of the company
(1) Whether the company's information disclosure documents are reviewed in time
(2) The number of times the company's information disclosure documents were not reviewed in time was 0
2. Supervise the establishment, improvement and effective implementation of rules and regulations of the company (1) whether supervise the establishment and improvement of rules and regulations of the company (including but not limited to prevention)
The system of related parties occupying the company's resources, the management system of raised funds and internal control are
Degree, internal audit system and related party transaction system)
(2) Whether the company effectively implements relevant rules and regulations is
3. Supervision of raised funds
(1) Query the company's special account for raised funds once
(2) Is the progress of the company's fund-raising projects consistent with the information disclosure documents
4. Corporate governance supervision
(1) Number of attending the general meeting of shareholders of the company as nonvoting delegates
(2) Times of attending the board of directors of the company as nonvoting delegates
(3) Times of attending the board of supervisors of the company as nonvoting delegates
5. On site inspection
(1) Number of on-site inspections: 0
(2) Whether the on-site inspection report is submitted in accordance with the provisions of the exchange is not applicable
(3) The main problems found in the on-site inspection and the rectification are not applicable
6. Independent opinions
(1) Number of independent opinions: 1
(2) The issues involved in issuing non consenting opinions and concluding comments are not applicable
7. Report the situation to the Institute (except for the on-site inspection report)
(1) 0 times reported to the exchange
(2) The main contents of the report are not applicable
(3) The progress or rectification of the reported items is not applicable
8. Pay attention to the performance of duties
(1) Are there any matters needing attention? No
(2) The main contents of the concerns are not applicable
(3) The progress or rectification of concerns is not applicable
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
11. Other sponsor work that needs to be explained none
2、 Problems found by the sponsor and measures taken
Problems and measures taken
1. Information disclosure is not applicable
2. The establishment and implementation of the company's internal system are all applicable
3. The operation of the "three sessions" is applicable
4. Changes in controlling shareholders and actual controllers are applicable
5. The deposit and use of raised funds are applicable
6. Related party transactions are not applicable
7. All external guarantees are applicable
8. Acquisition and sale of assets are not applicable
9. Other business categories and important matters (including
Foreign investment, venture capital, entrusted financial management and all are applicable
Financial assistance, hedging, etc.)
10. None of the issuers or the intermediaries employed by them is applicable
Cooperation with sponsors 11. Others (including business environment and business development)
Exhibition, financial status, management status and core technology are all applicable
Major changes in operation, etc.)
3、 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
1. The circulation restrictions and voluntary restrictions on the shares held by shareholders before the issuance are not applicable
Commitments on lock-in, shareholding and reduction intention
2. Measures and commitments to stabilize share prices are not applicable
3. The measures and commitments of share repurchase and share repurchase are not applicable
4. The share repurchase commitment for fraudulent issuance and listing is not applicable
5. Measures and commitments to fill diluted immediate returns are not applicable
6. The commitment of dividend distribution policy is not applicable
7. The commitment to assume liability according to law is not applicable
8. Binding measures for non-compliance are not applicable
9. The provisions on the disclosure of shareholders' information of enterprises applying for initial public listing are not applicable
Special commitment IV. other matters
Description of report items
1. The change of sponsor representative and its reasons are not applicable
On February 7, 2021, because Sinolink Securities Co.Ltd(600109) as the sponsor broker recommended by shenxianyuan Shenye Co., Ltd., failed to be diligent and responsible, and failed to fully verify the major contracts of the listed company, the CSRC issued [2021] No. 17 decision on administrative supervision measures, The supervision measures of issuing warning letter to Sinolink Securities Co.Ltd(600109) shall be taken.
Guojin securities has made the following rectification: 1. Revise and improve the listing standard of the new third board and improve the project undertaking standard; 2. Formulate and improve the internal control system of investment banks and further consolidate the "three lines of defense"; 3. Strengthen the training of employees and improve their compliance awareness and professional skills; 4. Strictly implement the due diligence system and other regulations to improve the quality of business practice; 5. Start accountability procedures and implement accountability measures.
2. During the reporting period, on March 25, 2021, the China Securities Regulatory Commission and the bank failed to perform relevant duties diligently due to Sinolink Securities Co.Ltd(600109) and relevant personnel's failure to take regulatory measures against the sponsor or its sponsor's industrial safety equipment Co., Ltd. during the initial public offering and listing of shares by Shanghai Yijie Engineering Co., Ltd, The China Securities Regulatory Commission issued [2021] No. 30 decision on administrative regulatory measures because of the inaccurate rectification of invention patents disclosed in the prospectus and the contradiction in the number of invention patents obtained by the issuer disclosed in the registration application documents, Take supervision and management measures of issuing warning letters to Sinolink Securities Co.Ltd(600109) and relevant personnel Sinolink Securities Co.Ltd(600109) take warning, carefully find and rectify problems, establish, improve and strictly implement the internal control system, work flow and operation specifications of investment banking business, be honest, trustworthy, diligent and conscientious, and effectively improve the quality of investment banking business, And conduct internal accountability for the responsible personnel according to the company's internal accountability system. On December 20, 2021, because Sinolink Securities Co.Ltd(600109) and relevant personnel did not fully verify the issuer's sales collection, internal control and other matters in the process of recommending Yangzhou Rixing Biotechnology Co., Ltd. for IPO and listing, China
The CSRC shall take administrative supervision and management measures of issuing warning letters to Sinolink Securities Co.Ltd(600109) Party A Sinolink Securities Co.Ltd(600109) take warning, carefully find and rectify problems, establish, improve and strictly implement the internal control system, work flow and operation specifications of investment banking business, be honest, trustworthy, diligent and conscientious, and effectively improve the quality of investment banking business, And conduct internal accountability for the responsible personnel according to the company's internal accountability system.
3. Other major matters to be reported none
(there is no text on this page, which is the signature and seal page of Sinolink Securities Co.Ltd(600109) on the 2021 annual continuous supervision and tracking report of Hangzhou Baicheng Pharmaceutical Technology Co., Ltd.) (sponsor representative:
Afterwave Geng Xudong
Sinolink Securities Co.Ltd(600109)
