Huatai United Securities Co., Ltd
About Cngr Advanced Material Co.Ltd(300919)
2021 continuous supervision and tracking report
Name of Sponsor: Huatai United Securities Co., Ltd. abbreviation of the sponsor: Cngr Advanced Material Co.Ltd(300919)
Name of sponsor representative: Dong Ruichao Tel: 075581902000
Name of sponsor representative: Jia Guangyu Tel: 075581902000
1、 Overview of sponsor work
Project work content
1. Review of the company’s information disclosure
(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 company’s establishment, improvement and effective implementation of rules and regulations (1) whether to supervise the company to establish and improve rules and regulations (including
But it is not limited to the system and method of preventing related parties from occupying the company’s resources
Raised funds management system, internal control system, 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) Inquiry times of funds raised by the company once a month
(2) Is the progress of the company’s fund-raising projects consistent with information disclosure
Document consistency 4 Corporate governance supervision
(1) Number of meetings of shareholders not attended in person
(2) The number of times of attending the board of directors of the company without voting in person, and the meeting documents have been read
(3) The number of times of attending the board of supervisors of the company without voting in person, and the meeting documents have been read
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 not applicable
6. Special opinions issued
(1) 15 times of special opinions
(2) The issues involved in issuing non consenting opinions and concluding comments are not applicable
7. Report to Shenzhen Stock Exchange (on-site inspection report)
Project work content
(except for complaints)
(1) Number of reports to Shenzhen Stock Exchange: 0
(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) Whether there are matters needing attention none
(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: 1 time
(2) Training date: December 28, 2021
1. Corporate governance and internal control; 2. Shareholders, directors and supervisors (3) the main contents of the training are high and the actual controller’s behavior is standardized; 3. Standardized operation and social responsibility of listed companies.
11. There is no other recommendation work that needs to be explained
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. Connected transactions are not applicable
7. All external guarantees are applicable
8. The purchase and sale of assets are 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. The issuer or the securities employed by it are all applicable
Cooperation of service institutions with recommendation 11 Others (including business environment and business)
Development, financial status, management status and nuclear none are not applicable
Major changes in technology and other aspects) III. performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders have been fulfilled, the reasons for non fulfillment of commitments and Solutions
Share restricted circulation and voluntary lock-in commitment: Yes, not applicable
Whether the commitments of the company and shareholders have been fulfilled, the reasons for non fulfillment of commitments and Solutions
Commitments of Wu Weiming, the controller, the actual directors and senior management of the issuer, and the actual relatives of Wu Weiming and Tao Xiaoge; The commitment of Zhongwei group, the controlling shareholder of the issuer, and hongxinchengda, its related party; Commitments of other directors and senior managers; Commitment of supervisors; The commitment of more than 5% shareholders of the issuer, Junlian Shengyuan and junjunjunde; Commitments of the issuer’s shareholders Xingrui YONGYING, Haifu Changjiang, new kinetic energy, Fuquan investment, Jiaxing Qianjie, Hengsheng reineng, Guizhou high investment, YuanJu Zhihe, China Belgium fund, Jiaxing Qiancheng, service trade fund, Dalong poverty alleviation, fantou group and Jianfa No. 8; Commitments of the issuer’s shareholders Qianhai investment, Jianfa No. 2, central poor property investment, Zhongyuan Qianhai, Xingxiang Caixin, Qianhai ark, Rongsong investment, Ying Borui and Qinghao LingHong on share reduction: Deng Weiming, the issuer’s actual controller, director and senior manager
Wu Xiaoge’s commitment; Zhongwei group, the controlling shareholder of the issuer, and its affiliates are not applicable
Commitment of Fang Hong xinchengda; Commitments of other directors and senior managers; Commitment of supervisors; Commitments of more than 5% shareholders of the issuer, Junlian Shengyuan and junjunjunde. Commitments on stabilizing the stock price:
The company, controlling shareholders, actual controllers, directors and senior managers are not applicable
The corresponding commitments made by the Commissioner on stock price stabilization measures.
Commitment to undertake compensation or compensation liability according to law:
The company and its controlling shareholders, actual controllers, directors, supervisors and directors are not applicable
Compensation commitments made by senior management personnel on false records, misleading statements or major omissions. Measures and commitments on filling diluted immediate returns:
The company and its controlling shareholders, actual controllers, directors and senior managers are not applicable
Personnel make commitments to fill the diluted immediate return and disclose relevant measures. Commitment of profit distribution principle:
The company has formulated that this IPO is not applicable in accordance with relevant regulations
The company’s articles of association, which came into force after the listing, stipulates in detail the company’s profit distribution policy. Commitment to avoid horizontal competition:
Deng Weiming and Wu Xiaoge, the actual controllers of the company, and zhongweiji, the controlling shareholder, are not applicable
The group and its related party hongxinchengda made relevant commitments on avoiding horizontal competition. Confirmation and commitment on standardizing and reducing related party transactions: Deng Weiming and Wu Xiaoge, the actual controllers of the company, and Zhong Weiji, the controlling shareholder
The group and its related party hongxinchengda, other directors, supervisors and Gao of the company are not applicable
Level managers and more than 5% shareholders of the company, Junlian Shengyuan and junjunjunde, made commitments to standardize and reduce related party transactions.
Whether the commitments of the company and shareholders have been fulfilled, the reasons for non fulfillment of commitments and Solutions
Constraints on non-compliance:
The issuer and its shareholders, actual controllers, directors, supervisors and senior managers are not applicable
Managers and other relevant responsible subjects have made commitments to the binding measures of failing to fulfill their commitments. 4、 Performance of major contracts
The recommendation institution has verified the performance of the company’s major contracts. After verification, the conditions affecting the performance of the company’s major contracts have not changed significantly, and there is no major risk that the contracts cannot be performed. 5、 Other matters
Description of report items
On July 21, 2021, the company’s application for issuing shares to specific objects was accepted by Shenzhen Stock Exchange. Huatai 1. Change of sponsor representative and its reasons. United Securities authorized Mr. Dong Ruichao and Ms. Jia Guangyu to act as the sponsor representative of this issuance, Therefore, Ms. Jia Guangyu replaces Mr. Jin Weifeng as the sponsor representative of the company’s continuous supervision.
2. During the reporting period, China Securities Regulatory Commission and Shenzhen Stock Exchange
Matters and inapplicability of regulatory measures taken by the sponsor or its sponsor company
Rectification
3. Other major matters to be reported none
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