About Anxin Securities Co., Ltd
Shanghai Action Education Technology Co.Ltd(605098)
2021 continuous supervision report
Name of Sponsor: Anxin Securities Co., Ltd. (hereinafter referred to as "Anxin securities" and "sponsor") contact address: 4th floor, Guotou building, No. 638, dongdaming Road, Hongkou District, Shanghai sponsor representative: Chen Libin Contact information of Guo Mingxin: 02135082883 name of sponsored company: Shanghai Action Education Technology Co.Ltd(605098) (hereinafter referred to as " Shanghai Action Education Technology Co.Ltd(605098) " or "company"). Securities code: Shanghai Action Education Technology Co.Ltd(605098) contact address: building a, Lane 168, Xinghong Road, Hongqiao Business District, Shanghai contact: Yang Linyan contact number: 02160260658
As the sponsor of Shanghai Action Education Technology Co.Ltd(605098) initial public offering and listing, Anxin Securities Co., Ltd. (hereinafter referred to as "Anxin securities" and "sponsor") shall, in accordance with the relevant provisions of the measures for the administration of securities issuance and listing sponsor business (hereinafter referred to as "sponsor measures") and the guidelines for the continuous supervision of listed companies on Shanghai Stock Exchange, Serve as the sponsor of Shanghai Action Education Technology Co.Ltd(605098) IPO and continuous supervision after listing, and be responsible for the continuous supervision after the listing of Shanghai Action Education Technology Co.Ltd(605098) IPO.
In 2021, the continuous supervision of Anxin securities on Shanghai Action Education Technology Co.Ltd(605098) was as follows:
1、 Continuous supervision
Project work content
The sponsor representative has established, improved and effectively implemented the continuous supervision system in accordance with the provisions of the measures for the management of continuous supervision of the limited company, and formulated corresponding work plans for the specific continuous supervision work. Determine the work schedule during the continuous supervision, and formulate the corresponding continuous supervision work plan.
2. During the period of continuous supervision, it violates the law against listed companies in accordance with relevant regulations
If a public statement is made on the violation, it shall be reported to the Shanghai stock exchange for no violation of laws and regulations in Shanghai Action Education Technology Co.Ltd(605098) 2021 before disclosure, and shall be listed in the instruction after being reviewed by the Shanghai Stock Exchange. Make an announcement in the media. 3. During the period of continuous supervision, if the listed company or relevant parties violate laws and regulations, breach of commitments and other matters, they shall self discover or issue a notice
Report to Shanghai Stock Exchange within five working days from the current date, Shanghai Action Education Technology Co.Ltd(605098) or the relevant parties have not violated the law. The contents of the report include the violations and commitments of the listed company or the relevant parties. Specific conditions of compliance, breach of commitment and other matters, supervision measures taken, etc.
In 2021, the sponsor representative replied to the office of Shanghai Action Education Technology Co.Ltd(605098) board of directors by telephone and e-mail. 4. Through daily communication, regular return visit, on-site training, on-site inspection room, daily consultation of staff of Finance and other departments; Carry out continuous supervision by means of investigation and due diligence. In December 2021, the sponsor representative Chen Libin paid a return visit to action education and communicated with the chairman, general manager and Secretary of the board of directors of the listed company about the use, production and operation of the raised funds of the listed company.
5. Supervise listed companies and their directors, supervisors and senior managers
Abide by laws, regulations, departmental rules and regulations and no violation in Shanghai Action Education Technology Co.Ltd(605098) 2021 issued by Shanghai Stock Exchange, fulfill the business rules and other normative documents of the company, and earnestly fulfill its commitments. Commitments made.
6. Supervise listed companies to establish, improve and effectively implement the corporate governance system, and guide Shanghai Action Education Technology Co.Ltd(605098) to revise according to the requirements of the latest laws and regulations, including but not limited to the articles of association, rules of procedure for general meeting of shareholders and rules of conduct for directors, supervisors and senior managers formulated by the general meeting of shareholders, the board of directors and the board of supervisors, and supervise their implementation. Fan et al.
The design of the internal control system of listed companies, 7. Supervised the listed companies to establish, improve and effectively implement the internal control system, and checked the implementation and effectiveness, including but not limited to the financial management system, accounting system and internal reporting system of major events Audit system of the inside information department, procedures and rules for major business decisions such as the implementation and implementation of internal control systems such as the use of raised funds, related party transactions, registration and management system for insiders, management of external guarantees for financial products, foreign investment, derivatives trading and control over subsidiaries. In addition, supervise the company to further play the role of the internal control system.
8. Supervise listed companies to establish, improve and effectively implement the information disclosure system
Review information disclosure documents and other relevant documents, and see "II. Review of information disclosure" for details.
The sub branch believes that there are no false records, misleading statements or major omissions in the documents submitted by the listed company to the Shanghai Stock Exchange. 9. See "II. Review of information disclosure" for the information disclosure documents of listed companies and their reports to the CSRC. Review other documents submitted by Shanghai Stock Exchange in advance,
For the information disclosure documents with problems, the listed company shall be urged to correct or supplement them in time. If the listed company fails to correct or supplement them, it shall report to the Shanghai Stock Exchange in time. 10. If the information disclosure documents of a listed company are not reviewed in advance, the transaction shall be conducted five days after the listed company performs its information disclosure obligations
Complete the review of relevant documents within days. For the existing problems, see "II. Review of information disclosure".
The information disclosure documents shall timely urge the listed company to correct or supplement. If the listed company fails to correct or supplement, it shall timely report to the Shanghai Stock Exchange.
11. Pay attention to the listed company or its controlling shareholders, actual controllers
Directors, supervisors and senior managers have been verified by the administrative department of the CSRC, and Shanghai Action Education Technology Co.Ltd(605098) has not been punished or disciplined by the Shanghai Stock Exchange since its listing, or have been punished by the Shanghai Stock Exchange. The exchange shall pay attention to the situation of the letter of Supervision issued by the exchange, urge it to improve the internal control system and take measures to correct it.
12. Continue to pay attention to the performance of commitments made by listed companies, controlling shareholders and actual controllers to the stock restrictions of controlling shareholders and actual controllers. If the listed companies and controlling shareholders, actual sales commitments, commitments to avoid horizontal competition and reduce related controllers fail to fulfill their commitments, they shall timely check the commitments of Shanghai Securities Exchange, No breach of commitment was found and reported by the exchange. matter.
13. Pay attention to public media reports on listed companies and check market rumors in time. After verification, it is found that the listed company has
If there is no discrepancy between the major events that should be disclosed and the information and events that are not disclosed, or the information and events that are verified to be disclosed, and there is no such discrepancy in Shanghai Action Education Technology Co.Ltd(605098) 2021, the listed company shall be timely urged to truthfully disclose or disclose such information. Clarification; If the listed company does not disclose or clarify, it shall report to the Shanghai Stock Exchange in time. 14. If any of the following circumstances is found during the continuous supervision, the listed company shall be urged to make explanations and make corrections within a time limit, and report to the Shanghai Stock Exchange: (I) the listed company is suspected of violating the listing rules and other relevant business rules of the Shanghai Stock Exchange; (II) securities
The professional opinions issued by the service organization and its signatories may be verified, and there are no violations of laws and regulations such as false records, misleading statements or major omissions in Shanghai Action Education Technology Co.Ltd(605098) 2021. Form or other improper circumstances; (III) the listed company is under the circumstances specified in articles 71 and 72 of the recommendation measures; (IV) the listed company does not cooperate with the continuous supervision; (V) other circumstances that the Shanghai Stock Exchange or the sponsor deems necessary to report.
In 2021, the recommendation institution mainly formulated the on-site inspection work plan for listed companies for the company's 15th and 15th, clarified the use of raised funds, conducted supervision and inspection, and included the on-site inspection requirements to ensure the quality of on-site inspection. Including regular inspection of the company's account statement of raised funds, and issuance of the company's 2021 deposit and use of raised funds
Special verification report on utilization.
16. In case of any of the following circumstances, a listed company shall conduct a special on-site inspection on the listed company within 15 days from the date of knowing or should know or within the period required by the Shanghai Stock Exchange: (I) non operating shares of controlling shareholders, actual controllers or other related parties
Using the funds of listed companies; (II) providing guarantee for others in violation of regulations; (III) after verification, no such illegal use of raised funds occurred in Shanghai Action Education Technology Co.Ltd(605098) 2021; (IV) illegal securities investment, arbitrage, etc. Period hedging business, etc; (V) related party transactions are obviously unfair or fail to perform the examination and approval procedures and information disclosure obligations; (VI) performance loss or operating profit decreased by more than 50% over the same period of last year; (VII) other circumstances required by Shanghai Stock Exchange.
2、 Review of information disclosure
In accordance with the recommendation measures of the CSRC and the guidelines for the continuous supervision of listed companies of Shanghai Stock Exchange and other relevant provisions, the recommendation institution has reviewed the information disclosure documents announced by Shanghai Action Education Technology Co.Ltd(605098) this continuous supervision in Shanghai Stock Exchange in advance or afterwards, and checked the content and format of the information disclosure documents and the relevant procedures to be performed, The main review methods include: reviewing the content and format of the company's information disclosure documents, reviewing whether the contents of the announcement are true, accurate and complete, without false records, misleading statements and major omissions, and the format complies with relevant regulations; Review the convening and convening procedures of the company's general meeting of shareholders, the board of directors and the board of supervisors to ensure their legality and compliance; Review the qualifications of the attendees, proposals and voting procedures of the general meeting of shareholders, the board of directors and the board of supervisors, and make sure that they comply with relevant regulations and the articles of association. After verification, the recommendation institution believes that Shanghai Action Education Technology Co.Ltd(605098) carries out information disclosure activities in accordance with the relevant provisions of the securities regulatory authorities, publicly publishes various regular reports and interim reports according to law, and ensures that the disclosure of all major information is true, accurate, complete, timely and effective, without false records, misleading statements and major omissions.
3、 Whether the listed company has any matters that should be reported to the CSRC and the Shanghai stock exchange according to the recommendation measures and the relevant rules of the Shanghai Stock Exchange
It is verified that during the continuous supervision period in 2021, Shanghai Action Education Technology Co.Ltd(605098) there are no matters that should be reported to CSRC and Shanghai stock exchange according to the recommendation measures and relevant rules of Shanghai Stock Exchange.
