Citic Securities Company Limited(600030)
About Guanglian Aviation Industry Co.Ltd(300900) IPO
2021 continuous supervision and tracking report
Sponsor name: Citic Securities Company Limited(600030) sponsor company abbreviation: Guanglian Aviation Industry Co.Ltd(300900)
Name of sponsor representative: Chen Xiying Tel.: 01060836948
Name of sponsor representative: Sun Pengfei Tel: 01060833031
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 supervise the company to establish and improve rules and regulations (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 12 times
(2) Is the progress of the company’s fund-raising projects consistent with the information disclosure documents
4. Corporate governance supervision
(1) Times of attending the general meeting of shareholders of the company as nonvoting delegates: 1
(2) Times of attending the board of directors of the company as nonvoting delegates: 1
(3) Times of attending the board of supervisors of the company as nonvoting delegates: 1
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
(1) 8 times of special opinions
(2) Issues involved in issuing non consenting opinions and concluding comments 0 times
7. Report 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) 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
(3) The main contents of the training are the relevant provisions on the standardized operation 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 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. No assets purchased or sold
9. Important matters of other business categories (including foreign investment, venture capital and entrusted investment)
Entrusted financial management, financial assistance, hedging, etc.)
10. The issuer or the securities service institution it employs cooperates with the recommendation work
condition
11. Others (including business environment, business development, financial status, management status, none)
Major changes in core technology and other aspects) 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
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
1. Shareholders’ commitment on share lock-in and reduction is not applicable
2. The commitment to stabilize the stock price is not applicable
3. There is no false record in the prospectus, which is not applicable
Misleading statements or commitments of material omissions
4. The measures and commitments to fill the diluted immediate return are not applicable
Promise
5. The commitment on profit distribution is not applicable
6. Commitments on binding measures to fulfil public commitments are not applicable
7. The commitment to avoid horizontal competition is not applicable
8. The commitment to reduce and regulate the occupation of funds by related parties is not applicable
Promise
9. The commitment to reduce and regulate connected transactions is not applicable
4、 Other matters
Description of report items
1. The change of sponsor representative and its reasons are not applicable
From January 1 to December 31, 2021, there are the following matters for which the CSRC (including its dispatched offices) and your exchange have taken regulatory measures against the sponsor or the recommended company:
1. On January 4, 2021, Zhejiang regulatory bureau of China Securities Regulatory Commission issued the decision on Issuing warning letters to Zhejiang Zhengyuan Zhihui Technology Co.Ltd(300645) (hereinafter referred to as “Zhengyuan wisdom”) recommended by our company.
Regulatory measures: from January 2020 to July 2020, Zhejiang Zhengyuan Zhihui Technology Co.Ltd(300645) provided financial assistance to Zhejiang nipton Technology Co., Ltd., and the company failed to timely review the above matters. 2 During the reporting period, the CSRC and these procedures failed to fulfill the obligation of information disclosure in time, and the above-mentioned acts violated the provisions of articles 2, 3 and 30 of the measures for the administration of information disclosure of listed companies to sponsors or their sponsored companies. 2. On January 8, 2021, Zhejiang regulatory bureau of China Securities Regulatory Commission issued the decision on Issuing warning letter to Panda Dairy Corporation(300898) (hereinafter referred to as ” Panda Dairy Corporation(300898) “) and relevant personnel recommended by our company. Regulatory measures: on October 29, 2020, Panda Dairy Corporation(300898) received 9 million yuan of government subsidies related to income, and failed to fulfill the obligation of information disclosure in time. The above-mentioned acts of the company and relevant personnel violate the relevant provisions of articles 2, 3, 30 and 31 of the measures for the administration of information disclosure of listed companies.
3. On January 29, 2021, Zhejiang regulatory bureau of China Securities Regulatory Commission issued the decision on ordering Zhejiang Kaishan Compressor Co., Ltd. to take corrective measures against Zhejiang Kaishan Compressor Co., Ltd. (hereinafter referred to as ” Zhejiang Kaishan Compressor Co.Ltd(300257) “). Regulatory measures pointed out that Zhejiang Bureau found Kaishan shares in on-site inspection
Description of report items
Existence: the performance accounting of periodic reports in 2019 and 2020 is inaccurate; From 2019 to 2020, the company’s internal governance has the problems of non-standard use of funds, non-standard meeting process and non-independent personnel. The above acts violate the provisions of Article 2 of the measures for the administration of information disclosure of listed companies.
4. On March 2, 2021, Jiangxi regulatory bureau of China Securities Regulatory Commission issued the decision on taking corrective measures against Boya Bio-Pharmaceutical Group Co.Ltd(300294) , Liao Xinxi, Liang Xiaoming and fan Yiqin recommended by our company (hereinafter referred to as “Boya biology”). According to the regulatory measures, upon investigation, Boya Bio-Pharmaceutical Group Co.Ltd(300294) has not fulfilled the review procedures and information of related party transactions in time
