Central China Securities Co.Ltd(601375)
About Jiangsu Tongli Risheng Machinery Co.Ltd(605286)
Annual report on continuous supervision in 2021
Name of recommendation institution: Central China Securities Co.Ltd(601375) abbreviation of the recommended company: Jiangsu Tongli Risheng Machinery Co.Ltd(605286)
Name of sponsor representative: Qi Yufeng Tel.: 15596105
Name of sponsor representative: Fan Xuan Tel.: 17702552
In accordance with the provisions of the securities law, the measures for the administration of securities issuance and listing recommendation business, the stock listing rules of the Shanghai Stock Exchange, and the self regulatory guidelines for listed companies of the Shanghai Stock Exchange No. 11 - continuous supervision and other relevant laws and regulations, Central China Securities Co.Ltd(601375) (hereinafter referred to as " Central China Securities Co.Ltd(601375) " or "sponsor") as the sponsor of the initial public offering of shares by Jiangsu Jiangsu Tongli Risheng Machinery Co.Ltd(605286) Co., Ltd. (hereinafter referred to as " Jiangsu Tongli Risheng Machinery Co.Ltd(605286) ," company "or" issuer "), continuously supervised Jiangsu Tongli Risheng Machinery Co.Ltd(605286) from March 22, 2021 to December 31, 2023. The continuous supervision work in 2021 is summarized as follows:
1、 Continuous supervision
No. continuous supervision on completion of work content
Establish, improve and effectively implement the continuous supervision system, and formulate corresponding work plans for specific continuous supervision work according to the situation of the company. Work plan
In accordance with the relevant provisions of the China Securities Regulatory Commission, during the continuous supervision work
A recommendation agreement has been signed with the company, and a continuous supervision agreement has been signed with the listed company or relevant parties before the commencement of the
2. The agreement has defined the continuous supervision agreement between both parties and the rights and obligations of both parties during the continuous supervision,
Rights and obligations during the guidance period
And report to Shanghai stock exchange for filing.
Maintain close daily communication with the company, and carry out continuous supervision through daily communication, regular return visit, on-site inspection, due diligence and regular return visit. Due diligence and on-site inspection were carried out
During the period of continuous supervision, it violates the law against listed companies in accordance with relevant regulations
If the company has not issued a public statement on violations in this continuous supervision year, it shall report to Shanghai before disclosure
4. Students are required to make a report to the Shanghai Stock Exchange in accordance with relevant regulations and submit it to the Shanghai stock exchange for examination and approval
Clear violations of laws and regulations
Announcements on designated media.
During the period of continuous supervision, the listed company or relevant parties violate the regulations
In case of violation of laws and commitments, the company or relevant parties shall report to the Shanghai Stock Exchange within five working days from the date of discovery. The contents of the report include the violation of commitments by the listed company or relevant parties
The specific circumstances of violations of laws and regulations, breach of commitments and other matters shall be recommended
No. continuous supervision on completion of work content
Supervision measures taken by the organization, etc.
Supervise the listed company and its directors, supervisors and senior managers to abide by laws, regulations, departmental rules and the business rules and other normative documents issued by the directors, supervisors and senior managers 6 of Shanghai Stock Exchange in this continuous supervision year, and earnestly fulfill all commitments made by them without violation of laws and regulations or breach of commitments. Other matters
Supervise listed companies to establish, improve and effectively implement the corporate governance system
Degree, including but not limited to that the general meeting of shareholders, the board of directors and the board of supervisors have supervised the company to establish, improve and effectively 7 Rules of procedure and the implementation of various systems of corporate governance by directors, supervisors and senior managers.
Supervise listed companies to establish, improve and effectively implement internal control systems,
Including but not limited to financial management system, accounting system and
Has supervised the company to establish a sound and effective 8 internal audit system, as well as related party transactions, external guarantees and
Implement various internal control systems
Foreign investment, derivatives trading, control of subsidiaries and other major
Procedures and rules for business decision-making, etc.
Has supervised the company to establish, improve and effectively supervise the company to establish, improve and effectively implement the information disclosure system,
Implement the information disclosure system, establish and review the information disclosure documents and other relevant documents, and have sufficient reasons
9. Complete information disclosure system, including documents submitted by listed companies to Shanghai Stock Exchange
The information disclosure document has been reviewed as required, and there are no false records, misleading statements or major omissions.
Documents and other relevant documents
The information disclosure documents of the company, the information disclosure documents of listed companies and other documents submitted to the CSRC, the CSRC, the Shanghai Stock Exchange and the Shanghai Stock Exchange have been reviewed in advance. Other documents submitted shall be read in time. The information disclosure documents with problems shall be reviewed in time, and the municipal companies with problems shall be corrected or supplemented, If the listed company does not correct or urge the public to supplement the information disclosure documents in time, it shall report to the Shanghai Stock Exchange in time. The company makes corrections or supplements, and there is no situation that the company does not make corrections or supplements
The information disclosure documents of listed companies were not reviewed in advance
Shall be submitted within five months after the listed company performs its obligation of information disclosure
Complete the review of relevant documents within the trading day. For the information disclosure documents with existing problems that have been reviewed in time, see question 11 for details, the listed company shall be urged to correct or supplement "II. Review of information disclosure". If the listed company does not correct or supplement, it shall report to the public in time
Shanghai stock exchange report.
Pay attention to the listed company or its controlling shareholders, actual controllers and directors
Directors, supervisors and senior managers are subject to the administrative supervision of the CSRC
In this year of continuous supervision, the company and relevant departments have been punished, disciplined by Shanghai Stock Exchange, or punished by Shanghai Securities Exchange
The relevant entity did not issue a letter of regulatory concern for such matters, and urged the securities exchange to complete it
Improve the internal control system and take measures to correct it.
Continue to pay attention to listed companies, controlling shareholders, actual controllers, etc
In this year of continuous supervision, the company and relevant commitments, listed companies, controlling shareholders and actual
13. If there are no unfulfilled commitments such as controllers who fail to fulfill their commitments, the relevant entities shall report to Shanghai Securities in a timely manner
matter
Exchange report.
Pay attention to the reports of public media on listed companies and timely target them
Check market rumors. After verification, it is found that in the year of continuous supervision of the listed company's capital deposit, the company has not issued 14 major matters that should be disclosed or the information disclosed is related to such circumstances
If the facts are inconsistent, the listed company shall be urged to disclose or disclose truthfully in a timely manner
Clarify; Where a listed company does not disclose or clarify, it shall
No. continuous supervision on completion of work content
Report to Shanghai Stock Exchange when necessary.
In case of any of the following circumstances, the recommendation institution shall urge the listed company to
The company shall make explanations and make corrections within a time limit, and report to Shanghai Securities Exchange at the same time
Reported: (I) the listed company is suspected of violating the listing regulations
Rules and other relevant business rules of Shanghai Stock Exchange; (Ⅱ)
Professional opinions issued by securities service institutions and their signatories may
In this year of continuous supervision, the company has not issued 15 certificates, and there are no violations such as false records, misleading statements or major omissions
Such circumstances
Violation of laws or other improper circumstances; (III) listed companies
Articles 67 and 68 of the recommendation measures appear
The circumstances of the decision; (IV) the listed company does not cooperate with the recommendation institution to hold
Continued supervision; (V) Shanghai Stock Exchange or sponsor
Other situations that the organization deems necessary to report.
Central China Securities Co.Ltd(601375) formulated the on-site inspection work plan for the company, proposed the on-site inspection work plan for listed companies to the company, and clarified the current situation
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