Guangzhou Tinci Materials Technology Co.Ltd(002709) internal control rules implementation self inspection form
Securities code: Guangzhou Tinci Materials Technology Co.Ltd(002709) securities abbreviation: Guangzhou Tinci Materials Technology Co.Ltd(002709) self inspection form for the implementation of internal control rules
Internal control rules implementation self inspection items yes / no / inapplicable description
1、 Internal audit and audit committee operations
1. Whether the person in charge of the internal audit department is a full-time person shall be proposed by the audit committee
Appointment and removal of the board of directors.
2. Whether the company has established an internal audit department independent of the financial department, and whether it is
Allocate full-time internal auditors.
3. Whether the internal audit department reports to the audit committee at least quarterly. yes
4. Does the internal audit department check the following matters at least once a quarter -----
Check:
(1) The deposit and use of raised funds are
(2) External guarantee is that the company did not include it in the consolidated report during the reporting period
Guarantee provided by off balance sheet companies
(3) Related party transactions are
(4) Securities investment means that the company did not make securities investment during the reporting period
(5) Venture capital refers to that the company did not make venture capital during the reporting period
(6) External financial assistance means that the company did not provide external financial assistance during the reporting period
support
(7) The purchase and sale of assets is
(8) Foreign investment is
(9) Large amount of company funds
(10) The company and its directors, supervisors, senior managers, controlling shareholders and
Capital transactions of international controllers and their affiliates
According to the "Shenzhen Stock Exchange listed companies"
Self regulation guideline No. 1 on the main board
5. Does the audit committee hold a meeting at least once a quarter to review the standard operation of internal municipal companies and the audit of the board of directors
Work plans and reports submitted by the audit department. It is the committee's rules of procedure and the internal audit system
During the reporting period, the audit
The planning committee earnestly performed its duties and held a total of meetings
Six meetings were held.
6. Does the audit committee report the internal audit to the board of directors at least once a quarter
The internal audit work such as work progress, quality and major problems found is
Situation.
According to the "Shenzhen Stock Exchange listed companies"
Self regulatory guidelines No. 1 - on the main board
Standardized operation of municipal companies, audit by the board of directors
7. Whether the internal audit department submits the rules of procedure of the annual internal audit committee meeting and the internal audit system to the Audit Committee on time
Planning work report and internal audit work plan for the next year. The internal audit department
Within two months before the end of the fiscal year
The Audit Committee submitted its annual internal audit report
Work report and internal audit of the next year
Plan of work.
Guangzhou Tinci Materials Technology Co.Ltd(002709) internal control rules implementation self inspection form
2、 Internal control of information disclosure
1. Whether the company has formulated the management system of information disclosure and major internal information is
Confidentiality system. 2. Does the company appoint or authorize the Secretary of the board of directors or securities affairs representative
Be responsible for checking the investor's questions on the interactive website and conducting them in a timely and complete manner
reply.
3. Whether the company requires specific objects to sign a commitment before communicating directly with specific objects yes
Promise. 4. Within two trading days after the end of investor relations activities, the company is
No, prepare the record form of investor relations activities and record the form and the process of activities yes
The presentations used, documents provided and other attachments (if any) shall be published on the interactive website of Shenzhen Stock Exchange in time, and on the company's website (if any). 3、 Internal control of insider trading 1. Whether the company has established a registration and management system for insiders of insider information
The confidential management of screen information and the inside information before the public disclosure of inside information according to law are
Regulations on the registration management of information insiders. 2. Whether the company has filled in the "listed company" before the public disclosure of inside information according to law
The "archives of insiders" of the company and form a major when planning major events
Whether relevant personnel sign the memo for confirmation. 3. Whether the company publishes in the annual report, semi annual report and relevant major events
Within 5 trading days after the report, the insider has bought and sold the company's securities and no insider has been informed during the reporting period
Conduct self inspection on the situation of its derivative varieties. Insider trading and disclosure of inside information
Insider trading, divulging insider information or advising others to use insider information or advising others to use insider information
If there is a transaction, whether it is verified and investigated for responsibility, and whether it will be reported within 2 working days.
Relevant information and handling results shall be submitted to Shenzhen Stock Exchange and local securities regulatory bureau. 4. Directors, supervisors, senior managers, securities affairs representatives and former directors of the company
Whether the spouse of the said person is in writing before buying and selling the company's shares and their derivatives
Notify the Secretary of the board of directors of its trading plan in person.
5. Whether the review and approval procedures and related transactions of the company are strictly implemented
Perform the obligation of information disclosure when necessary. 4、 Internal control of raised funds
1. Whether the company and its subsidiaries implementing the fund-raising projects are interested in raising funds
The bank's special account shall be stored and the tripartite supervision agreement for raised funds shall be signed in time. 2. Does the internal audit department use and deposit the raised funds at least quarterly
An audit shall be conducted on the release situation, and the authenticity and compliance of the use of the raised funds shall be verified
Comment on sex. 3. Except for financial enterprises, has the company not invested the raised funds in the held trading financial assets and financial assets available for sale, lent them to others and entrusted them
Financial investment such as financial management does not use the raised funds for venture capital, direct or indirect investment
An investor indirectly invests in a company whose main business is trading securities, or for pledge, entrusted loan and other investments that change the purpose of the raised funds in a disguised form. 4. Is the company unused and idle within 12 months after venture capital investment
The raised funds temporarily supplemented the working capital, and the investment direction of the raised funds was not changed to never applicable. During the reporting period, the company did not make venture capital investment
Long term replenishment of working capital and failure to permanently use the over raised funds to replenish working capital or repay bank loans. 5、 Internal control of related party transactions 1. Whether the company reports to the public through the column "data filling: related party data filling" in the business area of Shenzhen Stock Exchange within 10 trading days after the IPO listing
Shenzhen Stock Exchange shall report the information of related parties. If the related person and its information change, the public is
Whether the company updates within 2 trading days. Whether the related person information reported by the company is true, accurate and complete.
Guangzhou Tinci Materials Technology Co.Ltd(002709) internal control rules implementation self inspection form
2. Whether the independent directors and supervisors of the company inspect the company and the company at least once a quarter
Capital transactions between related parties.
3. Whether the company has made it clear that the approval right of the general meeting of shareholders and the board of directors for related party transactions is
Limit, formulate corresponding review procedures and implement them. 4. Directors, supervisors, senior managers, controlling shareholders and actual controlling shareholders of the company
Is there no direct, indirect and disguised occupation of the listed company by the issuer and its affiliates
Information on the funds of the division. 6、 Internal control of external guarantee 1. Does the company specify the provisions of the general meeting of shareholders and the board of directors on external guarantee in the articles of association
The approval authority of insurance matters and the responsibility for violating the approval authority and review procedures are
Accountability system.
2. Whether the external guarantee of the company strictly implements the approval authority and review procedures, and whether the company has not been included in the consolidated report during the reporting period
Perform the obligation of information disclosure when necessary. Guarantee provided by off balance sheet companies
7、 Internal control of major investment 1. Does the company specify in the articles of association the requirements of the general meeting of shareholders and the board of directors for major investment
Whether the approval authority and review procedures are consistent with yes
Comply with laws and regulations and the business rules of Shenzhen Stock Exchange.
2. Whether the company strictly implements the approval authority and review procedures for major investments, and
Perform the obligation of information disclosure when necessary. 3. Whether the company has not made venture capital investment in the following periods: (1) temporarily replenishing working capital with idle raised funds; (2) Invest the raised funds in
Within 12 months after the change to permanent supplementary working capital; (3) Will
