Guotai Junan Securities Co.Ltd(601211)
Summary report on Shandong Humon Smelting Co.Ltd(002237) recommendation
Name of recommendation institution: Guotai Junan Securities Co.Ltd(601211) abbreviation of the recommended company: Shandong Humon Smelting Co.Ltd(002237)
Sponsor No.: z29131000
Guotai Junan Securities Co.Ltd(601211) (hereinafter referred to as ” Guotai Junan Securities Co.Ltd(601211) ” or “recommendation institution”) as the recommendation institution of Shandong Humon Smelting Co.Ltd(002237) (hereinafter referred to as ” Shandong Humon Smelting Co.Ltd(002237) ,” issuer “,” company “or” listed company “) for the non-public offering of shares in 2020, In accordance with the requirements of relevant laws, regulations and normative documents such as the measures for the administration of securities issuance and listing recommendation business (2020), the guidelines for self regulation and supervision of listed companies of Shenzhen Stock Exchange No. 13 – recommendation business (2022 Revision), Shandong Humon Smelting Co.Ltd(002237) is under continuous supervision, and the continuous supervision period is up to December 31, 2021. At present, the continuous supervision period of Shandong Humon Smelting Co.Ltd(002237) non-public offering project has expired, and Guotai Junan Securities Co.Ltd(601211) now issues this recommendation summary report in accordance with the relevant provisions of the measures for the administration of securities issuance and listing recommendation business (2020).
1、 Commitment of recommendation institution and recommendation representative
1. There are no false records, misleading statements or major omissions in the content of the recommendation summary report, and the recommendation institution and the recommendation representative shall bear legal responsibility for its authenticity, accuracy and completeness.
2. This institution and myself voluntarily accept any inquiry and investigation conducted by China Securities Regulatory Commission (hereinafter referred to as “CSRC”) on matters related to the recommendation summary report.
3. The institution and I voluntarily accept the regulatory measures taken by the CSRC in accordance with the relevant provisions of the measures for the administration of securities issuance and listing recommendation business (2020).
2、 Basic information of the sponsor
Project content
Name of recommendation institution Guotai Junan Securities Co.Ltd(601211)
Registered address: No. 618, Shangcheng Road, China (Shanghai) pilot Free Trade Zone
Legal representative: He Qing
Sponsor representatives: Yu Weijun and Jin Licheng
Contact person and Tel.: 02138032401
3、 Basic information of listed companies
Project content
Name of listed company Shandong Humon Smelting Co.Ltd(002237)
Securities code: Shandong Humon Smelting Co.Ltd(002237)
The registered capital is 1148014400 yuan
Registered address: Shuidao Town, Mouping District, Yantai City
Main office address: No. 11, Jinzheng street, Shuidao Town, Mouping District, Yantai
Legal representative: Qu Shengli
Actual controller: Jiangxi state owned assets supervision and Administration Commission
Contact Xia Xiaobo
Tel.: 05354631769
The type of securities issuance is non-public offering
The securities were issued on September 18, 2020
The securities are listed on November 26, 2020
The listing place of the securities is Shenzhen Stock Exchange
Sponsor representatives: Yu Weijun and Jin Licheng
4、 Overview of sponsor work
During the period of continuous supervision, the sponsor representative shall check and supervise by consulting the bank statement for the deposit of raised funds, internal audit report, reviewing information disclosure documents, various business and management rules and regulations, regularly organizing training and interviews.
The main verification and supervision contents of the sponsor representative are as follows: supervise the company to fulfill the obligation of information disclosure and review the information disclosure documents; Supervise the company to establish, improve and effectively implement rules and regulations; Supervise the use of the company’s raised funds; Conduct on-site inspection on the company, and timely submit relevant documents such as continuous supervision on-site inspection report and annual recommendation work report to Shenzhen Stock Exchange; Train the company regularly; Express independent verification opinions, etc.
5、 Major events and handling during the performance of recommendation duties
On June 2, 2021, Shandong Humon Smelting Co.Ltd(002237) disclosed the announcement on receiving the warning letter from Shandong Securities Regulatory Bureau. In the warning letter issued to Shandong Humon Smelting Co.Ltd(002237) by Shandong Securities Regulatory Bureau of China Securities Regulatory Commission, it pointed out that in May 2020, the related party transactions between the company and the related party, building 1, Jindi Yujing community of humon real estate, failed to timely fulfill the corresponding deliberation procedures and information disclosure obligations. On June 10, 2021, Shandong Humon Smelting Co.Ltd(002237) received the supervision letter on Shandong Humon Smelting Co.Ltd(002237) issued by Shenzhen Stock Exchange on the above matters.
Listed companies attach great importance to the above issues, further establish and improve the internal control system according to the key concerns of the warning letter and supervision letter, implement the implementation of the internal control system, and strengthen the study of directors, supervisors, senior managers and other relevant personnel on laws, regulations, normative documents and relevant information disclosure systems such as the measures for the administration of information disclosure of listed companies, the guidelines for the standardized operation of listed companies of Shenzhen Stock Exchange, Strengthen the awareness of risk responsibility, improve the standard operation level and information disclosure quality of the company, effectively safeguard the interests of the company and all shareholders, promote the healthy, stable and sustainable development of the company, and prevent the recurrence of such events.
From June 11, 2021 to June 25, 2021, the recommendation institution conducted a special on-site inspection on the above related party transactions of Shandong Humon Smelting Co.Ltd(002237) for details, see the special on-site inspection report on Guotai Junan Securities Co.Ltd(601211) related party transactions of Shandong Humon Smelting Co.Ltd(002237) announced by Shandong Humon Smelting Co.Ltd(002237) on June 30, 2021.
Through the special on-site inspection of the company, the sponsor believes that the company’s transactions with related parties did not timely fulfill the relevant approval procedures and information disclosure obligations, which is mainly due to the wrong understanding and negligence of the handling personnel on the rules of related party transactions, unintentionally concealing the related party transactions, did not have a significant impact on the company and did not damage the interests of the company and minority shareholders, and the company made timely rectification and standardization after discovery.
In addition to the above matters, during the period when the recommendation institution performs its recommendation duties, the company has no major events that need to be handled by the recommendation institution.
6、 Description and evaluation of the issuer’s cooperation in continuous supervision
The issuer can timely and accurately disclose information in accordance with the requirements of relevant laws, regulations and rules. For important matters during continuous supervision, the company can timely notify and communicate with the sponsor, and provide relevant documents at the request of the sponsor. The issuer can actively cooperate with the on-site inspection and other supervision work of the recommendation institution and the recommendation representative, which provides necessary convenience for the continuous supervision work.
7、 Explanation and evaluation of securities service institutions’ participation in securities issuance and listing
The securities service institutions employed by the company can timely issue relevant documents and put forward professional opinions according to the requirements of the exchange. The securities service institutions employed by the company are able to perform their respective duties with diligence and diligence.
8、 Concluding comments on the review of information disclosure of listed companies
The information disclosed by the issuer during the continuous supervision period is true, accurate and complete, without false records, misleading statements or major omissions, the format complies with relevant regulations, and the information disclosure complies with relevant regulations of Shenzhen Stock Exchange.
9、 Concluding comments on the review of the use of raised funds
The company deposits and uses the raised funds in accordance with the use plan of the raised funds, which complies with the provisions of the Listing Rules of Shenzhen Stock Exchange and the company’s measures for the administration of raised funds. There is no case of changing the purpose of the raised funds in a disguised manner and damaging the interests of shareholders, and there is no case of illegal use of the raised funds.
As of December 31, 2021, Shandong Humon Smelting Co.Ltd(002237) the funds raised in this offering have been used up, and the continuous supervision responsibilities of the sponsor have been fully performed.
10、 Other matters required by the CSRC
None.
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(there is no text on this page, which is the signature and seal page of Guotai Junan Securities Co.Ltd(601211) on Shandong Humon Smelting Co.Ltd(002237) recommendation summary report)
Sponsor representative (signature):
Yu Weijun, Jin Licheng
Guotai Junan Securities Co.Ltd(601211) mm / DD / yyyy
