Guotai Junan Securities Co.Ltd(601211)
About Shandong Humon Smelting Co.Ltd(002237)
Annual recommendation work report of continuous supervision in 2021
Name of Sponsor: Guotai Junan Securities Co.Ltd(601211) sponsor company abbreviation: Shandong humon smelting Co., Ltd. (hereinafter referred to as ” Guotai Junan Securities Co.Ltd(601211) “) (hereinafter referred to as “the company”)
Name of sponsor representative: Yu Weijun Tel: 02138032401
Name of sponsor representative: Jin Licheng Tel.: 02138032401
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 that the company’s information disclosure documents are not reviewed in time is none
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 and control)
The system of preventing related parties from occupying the company’s resources, the management system of raised funds and internal control are
System, 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 once
(2) Is the progress of the company’s fund-raising projects consistent with the information disclosure documents
4. Corporate governance supervision
(1) No attendance at the general meeting of shareholders
(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. Expression of independent opinions
(1) 6 times of expressing independent opinions
(2) Issues involved in issuing non consenting opinions and concluding comments none
7. Report to the Institute (except for the on-site inspection report)
(1) Number of reports to the exchange: 1
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 regulatory bureau of China Securities Regulatory Commission, it is pointed out that in May 2020, (2) The main content of the report is that the related party transactions between the company and the related party of humon real estate, building 1, Jindi Yujing community, failed to timely perform the corresponding review procedures and information disclosure obligations. On June 10, 2021, humon Co., Ltd. received the supervision letter on Shandong humon smelting Co., Ltd. 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, implement the implementation of the internal control system, and strengthen the supervision of directors, supervisors Senior managers and other relevant personnel are aware of laws and regulations such as the measures for the administration of information disclosure of listed companies and the guidelines for the standardized operation of listed companies of Shenzhen Stock Exchange Normative documents and relevant information (3) study the progress of reported matters or rectification disclosure system, strengthen the awareness of risk responsibility, improve the standard operation level and information disclosure quality of the company, and earnestly safeguard the interests of the company and all shareholders, Promote the healthy, stable and sustainable development of the company and prevent such incidents from happening again.
The recommendation institution shall put forward key rectification concerns to the company, strengthen the compliance awareness of corporate governance, related party transactions and standardized operation, and prevent the recurrence of such events. The recommendation institution will act in a diligent and responsible manner
The company pays continuous attention and supervision, and timely discloses relevant information.
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) Progress or inapplicability of rectification
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 27, 2021
Laws and regulations such as the main contents of the (3) training of stock listing regulations of Shenzhen Stock Exchange, the guidelines for the standardized operation of listed companies of Shenzhen Stock Exchange, as well as the recent regulatory concerns and cases 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 is not applicable
2. The establishment and implementation of the company’s internal system are all applicable
3. The operation of the “three sessions” is applicable
4. Changes in controlling shareholders and actual controllers are applicable
5. The deposit and use of raised funds are applicable
6. Connected transactions are not applicable
7. All external guarantees are applicable
8. Acquisition and sale of assets are applicable
9. Important matters of other business categories (including foreign investment, venture capital and commission) are not applicable
Entrusted financial management, financial assistance, hedging, etc.)
10. The cooperation of the issuer or the intermediary agency hired by the issuer with the recommendation work is applicable
11. Others (including business environment, business development, financial status and management statement) are applicable
Major changes in technology, core technology, etc.)
3、 Performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders fulfill the original commitments that have not been fulfilled
