China Securities Co.Ltd(601066)
About Shenzhen Topband Co.Ltd(002139)
Verification opinions on the self inspection form for the implementation of internal control rules in 2021
China Securities Co.Ltd(601066) (hereinafter referred to as ” China Securities Co.Ltd(601066) ” and “sponsor”) as the sponsor of Shenzhen Topband Co.Ltd(002139) (hereinafter referred to as ” Shenzhen Topband Co.Ltd(002139) ” and “company”) non-public offering of shares in 2021, in accordance with the company law, the securities law, the measures for the administration of securities issuance and listing sponsor business, the basic norms of enterprise internal control, the governance standards of listed companies, and the stock listing rules of Shenzhen Stock Exchange According to relevant regulations such as self regulatory guidelines for listed companies of Shenzhen Stock Exchange No. 1 – standardized operation of listed companies on the main board, self regulatory guidelines for listed companies of Shenzhen Stock Exchange No. 13 – recommendation business, China Securities Co.Ltd(601066) and its designated recommendation representatives Xu Chao and Zhu Mingqiang have carefully verified the self inspection form for the implementation of internal control rules of Shenzhen Topband Co.Ltd(002139) 2021. The verification results and opinions are as follows:
1、 Shenzhen Topband Co.Ltd(002139) self inspection on the implementation of internal control rules
Shenzhen Topband Co.Ltd(002139) in accordance with the Listing Rules of Shenzhen Stock Exchange, self regulatory guidelines for listed companies of Shenzhen Stock Exchange No. 1 – standardized operation of listed companies on the main board, self regulatory guidelines for listed companies of Shenzhen Stock Exchange No. 13 – recommendation business and other laws and regulations, as well as the articles of association, rules of procedure of the third meeting and other internal rules and regulations of the company, The company conducted a self-examination on the implementation of the company’s internal control rules, and filled in the self-examination form for the implementation of internal control rules according to the self-examination results.
2、 Verification measures and opinions
The sponsor reviewed the documents of the general meeting of shareholders, the board of directors and the board of supervisors of Shenzhen Topband Co.Ltd(002139) , the articles of association, the rules of procedure of the general meeting of shareholders, the rules of procedure of the board of directors, the rules of procedure of the board of supervisors and other relevant rules and various management systems, reviewed the self inspection form for the implementation of the internal control rules of Shenzhen Shenzhen Topband Co.Ltd(002139) Co., Ltd., and interviewed some directors and senior managers of Shenzhen Topband Co.Ltd(002139) .
Through the above verification, the verification opinions of the recommendation institution are as follows:
After verification, the sponsor believes that Shenzhen Topband Co.Ltd(002139) has a sound corporate governance structure, and the existing internal control system and implementation comply with relevant laws and regulations such as the guidelines for self discipline supervision of listed companies of Shenzhen Stock Exchange No. 1 – standardized operation of listed companies on the main board and the requirements of the securities regulatory department; The company has maintained effective internal control related to business operation and management in major aspects Shenzhen Topband Co.Ltd(002139) filled in the self inspection form for the implementation of internal control rules in 2021 truly, accurately and completely reflects the construction and operation of its internal control system.
(there is no text on this page, which is the signature and seal page of China Securities Co.Ltd(601066) opinions on the self inspection form for the implementation of Shenzhen Topband Co.Ltd(002139) 2021 annual internal control rules)
Sponsor representative:
Xu Chao, Zhu Mingqiang
China Securities Co.Ltd(601066) March 22, 2022
