Hualong Securities Co., Ltd
About Beijing Supermap Software Co.Ltd(300036)
2021 continuous supervision and tracking report
Name of Sponsor: Hualong Securities Co., Ltd. abbreviation of the sponsored company: Beijing Supermap Software Co.Ltd(300036)
Name of sponsor representative: Quan Hongtao Tel.: 02150934085
Name of sponsor representative: Lu Yanlin Tel.: 01088086668
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 the company’s information disclosure documents were not reviewed in time was 0
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 the system to prevent related parties from occupying the company’s resources and the management of raised funds)
System, internal control 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 number of special accounts for raised funds of the company once a month
(2) Is the progress of the company’s fund-raising projects consistent with the information disclosure documents
Consensus is
4. Corporate governance supervision
(1) The number of times of attending the general meeting of shareholders of the company without voting in person, and the meeting documents have been read
(2) The number of times of attending the board of directors of the company without voting in person, and the meeting documents have been read
(3) The number of times of attending the board of supervisors of the company without voting in person, and the meeting documents have been read
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 not applicable
6. Special opinions issued
(1) 3 times of special opinions
(2) The issues involved in issuing non consenting opinions and concluding comments are not applicable
7. Report to Shenzhen Stock Exchange (on-site inspection report)
Project work content
(except for complaints)
(1) Number of reports to Shenzhen Stock Exchange: 0
(2) The main contents of the report are not applicable
(3) The progress or rectification of the reported items is not applicable
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) The progress or rectification of concerns is not applicable
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 30, 2021
(3) Main contents of training and responsibilities related to information disclosure; Share reduction and insider trading; Management system of raised funds; External guarantee, entrusted financial management, daily disclosure of related party transactions, etc. The responsibilities and obligations of relevant subjects are described in the training to make the participants aware of their obligations and legal responsibilities.
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. The purchase and sale of assets are applicable
9. Other business categories and important matters (including
Foreign investment, venture capital, entrusted financial management and finance are all applicable
Funding, hedging, etc.)
10. The issuer or the securities employed by it are all applicable
Cooperation of service institutions with recommendation 11 Others (including business environment and business)
Development, financial status, management status, nuclear none not applicable
Major changes in technology and other aspects) III. performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
The commitment on share restriction is not applicable
Measures and commitments to fill diluted immediate returns are not applicable
The commitment of profit distribution principle is not applicable
The commitment to avoid horizontal competition is not applicable
4、 Performance of major contracts
The recommendation institution has verified the performance of the company’s major contracts. After verification, the conditions affecting the performance of the company’s major contracts have not changed significantly, and there is no major risk that the contracts cannot be performed.
5、 Other matters
Description of report items
On February 21, 2022, Mr. Han Zezheng, the sponsor representative originally appointed by Hualong securities, was unable to continue to perform the recommendation work of continuous supervision due to the change of work. In order to better perform the obligation of continuous supervision, Hualong securities appointed Mr. Quan Hongtao to replace Mr. Han Zezheng to continue to perform the responsibility of continuous supervision.
2. During the reporting period, China Securities Regulatory Commission and Shenzhen stock exchange were diligent and responsible for the failure of baohualong securities to take regulatory measures for blue mountain technology’s application for public offering of shares and its sponsor or its sponsor company, and to provide recommendation services for the listing of selected layers, On November 2, 2021, the CSRC decided to order Hualong securities to make corrections and give a warning; Confiscate 1.5 million yuan of business income and impose a fine of 3 million yuan.
Hualong securities has made active rectification, and the rectification work is as follows:
1. In accordance with the requirements of the CSRC, the fines and confiscations were paid in time; 2. Set up a quality control headquarters at the company level, and improved and adjusted the quality control structure and team; 3. Combined with the review of the audit items reported to the Commission, the company conducted a comprehensive self-examination on the practice of investment banking and the implementation of internal control system, and found and eliminated potential risks; 4. Reorganized, revised and improved various rules and regulations of investment banks; 5. Strengthening the construction of the company’s risk prevention system; 6. Carried out learning and education for all staff to improve the awareness of risk prevention; 7. Responsible for the relevant personnel of blue mountain science and technology project.
3. Other major matters to be reported none
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(there is no text on this page, which is the signature page of Hualong Securities Co., Ltd. on Beijing Supermap Software Co.Ltd(300036) 2021 annual continuous supervision and tracking report)
Sponsor representative:
Quan Hongtao, Lu Yanlin
Sponsor: Hualong Securities Co., Ltd
