Everbright Securities Company Limited(601788) internal control audit report
December 31, 2021
Internal control audit report
Ernst & Young Huaming (2022) ZZ No. 61291627b07 Everbright Securities Company Limited(601788) Everbright Securities Company Limited(601788) all shareholders:
1、 Audit opinion on internal control of financial report
We have audited the financial report of Everbright Securities Company Limited(601788) 2021 and the effectiveness of internal control. We believe that Everbright Securities Company Limited(601788) has maintained effective internal control over financial reporting in all major aspects in accordance with the basic norms of enterprise internal control and relevant regulations on December 31, 2021.
2、 Basis for forming audit opinions
We conducted our audit in accordance with the auditing standards for Chinese certified public accountants. The “responsibilities of certified public accountants for internal control audit” part of the audit report further expounds our responsibilities under these standards. In accordance with the code of professional ethics for Chinese certified public accountants, we are independent of Everbright Securities Company Limited(601788) , and have fulfilled other responsibilities in terms of professional ethics. We believe that the audit evidence we have obtained is sufficient and appropriate, which provides a basis for our audit opinion.
3、 Other matters
Our report is only for the intended users of the financial statements and should not be used by other parties other than the intended users of the financial statements.
4、 Responsibilities of management and governance for internal control
It is the responsibility of the board of directors of your company to establish, improve and effectively implement internal control and evaluate its effectiveness in accordance with the basic norms of enterprise internal control, guidelines for the application of enterprise internal control and guidelines for the evaluation of enterprise internal control. 5、 Responsibilities of certified public accountants for internal control audit
Our responsibility is to express audit opinions on the effectiveness of internal control over financial reporting based on the implementation of audit work, and disclose the significant defects of non-financial reporting internal control noted.
6、 Inherent limitations of internal control
Internal control has inherent limitations, and there is the possibility that misstatement can not be prevented and found. In addition, as changes in circumstances may lead to inappropriate internal control or reduced compliance with control policies and procedures, there is a certain risk to speculate the effectiveness of internal control in the future according to the internal control audit results.
