Sinolink Securities Co.Ltd(600109)
About Chongqing Lummy Pharmaceutical Co.Ltd(300006)
2021 annual tracking report
Name of recommendation institution: Sinolink Securities Co.Ltd(600109) abbreviation of the recommended company: Chongqing Lummy Pharmaceutical Co.Ltd(300006)
Name of sponsor representative: Yan Huatong Tel.: 021 Suzhou Gyz Electronic Technology Co.Ltd(688260) 21
Name of sponsor representative: Wang Xiaojiang Tel: 021 Suzhou Gyz Electronic Technology Co.Ltd(688260) 21
1、 Overview of sponsor work
Project work content
1. Review of information disclosure of the company-
(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 not applicable
2. Supervise the establishment, improvement and effective implementation of rules and regulations of the company-
(1) Whether the company has been supervised to establish and improve the rules and regulations (including but not, during the reporting period, Chongqing Lummy Pharmaceutical Co.Ltd(300006) revised the articles of association, the system limited to preventing related parties from occupying the company’s resources, the internal control system of the fund raising department, etc., and further established and improved the internal control management 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 company’s special account for raised funds for 4 times
(2) Is the progress of the company’s fund-raising project consistent with the information disclosure documents
agreement
4. Corporate governance supervision-
(1) 2 times of attending the general meeting of shareholders of the company as nonvoting delegates
(2) 3 times of attending the board of directors of the company as nonvoting delegates
(3) 2 times of attending the board of supervisors of the company as nonvoting delegates
5. On site inspection-
(1) Number of on-site inspections: 1
Project work content
(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. Independent opinions-
(1) Number of independent opinions: 0
(2) The issues involved in issuing non consenting opinions and concluding comments are not applicable
7. Report the situation to the Institute (except for the on-site inspection report)-
(1) No number of reports to the exchange
(2) The main contents of the report are not applicable
(3) The progress or rectification of the reported matters is not applicable
8. Pay attention to the performance of duties-
(1) Are there any matters needing attention? No
(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: April 20, 2021
In order to further improve the awareness of Chongqing Lummy Pharmaceutical Co.Ltd(300006) controlling shareholders, actual controllers, directors, supervisors and senior managers on the code of conduct, strengthen the management of related party transactions of the company, and standardize the reduction of shares held by shareholders, directors, supervisors and senior managers of listed companies, Sinolink Securities Co.Ltd(600109) continuously supervise the staff through the combination of key laws and regulations and specific problems or (3) case discussion of the main contents of the training, Organized relevant personnel to study the guidelines for the standardized operation of companies listed on the gem of Shenzhen Stock Exchange, the Listing Rules of shares on the gem of Shenzhen Stock Exchange, and some provisions on the reduction of shares held by shareholders, directors, supervisors and senior executives of listed companies Relevant provisions of the detailed rules for the implementation of share reduction of listed companies and directors, supervisors and senior managers of Shenzhen Stock Exchange.
11. Other sponsor work that needs to be explained none
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. Related party transactions are not applicable
7. All external guarantees are applicable
8. Acquisition and sale of assets are not applicable
9. Other business categories and important matters (including foreign investment, venture capital and none) are not applicable
Entrusted financial management, financial assistance, hedging, etc.)
10. The situation where the issuer or the intermediary institution it employs cooperates with the recommendation work is applicable
11. Others (including business environment, business development, financial status and management) are applicable
Major changes in status, core technology, etc.)
3、 Performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders have fulfilled the original commitments of the bank that have not fulfilled their commitments and Solutions
1. The commitment to avoid horizontal competition is not applicable
2. The commitment to reduce and regulate related party transactions is not applicable
3. The commitment to ensure the independence and integrity of assets, personnel, finance, organization and business is not applicable
4. The commitment to concerted action is not applicable
5. The commitment on share locking is not applicable
6. The commitment to fill immediate return measures is not applicable
7. Nanning Zhongheng Tongde pharmaceutical industry investment fund partnership (limited partnership) and Guangxi guangtou Guohong health are not applicable
Commitment of industrial fund partnership (limited partnership) to ensure the stability of the content of the partnership agreement
8. Nanning Zhongheng Tongde pharmaceutical industry investment fund partnership (limited partnership) and Guangxi guangtou Guohong health are not applicable
Commitments of investors at all levels of industrial fund partnership (limited partnership) on capital contribution locking
9. Guangxi Wuzhou Zhongheng Group Co.Ltd(600252) the commitment to ensure the stability of Chongqing Lummy Pharmaceutical Co.Ltd(300006) control is not applicable
10. Other commitments are not applicable
4、 Other matters
Description of report items
1. Change of sponsor representative and its reasons none
1. On February 7, 2021, because Sinolink Securities Co.Ltd(600109) as the sponsor securities firm recommended by shenxianyuan Shenye Co., Ltd., failed to be diligent and responsible, and did not fully verify the major contracts of the listed company, the CSRC issued [2021] No. 17 decision on administrative supervision measures to take measures against Sinolink Securities Co.Ltd(600109)
