Citic Securities Company Limited(600030)
About Bank Of Qingdao Co.Ltd(002948) 2021 annual recommendation work report name of recommendation institution: Citic Securities Company Limited(600030) abbreviation of recommended company: Bank Of Qingdao Co.Ltd(002948)
Name of sponsor representative: Wang Chen Tel: 01060837674
Name of sponsor representative: Song Jianhong Tel.: 02120262061
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) No one failed to review the company's information disclosure documents in time
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 preventing related parties from occupying the company's resources)
yes
System, raised funds 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 number of special accounts for raised funds of the company. The raised funds have been used up in 2019, and the special accounts for raised funds have not been queried in 2021
(2) Is the progress of the company's fund-raising project consistent with the information
Consistency of disclosure documents 4 Corporate governance supervision
(1) Times of attending the general meeting of shareholders of the company as nonvoting delegates: 1
(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 reported in accordance with the provisions of the exchange
give
(3) The main problems found in the on-site inspection and the rectification are none
Situation 6 Independent opinions
(1) 4 times of expressing independent opinions
(2) Issues and conclusions involved in expressing non consenting opinions
See 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 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: March 21, 2022
(3) The main contents of the training include the training on the standardized operation of listed companies, including the standardized operation of the "three committees", the management of directors, supervisors and senior personnel, independence, horizontal competition and related party transactions, fund occupation, fund-raising management, insider information Insider information and prevention of insider trading, analysis of the new securities law and information disclosure
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. Establishment and of the company's internal system
None applicable
implement
3. The operation of the "three sessions" is applicable
4. Controlling shareholder and actual controller
None not applicable
change
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 and venture capital)
None not applicable
Capital, entrusted financial management, financial assistance, hedging, etc.) 10. The issuer or its hired
The agency's cooperation with the recommendation work is applicable
Situation 11 Others (including business environment, business development, financial status and management)
None not applicable
Major changes in status, core technology, etc.) III. performance of commitments of the company and shareholders
Reasons and solutions for whether the company and shareholders have not fulfilled their commitments
Fulfill commitments
1. About the company's initial public offering of a shares
Voting matters, restrictions on share circulation and shareholders are not applicable
Commitment to voluntary lock-in of shares 2. About the company's initial public offering of a shares
Voting matters, shareholders' shareholding intention and reduction intention are not applicable
Commitment 3. About the company's initial public offering of a shares
The company's directors and senior managers are not applicable to voting matters
Commitment on stabilizing share price 4. About the company's initial public offering of a shares
Ticket matters, diluted immediate return and filling measures are not applicable
Commitment
5. The company's initial public offering of A-Shares is not applicable
6. Commitment of the company on the initial public offering of shares, a
On the issue of votes, the binding measures for non-compliance with commitments are not applicable
Commitment
7. As for the major shareholders of the company, it is not applicable according to the China Banking and Insurance Regulatory Commission
Will stipulate the commitments made
8. It is not applicable to the company's private placement of A-Shares before listing
Share locking commitment made by the subscriber in the process IV. other matters
Description of report items
1. Change of the sponsor representative and its reasons
2. During the reporting period, from January 1 to December 31, 2021, there were the following matters in which the CSRC and your exchange took regulatory measures against the sponsor or the company and the company recommended by the sponsor:
Rectification 1. On January 4, 2021, Zhejiang regulatory bureau of China Securities Regulatory Commission issued the decision on Issuing warning letter to Zhejiang Zhengyuan Smart Technology Co., Ltd. and relevant personnel for Zhejiang Zhengyuan Zhihui Technology Co.Ltd(300645) (hereinafter referred to as " Zhejiang Zhengyuan Zhihui Technology Co.Ltd(300645) ") sponsored by our company.
Regulatory measures: during the period from January 2020 to July 2020, Zhejiang Zhengyuan Zhihui Technology Co.Ltd(300645) provided financial assistance to Zhejiang nipton Technology Co., Ltd., and the company failed to timely perform the corresponding review procedures and information disclosure obligations for the above matters, The above-mentioned acts violate the provisions of articles 2, 3 and 30 of the measures for the administration of information disclosure of listed companies.
2. On January 8, 2021, Zhejiang regulatory bureau of China Securities Regulatory Commission issued the decision on Issuing warning letter to Panda Dairy Corporation(300898) (hereinafter referred to as " Panda Dairy Corporation(300898) ") recommended by our company. Regulatory measures: on October 29, 2020, Panda Dairy Corporation(300898) received 9 million yuan of government subsidies related to income, and failed to fulfill the obligation of information disclosure in time. The above-mentioned acts of the company and relevant personnel violate the relevant provisions of articles 2, 3, 30 and 31 of the measures for the administration of information disclosure of listed companies.
3. On January 29, 2021, Zhejiang regulatory bureau of China Securities Regulatory Commission issued the decision on ordering Zhejiang Kaishan Compressor Co., Ltd. to take corrective measures against Zhejiang Kaishan Compressor Co., Ltd. (hereinafter referred to as " Zhejiang Kaishan Compressor Co.Ltd(300257) "). The regulatory measures pointed out that during the on-site inspection, Zhejiang Bureau found Zhejiang Kaishan Compressor Co.Ltd(300257) problems: inaccurate performance accounting of regular reports in 2019 and 2020; From 2019 to 2020, the company's internal governance has the problems of non-standard use of funds, non-standard meeting process and non-independent personnel. The above acts violate the information disclosure of listed companies
Article 2 of the administrative measures.
4. On March 2, 2021, Jiangxi regulatory bureau of China Securities Regulatory Commission issued a notice on the supervision of Boya Bio-Pharmaceutical Group Co.Ltd(300294) , Liao Xinxi and Liang Xiaoming to Boya Bio-Pharmaceutical Group Co.Ltd(300294) (hereinafter referred to as " Boya Bio-Pharmaceutical Group Co.Ltd(300294) ") sponsored by our company
