Shantui Construction Machinery Co.Ltd(000680)
The emergency response plan for deposit business risks with Shandong heavy industry group finance Co., Ltd. is to effectively prevent, timely control and resolve the capital risks of the company and its holding subsidiaries' deposits in Shandong heavy industry group finance Co., Ltd. (hereinafter referred to as "finance company") controlled by Shandong Heavy Industry Group Co., Ltd. (hereinafter referred to as "Shandong heavy industry group") and maintain capital safety, This risk disposal plan is hereby formulated in accordance with the requirements of the stock listing rules of Shenzhen Stock Exchange (revised in 2022) and the self regulatory guidelines for listed companies No. 7 - transactions and related party transactions.
Chapter I organization and responsibilities
Article 1 the company establishes a leading group for deposit risk disposal (hereinafter referred to as the "leading group"), with the chairman of the company as the group leader, the first person responsible for the risk disposal of the leading group, and the general manager of the company as the Deputy group leader. The members of the leading group include the Secretary of the board of directors, the chief financial officer, the heads of finance department, securities department and other relevant departments. The leading group is responsible for organizing the prevention and disposal of deposit risks. No unit or individual may conceal, delay or falsely report the deposit risks, or instruct others to conceal, delay or falsely report them.
Article 2 the leading group has an office, which is located in the financial department of the company, and the chief financial officer of the company acts as the office director, which is specifically responsible for daily supervision and management.
Article 3 the following principles shall be followed for emergency disposal of deposits:
1. Unified leadership and hierarchical responsibility. The emergency disposal of deposit risk is under the unified leadership of the leading group, which is responsible to the board of directors and is fully responsible for the prevention and disposal of deposit risk.
2. Perform their respective duties and coordinate and cooperate. According to the division of responsibilities, actively plan and implement various measures to prevent and resolve risks, coordinate with each other, and jointly control and resolve risks.
3. Collecting information focuses on prevention. The financial department of the company shall urge the financial company to provide relevant information in time, pay attention to the operation of the financial company, test the capital liquidity of the financial company, and timely understand the information from Shandong heavy industry group and its member units or regulatory authorities, so as to ensure that the information monitoring is in place and the risk prevention is effective.
4. Timely warning and disposal. The financial department of the company shall strengthen the monitoring of risks, find and report the deposit risks as early as possible, timely report the problems to the leading group once they are found, and take decisive measures to prevent the spread and spread of risks and minimize the deposit risks.
Chapter II information report and disclosure
Article 4 establish a deposit business risk reporting system and report to the board of directors on a regular or temporary basis. Regularly obtain and review the regular reports of the financial company, including balance sheet, income statement and cash flow statement, and evaluate the business and financial risks of the financial company.
Before depositing the funds in the finance company, obtain and review the annual report of the finance company audited by an accounting firm qualified for securities and futures related business in the latest fiscal year.
During the period of deposit business, obtain and review the monthly report of the financial company regularly, and evaluate the business and financial risks of the financial company through the annual report audited by an accounting firm qualified to perform securities and futures related business. The leading group shall issue a continuous risk assessment report every half a year according to the information, submit it to the board of directors for deliberation and approval, and disclose it in the semi annual report and annual report.
Article 5 the capital transactions between the company and the finance company shall perform the decision-making procedures and information disclosure obligations in strict accordance with the requirements of relevant laws and regulations on connected transactions.
Chapter III risk emergency response procedures and measures
Article 6 during the related party transactions between the company and the finance company, in case of any of the following circumstances, the leading group shall immediately start the emergency disposal procedures, and the company shall timely perform the corresponding information disclosure obligations according to the relevant requirements:
1. The financial company violates Article 31, 32 or 33 of the measures for the administration of enterprise group financial companies;
2. Any financial index of the finance company does not meet the requirements specified in Article 34 of the measures for the administration of enterprise group finance companies;
3. Major events such as withdrawal of deposits, failure to pay due debts, overdue or guaranteed advances of large amounts, serious failure of computer system, robbery or fraud, serious disciplinary violations and criminal cases involving directors or senior managers of the finance company;
4. Major institutional changes, equity transactions or business risks that may affect the normal operation of the financial company;
5. The balance of the payment issued by the finance company to a single shareholder exceeds 50% of the registered capital of the finance company or the capital contribution of the shareholder to the finance company;
6. The company's deposit balance in the finance company accounts for more than 30% of the deposit balance absorbed by the finance company at any time;
7. The liabilities of the shareholders of the finance company (except the company) to the finance company are overdue for more than 1 year;
8. The financial company has a serious payment crisis;
9. The loss of the finance company exceeds 30% of the registered capital in any financial year or 10% of the registered capital for three consecutive years;
10. The financial company is subject to administrative punishment by the China Banking Regulatory Commission and other regulatory authorities for violation of laws and regulations;
11. The financial company is ordered by the CBRC to rectify;
12. Any other matters that may bring potential safety hazards to the company's deposit of funds and provision of other financial services.
Article 7 after the disposal plan procedure is started, the leading group shall organize personnel to urge the financial company to provide detailed information and understand the situation through multiple channels. If necessary, it can enter the site to investigate the causes of deposit risk and analyze the dynamics of risk. At the same time, it shall implement various risk resolution measures and responsibilities specified in the risk resolution plan according to the risk causes and risk conditions, and formulate a risk emergency treatment plan. The emergency response plan shall be revised and supplemented in time according to the changes of deposit risk and the problems found in the implementation. The emergency treatment plan mainly includes the following contents:
1. Establish an emergency response team;
2. Division of responsibilities, measures to be taken, tasks to be completed and objectives to be achieved of all departments and units;
3. Organization and implementation of various risk mitigation measures;
4. Supervise and guide the implementation of risk mitigation measures.
Article 8 in view of the emerging risks, the risk disposal emergency response team shall hold a joint meeting with the finance company to require the finance company to take positive measures to carry out risk self rescue and avoid the spread and spread of risks, including realizing excess money market assets, suspending or stopping the issuance of new funds, selling originally held securities, selling long-term assets and fixed assets, applying to the people's Bank of China for using the deposit reserve and applying for refinancing, Take measures such as borrowing from other financial institutions, draft documents together when necessary, and seek help from Shandong Heavy Industry Group Co., Ltd. to ensure that the safety and liquidity of the company's funds are not affected.
Chapter IV handling of follow-up matters
Article 9 after the sudden deposit risk subsides, the leading group shall strengthen the supervision of the financial company, require the financial company to enhance its capital strength, improve its anti risk ability, re evaluate the deposit risk of the financial company and adjust the deposit proportion.
Article 10 the leading group and the finance company shall carefully analyze and summarize the causes and consequences of the sudden deposit risk, draw lessons from experience, and do a better job in the prevention and disposal of deposit risk. If the factors affecting the risk cannot be eliminated, take action to withdraw all deposits.
Chapter V supplementary provisions
Article 11 the board of directors of the company reserves the right to interpret this plan.
Article 12 the plan shall be implemented from the date of deliberation and approval by the board of directors of the company.
