Investor relations management system of Chongqing Chongqing Three Gorges Water Conservancy And Electric Power Co.Ltd(600116) electric power (Group) Co., Ltd. (revised in 2022)
(reviewed and approved by the 32nd meeting of the 9th board of directors of the company)
Chapter I General Provisions
Article 1 in order to standardize the management of investor relations of Chongqing Chongqing Three Gorges Water Conservancy And Electric Power Co.Ltd(600116) electric power (Group) Co., Ltd. (hereinafter referred to as "the company"), strengthen communication with investors and potential investors, promote the company to improve governance and standardize operation, improve the quality of listed companies, and effectively protect the legitimate rights and interests of investors, especially small and medium-sized investors, In accordance with the company law of the people's Republic of China, the securities law of the people's Republic of China (hereinafter referred to as the "Securities Law"), the guidelines for self regulatory supervision of listed companies on Shanghai Stock Exchange No. 1 - standardized operation, other relevant laws and regulations, normative documents, the articles of association of Chongqing Chongqing Three Gorges Water Conservancy And Electric Power Co.Ltd(600116) electric power (Group) Co., Ltd. (hereinafter referred to as the "articles of association") and other relevant provisions, and in combination with the actual situation of the company, This system is formulated.
Article 2 investor relations management means that the company strengthens communication with investors and potential investors through interactive communication, appeal handling, information disclosure and shareholder rights protection, so as to enhance investors' understanding and recognition of the company, so as to improve the level of corporate governance and the overall value of the enterprise, and form a corporate culture of respecting investors, respecting investors and rewarding investors, So as to protect the legitimate rights and interests of investors and maximize the overall interests of the company.
Article 3 the purpose of investor relations management of the company is:
(I) strengthen communication and enhance investors' understanding and recognition of the company;
(II) enhance mutual trust, establish a high-quality and stable investor base and obtain long-term market support;
(III) enhance awareness and form a corporate culture of respecting, respecting and rewarding investors; (IV) the investment philosophy of sharing development and guiding the maximization of the company's overall interests and the growth of shareholders' wealth.
(V) establish an image, treat investors in good faith, improve the transparency of the company and establish a good image of the company's capital market.
Article 4 the basic principles of investor relations management of the company are:
(I) compliance principle. Actively manage investor relations on the basis of complying with relevant laws and regulations and disclosing information truthfully, accurately, completely, timely and fairly.
(II) initiative principle. Actively carry out investor relations management activities, listen to investors' opinions and suggestions, and respond to investors' demands in a timely manner.
(III) principle of equality. Treat all investors equally, especially create opportunities for small and medium-sized investors to participate in investor relations management activities.
(IV) the principle of honesty and trustworthiness. Pay attention to integrity, abide by the bottom line, be responsible and responsible, and cultivate a healthy and good market ecology.
Chapter II Contents and methods of investor relations management
Article 5 communication between investors and the company mainly includes:
(I) statutory information disclosure and explanation;
(II) development strategy of the company;
(III) operation and management information that can be disclosed by the company according to law;
(IV) environmental protection, social responsibility and corporate governance information that can be disclosed by the company according to law;
(V) corporate culture construction;
(VI) ways, means and procedures for the exercise of shareholders' rights;
(VII) collect the demand information of investors;
(VIII) other relevant information of the company.
Article 6 the company adopts multi-channel, multi platform and multi-mode to carry out investor relations management and provide convenience for investor exchanges, including but not limited to: information disclosure, general meeting of shareholders, performance description meeting, roadshow, activities of investors entering listed companies, discussion and exchange, analyst meeting, company website, new media platform, telephone, fax, e-mail, media interview or news report, etc.
Article 7 the company's website shall set up an investor relations column to timely publish and update the relevant materials disclosed in the company's announcement and information on investor relations management. The company sets up special investor consultation telephone, fax and e-mail, which are in the charge of a specially assigned person familiar with the situation to ensure that the line is unblocked during working hours, and carefully and friendly answer, receive and reply. Investors can also put forward consultation and suggestions to the company through the SSE e interactive platform. The company will check and reply in time, and actively handle and handle the relevant complaints of investors according to law.
Article 8 when the company arranges investors and analysts to visit, discuss and communicate with the company on site, or organize relevant promotion activities, it shall reasonably and properly arrange the activity process to avoid visitors from contacting the unpublished major event information, and it is prohibited to disclose, disclose or divulge the unpublished major information without authorization.
Article 9 in the course of investor relations activities, if the questions answered involve unpublished material information, or
Article 10 the general meeting of shareholders of the company provides online voting to facilitate shareholders, especially minority shareholders, to participate in the general meeting of shareholders.
Article 11 in case of any of the following circumstances, the company shall timely hold an investor briefing meeting to introduce the situation, answer questions and listen to suggestions to investors:
(I) the cash dividend level of the company in the current year does not meet the relevant regulations, and the reasons need to be explained;
(II) the company terminates the reorganization after disclosing the reorganization plan or reorganization report;
(III) there are abnormal fluctuations in the company's securities trading as stipulated in relevant rules, and the company finds that there are undisclosed major events after verification;
(IV) major events related to the company are highly concerned or questioned by the market;
(V) other circumstances where an investor briefing meeting should be held in accordance with the provisions of the CSRC and the Shanghai Stock Exchange.
The company will make a prior announcement before the investor briefing meeting, publicly explain the situation of the meeting afterwards, and provide convenience for investors by means of online participation.
Article 12 the company can communicate and exchange the company's situation, answer questions and listen to relevant opinions and suggestions through roadshows, analyst meetings and other means, but shall not provide undisclosed major information of the company. The relevant information provided shall be equally provided to other investors.
Article 13 the company shall timely pay attention to the publicity reports of the media. If there are major misunderstandings or substantive errors in the relevant reports that may mislead investors, the company shall require the relevant media to make corrections in time and clarify them according to the situation.
Chapter III Organization and implementation of investor relations management
Article 14 the Secretary of the board of directors is the main person in charge of the company's investor relations management, and the office of the board of directors is responsible for handling the specific affairs of investor relations management.
Article 15 directors, supervisors, senior managers, heads of departments, branches, subsidiaries and joint-stock companies of the company shall provide convenience for investor relations management and participate in investor relations management activities according to actual needs; Before receiving investors, securities analysts and other research or media interviews, the Secretary of the board of directors shall be informed in advance and opinions on relevant matters shall be sought. In principle, the Secretary of the board of directors shall participate in the whole investigation.
For direct communication with research institutions and individuals, in addition to being invited to participate in the investment strategy analysis meeting held by institutions such as the Research Institute of securities companies, the company shall also require the research institutions and individuals to issue unit certificates, ID cards and other materials, and sign a letter of commitment with them.
The company shall form written research records on the research process and communication contents, and the personnel participating in the research and the Secretary of the board of directors shall sign for confirmation.
Article 16 the office of the board of directors of the company shall verify the relevant information after receiving the research, and require the research institutions and individuals to inform the office of the board of directors of the research reports, press releases and other documents formed based on exchange and communication before release or use,
If any error or misleading record is found in the documents mentioned in the preceding paragraph during the verification, it shall be required to correct it. If the other party refuses to correct it, the company shall make a public announcement in a timely manner; If it is found that the above-mentioned documents involve unpublished material information, it shall immediately report to the Shanghai Stock Exchange and make an announcement. At the same time, it is required that the research institutions and individuals shall not disclose the information before the formal announcement of the company, and clearly inform them that they shall not buy or sell or suggest others to buy or sell the company's shares and their derivatives during this period.
Article 17 the main responsibilities of the company's investor relations management include:
(I) formulate investor relations management system;
(II) organize timely and proper handling of investor consultation, complaints and suggestions, and regularly feed back to the board of directors and management of the company;
(III) manage, operate and maintain relevant channels and platforms for investor relations management;
(IV) organize investor relations management activities to communicate with investors;
(V) statistical analysis of the number, composition and changes of the company's investors;
(VI) carry out other activities conducive to improving investor relations.
Article 18 when carrying out investor relations management, the company and its directors, supervisors, senior managers, staff and other personnel at all levels shall strictly review the information transmitted to the outside world, comply with laws and regulations and relevant provisions of the exchange, reflect the principles of fairness, impartiality and openness, objectively, truly, accurately and completely introduce and reflect the actual situation of the company, and shall not be under the following circumstances:
(I) disclose or divulge material information that has not been publicly disclosed;
(II) publishing false or misleading contents and making exaggerated publicity and misleading tips; (III) make expectations or commitments on the price of the company's shares and their derivatives;
(IV) engaging in acts of discrimination, contempt and other unfair treatment of minority shareholders;
(V) engaging in other illegal acts in violation of information disclosure rules or suspected of manipulating the securities market and insider trading.
Article 19 the investor relations management personnel of the company shall have a comprehensive understanding of the company, have the professional knowledge necessary to perform their duties, be familiar with relevant laws and regulations and the operation mechanism of the securities market, and have good communication and coordination skills, good conduct and professional quality.
Article 20 the company shall establish investor relations management files to record the participants in investor relations activities, time, place, communication content, the handling process of major information disclosure not publicly disclosed and the accountability (if any).
The investor relations management archives shall be classified according to the way of investor relations management, and the relevant records, on-site recordings, presentations, documents (if any) provided in the activities and other documents shall be archived and properly kept. The archives shall be managed by the office of the board of directors and shall be kept for 3 years.
The company will record in detail the investigation, communication, interview and other activities of accepting or inviting specific objects, including the time, place, method, name of the party, the content of the company discussed in the activity, relevant materials provided, etc., and fulfill the obligation of disclosure in accordance with the relevant requirements of Shanghai Stock Exchange.
Article 21 if necessary, the company may employ professional institutions to assist in planning and handling investor relations, including media relations, development strategy, investor relations management training and relevant meeting arrangements. Article 22 the company regularly conducts systematic training on investor relations management for controlling shareholders, actual controllers, directors, supervisors, senior managers and relevant personnel to enhance their understanding of relevant laws and regulations, relevant provisions of Shanghai Stock Exchange and rules and regulations of the company.
Chapter IV handling of emergencies
Article 23 in case of major emergencies, including but not limited to natural disasters, major safety and environmental accidents, major public opinion and other matters that may have a significant impact on the company, the head of the relevant unit or department shall report to the general manager and the Secretary of the board of directors at the first time.
Article 24 the Secretary of the board of directors shall organize and coordinate all functional departments to verify the true situation from relevant parties in time. If necessary, he shall inquire in writing and report the situation to the board of directors, who shall make relevant arrangements for emergencies.
Article 25 the Secretary of the board of directors shall fully communicate with investors according to the deployment of the board of directors and actively maintain the public image of the company.
Chapter V supplementary provisions
Article 26 matters not covered in this system shall be implemented in accordance with relevant national laws, regulations, normative documents, articles of association and other relevant provisions.
Article 27 the system shall be interpreted and revised by the board of directors of the company.
Article 28 this system shall come into force from the date when it is deliberated and adopted by the board of directors of the company.
