Citic Securities Company Limited(600030)
About Ningbo Ronbay New Energy Technology Co.Ltd(688005) 2021 annual continuous supervision and tracking report
Citic Securities Company Limited(600030) (hereinafter referred to as ” Citic Securities Company Limited(600030) ” or “sponsor”) as the sponsor of Ningbo Ronbay New Energy Technology Co.Ltd(688005) (hereinafter referred to as ” Ningbo Ronbay New Energy Technology Co.Ltd(688005) ” or “company”) initial public offering of shares and listing on the science and innovation board, in accordance with the measures for the administration of securities issuance and listing sponsor business and the rules for the listing of shares on the science and Innovation Board of Shanghai Stock Exchange (revised in 2020), and other relevant provisions, Be responsible for the continuous supervision after Ningbo Ronbay New Energy Technology Co.Ltd(688005) listing, and issue the annual follow-up report of continuous supervision. 1、 Continuous supervision
No. implementation of work content
Establish, improve and effectively implement the continuous supervision system, and formulate corresponding work plans for the specific continuous supervision work that the recommendation institution has established, improved and effectively implemented. Continue the supervision system and formulate the corresponding work plan.
According to the relevant provisions of the CSRC, before the commencement of the continuous supervision, the sponsor has signed the underwriting and underwriting agreement with Ningbo Ronbay New Energy Technology Co.Ltd(688005) Ningbo Ronbay New Energy Technology Co.Ltd(688005) , signed the continuous supervision agreement with the listed company to clarify the double recommendation agreement, which defines the rights and obligations of both parties during the continuous supervision period and reported to Shanghai Securities.
Record of the exchange.
During the period of continuous supervision, if the listed company violates the law in accordance with the relevant provisions, and Ningbo Ronbay New Energy Technology Co.Ltd(688005) in 2021 did not make a public statement on the matters in violation of the rules during the period of continuous supervision, it shall report the violations to the Shanghai stock exchange that the recommendation institution is required to publicly publish according to the relevant provisions and make a statement after being reviewed by the Shanghai Stock Exchange.
Announce on the designated media.
During the period of continuous supervision, if the listed company or relevant parties violate (1) the law of Ningbo Ronbay New Energy Technology Co.Ltd(688005) the continuous supervision in 2021, violate the commitment, etc., they shall report to the chairman of Shanghai Securities and Exchange Corporation as the Secretary of the board of directors in time within five working days from the date of discovery, The contents of the report include that the listed company or relevant parties have made timely report and announcement on the regulatory measures, and the specific circumstances of violations of laws and regulations, breach of commitments and other matters, as follows:
No. implementation of work content
Supervision measures taken by the sponsor, etc. On June 11, 2021, The Shanghai Stock Exchange issued the decision on circulating a notice of criticism to Bai Houshan, then chairman and actual controller of Ningbo rongbai New Energy Technology Co., Ltd., and Zhang Yuan, then Secretary of the board of directors ([2021] No. 76), Relevant personnel of the company disclosed major information about capacity construction, actual production and output at a small-scale investor exchange meeting, and made a prediction that the future performance of the company’s main business exceeded expectations, Bai Houshan, then chairman and actual controller of the company, and Zhang Yuan, then Secretary of the board of directors, were criticized for the abnormal fluctuation of the company’s stock price.
On June 18, 2021, Ningbo regulatory bureau of China Securities Regulatory Commission issued the decision on Issuing warning letter to Bai Houshan, chairman of rongbai Technology ([2021] No. 6) The decision on issuing a warning letter to Zhang Yuan, Secretary of Ningbo Ronbay New Energy Technology Co.Ltd(688005) board of directors ([2021] No. 7) discloses the relevant information about capacity construction, production capacity and Major information such as actual production and output, and make predictions that the future performance of the company’s main business exceeds expectations, which leads to the abnormal fluctuation of the company’s stock price Zhang Yuan, then Secretary of the board of directors, took the administrative supervision measures of warning letter.
(2) The recommendation institution and the recommendation representative have urged the company and relevant responsible persons to strengthen the study of laws, regulations and normative documents of listed companies, standardize the behavior of releasing information, and prevent the recurrence of such violations.
The sponsor shall carry out continuous supervision through daily communication, regular return visit, on-site inspection and due diligence. The sponsor shall carry out continuous supervision through daily communication, regular or irregular 5 inspection, etc. To understand the operation of Ningbo Ronbay New Energy Technology Co.Ltd(688005) and carry out continuous supervision on Ningbo Ronbay New Energy Technology Co.Ltd(688005) by means of return visit.
Supervise the listed company and its directors, supervisors and senior managers in 2021, and the recommendation institution supervises Ningbo Ronbay New Energy Technology Co.Ltd(688005) and abides by laws, regulations and departmental rules, and the directors, supervisors and senior managers of Shanghai Stock Exchange abide by laws, 6 issued business rules and other normative documents, and earnestly fulfill the regulations, departmental rules and various commitments made by Shanghai Stock Exchange. Business rules and other normative documents, and earnestly fulfill its commitments.
No. implementation of work content
Supervise listed companies to establish, improve and effectively implement corporate governance, and the recommendation institution shall urge Ningbo Ronbay New Energy Technology Co.Ltd(688005) to improve and improve the corporate governance system in accordance with relevant regulations, including but not limited to the general meeting of shareholders, the board of directors and supervisors, and strictly implement the rules of procedure of the general meeting and the corporate governance system of directors, supervisors and senior managers.
Code of conduct, etc.
Supervise the listed companies to establish, improve and effectively implement the internal control system. The recommendation institution has verified the establishment, implementation and effectiveness of Ningbo Ronbay New Energy Technology Co.Ltd(688005) the internal control system, including but not limited to the financial management system, accounting system, encyclopedia 8 and internal audit system, as well as the internal control system for the use of raised funds and related technologies, which meet the requirements of relevant laws and regulations and are easy to obtain, external guarantee, external investment, derivatives trading The effective implementation of the subsidiary can ensure the standardization of the company and the procedures and rules of major business decisions such as the control of the company. that ‘s ok.
Supervise listed companies to establish, improve and effectively implement information disclosure
System, review the information disclosure documents and other relevant documents, and the recommendation institution urges Ningbo Ronbay New Energy Technology Co.Ltd(688005) strictly implement the information system. 9. There are sufficient reasons to believe that the listed company’s disclosure system to Shanghai Stock Exchange, review the information disclosure documents and other submitted documents, and there are no false records, misleading statements or important documents.
Big omission.
Information disclosure documents of listed companies and reports to the CSRC
Other documents submitted by Shanghai Stock Exchange shall be examined in advance
Read and urge the company to timely supervise the information disclosure documents with problems
If it is corrected or supplemented, and the company does not correct or supplement, it shall
Report to Shanghai Stock Exchange in time; If the credit recommendation institution of a listed company fails to review the information disclosure document of Ningbo Ronbay New Energy Technology Co.Ltd(688005) in advance, it shall review the information disclosure document of Ningbo Ronbay New Energy Technology Co.Ltd(688005) before the listed company. There are no problems that should be reported to the exchange within five trading days after timely performing the obligation of information disclosure to Shanghai Securities.
Review of relevant documents and information disclosure documents with problems
A listed company shall be urged to correct or supplement the documents in a timely manner
If it is not corrected or supplemented, it shall report to the Shanghai Stock Exchange in time
report
No. implementation of work content
In 2021, the company’s relevant personnel had the following regulatory measures taken by the regulatory authority:
(1) On June 11, 2021, The Shanghai Stock Exchange issued the decision on circulating a notice of criticism to Bai Houshan, then chairman and actual controller of Ningbo rongbai New Energy Technology Co., Ltd., and Zhang Yuan, then Secretary of the board of directors ([2021] No. 76), Relevant personnel of the company disclosed major information about capacity construction, actual production and output at a small-scale investor exchange meeting, and made a prediction that the future performance of the company’s main business exceeded expectations, Bai Houshan, then chairman and actual controller of the company, and Zhang Yuan, then Secretary of the board of directors, were criticized for the abnormal fluctuation of the company’s stock price.
Focus on the listed company or its controlling shareholders, actual controllers and directors 2021
