Guangdong Chaohua Technology Co.Ltd(002288) internal control rules implementation self inspection form
Securities code: Guangdong Chaohua Technology Co.Ltd(002288) securities abbreviation: Guangdong Chaohua Technology Co.Ltd(002288)
Self inspection form for the implementation of internal control rules
Internal control rules implementation self inspection items yes / no / inapplicable description
1、 Internal audit and audit committee operations
1. Whether the person in charge of the internal audit department is full-time, and the person in charge of the internal audit is full-time, but it is not nominated by the audit committee, and the board of directors appoints and removes it. Nominated by the Planning Committee and appointed and removed by the board of directors.
2. Whether the company has established an internal audit department independent of the financial department, and whether it is equipped with full-time internal auditors. 3. Whether the internal audit department reports to the audit committee at least quarterly.
4. Is the internal audit department responsible for the following matters at least quarterly —–
Conduct an inspection:
(1) The deposit and use of raised funds are not applicable. The company’s raised funds have been used up
(2) External guarantee is
(3) Related party transactions are
(4) Securities investment is not applicable. The company has not made securities investment
(5) Venture capital is not applicable. The company has not made venture capital
(6) External financial assistance is not applicable. The company has not provided external financial assistance
(7) The purchase and sale of assets is
(8) Foreign investment is
(9) The company’s large capital transactions are
(10) Inapplicability of capital transactions between the company and directors, supervisors, senior managers, controlling shareholders, actual controllers and their affiliates 5. Whether the audit committee holds meetings at least once a quarter to review the work plans and reports submitted by the internal audit department. 6. Whether the audit committee reports to the board of directors at least once a quarter on the progress and quality of internal audit work and the major problems found. 7. Whether the internal audit department submits the annual internal audit work report and the next annual internal audit work plan to the Audit Committee on time. 2、 Internal control of information disclosure 1. Whether the company has formulated information disclosure management system and internal confidentiality system of major information. 2. Whether the company appoints or authorizes the Secretary of the board of directors or securities affairs representative to check the investor’s questions on the interactive website and reply in a timely and complete manner. 3. Whether the company requires specific objects to sign a letter of commitment before communicating directly with specific objects. 4. The company makes two payments after the investor relations activities
Guangdong Chaohua Technology Co.Ltd(002288) internal control rules implementation self inspection form
Whether the record form of investor relations activities is prepared within the trading day, and the form and the presentations used in the process of the activities, documents and other attachments (if any) are published on the interactive trading website of Shenzhen Stock Exchange in time, as well as on the company’s website (if any). 3、 Internal control of insider trading 1. Whether the company has established a registration management system for insider information insiders, which stipulates the confidentiality management of insider information and the registration management of insider information insiders before the insider information is publicly disclosed according to law. 2. Whether the company fills in the archives of insiders of listed companies before the public disclosure of insider information according to law, and forms a memorandum on the progress of major events when planning major events, and whether relevant personnel sign on the Memorandum for confirmation. 3. Whether the company conducts self inspection on the trading of the company’s securities and their derivatives by insiders within 5 trading days after the announcement of the annual report, semi annual report and relevant major events. If it is found that the insider makes insider trading, divulges insider information or suggests others to use insider information for trading, whether to verify and investigate the responsibility, and submit the relevant situation and handling results to Shenzhen Stock Exchange and local securities regulatory bureau within 2 working days. 4. Whether the company’s directors, supervisors, senior managers, securities affairs representatives and the spouses of the above-mentioned persons have notified the Secretary of the board of directors in writing of their trading plans before buying and selling the company’s shares and their derivatives. 5. Whether the related party transactions of the company strictly implement the approval authority and procedures, and timely perform the obligation of information disclosure. 4、 Internal control of raised funds 1. Whether the company and its subsidiaries implementing the raised funds project are responsible for
The raised funds shall be stored in a special account and the “raised funds not applicable” shall be signed in time. The raised funds of the company have been used up
Tripartite supervision agreement on gold. 2. Does the internal audit department review the raised funds at least quarterly
An audit shall be conducted on the use and storage of the company, and the raised funds of the company that are not applicable to the raising have been used up
Express opinions on the authenticity and compliance of the use of funds. 3. Except for financial enterprises, whether the company has not invested the raised funds in financial investments such as holding trading financial assets and financial assets available for sale, lending to others and entrusted financial management,
The raised funds have not been used for venture capital, and are not applicable directly or indirectly. The raised funds of the company have been used up
Invest in companies whose main business is to buy and sell securities, or invest in pledge, entrusted loans and other investments that change the purpose of the raised funds in a disguised form. 4. Whether the company has not used idle raised funds to temporarily supplement working capital within 12 months after venture capital investment,
Failure to change the investment direction of raised funds into permanent supplementary working capital is not applicable. The company has not made venture capital investment
The over raised funds are not permanently used to supplement working capital or repay bank loans.
5、 Internal control of related party transactions 1. Whether the company reports the information of related parties to the Shenzhen stock exchange through the column of “data filling: related party data filling” in the business area of the Shenzhen Stock Exchange within 10 trading days after the IPO listing. If the related person and its information change, whether the company updates it within 2 trading days. Whether the related person information reported by the company is true, accurate and complete. 2. Whether the independent directors and supervisors of the company check at least quarterly yes
Guangdong Chaohua Technology Co.Ltd(002288) internal control rules implementation self inspection form
A capital transaction between the company and related persons. 3. Whether the company has defined the approval authority of the general meeting of shareholders and the board of directors for related party transactions, formulated corresponding review procedures, and implemented them. 4. Whether the company’s directors, supervisors, senior managers, controlling shareholders, actual controllers and their affiliates do not occupy the funds of the listed company directly, indirectly or in disguised form. 6、 Internal control of external guarantee 1. Whether the company has specified in the articles of association the approval authority of the general meeting of shareholders and the board of directors on external guarantee matters and the accountability system for violating the approval authority and deliberation procedures. 2. Whether the external guarantee of the company strictly implements the approval authority and procedures, and timely performs the obligation of information disclosure. 7、 Internal control of major investment 1. Whether the company has defined the approval authority and review procedures of the general meeting of shareholders and the board of directors for major investment in the articles of association, and whether the relevant approval authority and review procedures comply with the provisions of laws and regulations and the business rules of Shenzhen Stock Exchange. 2. Whether the company strictly implements the approval authority and procedures for major investments, and timely performs the obligation of information disclosure. 3. Whether the company has not made venture capital investment in the following periods: (1) use idle raised funds to temporarily supplement the working capital period
Room; (2) Changing the investment direction of raised funds to permanent supplement is not applicable. The raised funds of the company have been used up
Within 12 months after the of working capital; (3) Within 12 months after the over raised funds are permanently used to supplement working capital or repay bank loans. 8、 Other important matters 1. Whether the controlling shareholder and actual controller of the company have signed the statement and commitment of controlling shareholder and actual controller and reported to Shenzhen Stock Exchange and the board of directors of the company for the record. If the controlling shareholder or actual controller changes, whether the new controlling shareholder or actual controller completes the signing and filing of the statement and commitment of the controlling shareholder and actual controller within one month after the change. 2. Whether the directors, supervisors and senior managers of the company have signed and timely updated the declaration and commitment of directors, supervisors and senior managers, and then reported to Shenzhen Stock Exchange and the board of directors of the company for filing.
3. In addition to attending the board meeting, whether the independent director has the name and number of days of the independent director each year
Make use of no less than ten days to strengthen the company’s production and operation status
Shao Xijuan 10 is the construction and implementation of systems such as situation, management and internal control
Conduct on-site inspection on the implementation of the resolution of the board of directors. Xu Jinhuan 10
Guangdong Chaohua Technology Co.Ltd(002288) board of directors March 30, 2002
