Minmetals Securities Co., Ltd
About Emtek (Shenzhen) Co.Ltd(300938)
2021 continuous supervision and tracking report
Name of Sponsor: Minmetals Securities Co., Ltd. abbreviation of the sponsor: Emtek (Shenzhen) Co.Ltd(300938)
Name of sponsor representative: Wang Wenlei Tel: 075523375555
Name of sponsor representative: Shi Wei Tel: 075523375555
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) Number of times the company’s information disclosure documents were not reviewed in time 0
2. Supervise the establishment, improvement and effective implementation of rules and regulations of the company
(1) Whether to supervise the company to establish and improve rules and regulations (including but not limited to yes)
System for preventing related parties from occupying the company’s resources, fund-raising 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) Number of times to query the company’s special account for raised funds 4
(2) Is the progress of the company’s fund-raising projects consistent with the information disclosure documents
4. Corporate governance supervision
(1) The number of times of attending the general meeting of shareholders of the company as nonvoting delegates is not attended, and the meeting documents have been read
(2) The number of times of attending the company’s board of directors as nonvoting delegates is not attended, and the meeting documents have been read
(3) The number of times of attending the board of supervisors of the company as nonvoting delegates did not attend, and the meeting documents were read
5. On site inspection
(1) Number of on-site inspections: 1
(2) Whether the on-site inspection report is submitted in accordance with the provisions of the exchange yes
(3) The main problems found in the on-site inspection and the rectification are not applicable
6. Expression of independent opinions
(1) Number of independent opinions 6
(2) Issues involved in issuing non consenting opinions and concluding comments none
7. Report to the Institute (except for the on-site inspection report)
(1) Number of reports to the exchange 0
(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) Are there any matters needing attention? No
(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: September 4, 2021
(3) The main contents of the training are the Listing Rules of gem shares of Shenzhen Stock Exchange (revised in January and February 2020) The guidelines for the standardized operation of companies listed on the gem of Shenzhen Stock Exchange (revised in 2020) and the analysis of violation cases of listed companies.
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. The establishment and implementation of the company’s internal system are all applicable
3. The operation of the “three sessions” is applicable
4. Changes in controlling shareholders and actual controllers are applicable
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, venture capital, entrusted financial management, financial assistance, hedging, etc.)
10. The cooperation of the issuer or the intermediary agency hired by it is not applicable to the recommendation work
11. Others (including major changes in business environment, business development, financial affairs, management, core technology, etc.)
3、 Performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders are fulfilled, the original causes of non fulfillment of commitments and Solutions
1. The company’s controlling shareholder and actual controller’s commitment that the share lock is not applicable to the fixed, shareholding and reduction intention
2. Other shareholders who hold more than 5% of the company’s shares before this issuance are not applicable to the commitments of shareholders on share locking, shareholding and reduction intention
3. Other directors, supervisors and senior managers who hold shares of the company do not apply to the commitments of managers on share locking, shareholding and reduction intention
4. The commitment of other shareholders of the company on share locking is not applicable
5. The commitment to stabilize the stock price is not applicable
6. Commitment and liability for repurchasing under the listing law
7. The commitment of the company’s dividend distribution policy after this issuance is not applicable
8. The commitment of the controlling shareholder, actual controller and other directors and senior managers of the company to fill the diluted immediate return measures is not applicable
9. The commitment to regulate and reduce related party transactions is not applicable
10. The commitment to avoid horizontal competition is not applicable
11. Commitment that the rights of shares held are unrestricted and there is no major ownership dispute
12. The commitment of the controlling shareholder and the actual controller that the supplementary payment of social security is not applicable to the housing provident fund
13. The controlling shareholder and actual controller’s commitment on supplementary tax payment is not applicable
14. Commitment of the controlling shareholder and actual controller that the leased house of the company is not applicable to property defects
15. Commitment of controlling shareholders and actual controllers that environmental protection related matters are not applicable
16. The controlling shareholder and actual controller’s commitment that US signal phase measurement is not applicable to relevant matters
17. Commitments of the controlling shareholder and actual controller on matters related to the inapplicability of Suzhou trust survey land
4、 Other matters
Description of report items
1. Change of the sponsor representative and its reasons
2. During the reporting period, the CSRC and the bourse did not take regulatory measures against the recommendation institution or the company recommended by it and their rectification
3. Other major matters to be reported none
(no text below)
(there is no text on this page, which is the signature page of Minmetals Securities Co., Ltd. on Emtek (Shenzhen) Co.Ltd(300938) 2021 annual continuous supervision and tracking report) sponsor representative:
Wang Wenlei, Shi Wei
Minmetals Securities Co., Ltd
