Fujian Rongji Software Co.Ltd(002474) internal control rules implementation self inspection form
Securities code: Fujian Rongji Software Co.Ltd(002474) securities abbreviation: Fujian Rongji Software Co.Ltd(002474) 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 operation of the audit committee 1. Whether the head of the internal audit department is full-time and nominated by the audit committee and appointed and removed by the board of directors. 2. Whether the company has set up an internal audit department independent of the financial department is whether it is equipped with full-time internal auditors. 3. Whether the internal audit department reports to the audit committee at least once a quarter.
4. Does the internal audit department conduct at least quarterly ----
First inspection:
(1) The deposit and use of raised funds are
(2) External guarantee is
(3) Related party transactions are
(4) Securities investment is
(5) Venture capital is
(6) External financial assistance is
(7) The purchase and sale of assets is
(8) Foreign investment is
(9) The company's large capital transactions are
(10) 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 the internal audit progress, quality and major problems found to the board of directors at least once a quarter. 7. Whether the internal audit department submits the annual 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 an information disclosure management system and major information is an internal confidentiality system. 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.
Fujian Rongji Software Co.Ltd(002474) internal control rules implementation self inspection form
4. Within two trading days after the end of the investor relations activities each time, whether the company prepares the record form of investor relations activities and timely publishes the form and the presentations, documents and other attachments (if any) used in the process of the activities on the interactive website of Shenzhen Stock Exchange, and at the same time 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 disclosure of insider information 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 a person with inside information conducts insider trading, divulges inside information or suggests that he is a person who uses inside 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 notify 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 company strictly implements the approval authority and review procedures for related party transactions, and timely performs the obligation of information disclosure. 4、 Internal control of raised funds 1. Whether the company and its subsidiaries implementing the raised funds project store the raised funds in a special account and timely sign the tripartite supervision agreement on raised funds. 2. Whether the internal audit department conducts an audit on the use and storage of the raised funds at least once a quarter, and gives opinions on the authenticity and compliance of the use of the raised 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, and has not used the raised funds for risk investment, direct or indirect investment in companies whose main business is trading securities, or for pledge, entrusted loan and other investments that change the purpose of the raised funds in a disguised manner. 4. Whether the company has not used idle raised funds to temporarily supplement working capital within 12 months after venture capital investment, has not changed the investment direction of raised funds to permanently supplement working capital, and has not permanently used the over raised funds to supplement working capital or repay bank loans. 5、 Internal control of related party transactions 1. Whether the company reports the related party information to the Shenzhen stock exchange through the "data filling: related party data filling" column of the business area of the Shenzhen Stock Exchange within 10 trading days after the IPO listing. If the related persons and their information are changed, whether the company will update them 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 the capital transactions between the company and related persons at least once a quarter. 3. Whether the company has defined the approval authority of the general meeting of shareholders and the board of directors on related party transactions, formulated corresponding review procedures and implemented them.
Fujian Rongji Software Co.Ltd(002474) internal control rules implementation self inspection form
4. Whether the company's directors, supervisors, senior managers, controlling shareholders, actual controllers and their affiliates do not directly, indirectly or in disguised form account for the funds of the listed company.
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 violation of the approval authority and review procedure. 2. Whether the external guarantee of the company strictly implements the approval authority and review 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 review 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) temporarily replenishing working capital with idle raised funds; (2) Within 12 months after changing the investment direction of the raised funds to permanent supplementary 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 and actual controller change, the new thing is whether the controlling shareholder and actual controller complete the signing and filing of the statement and commitment of the controlling shareholder and actual controller within one month after completing 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, does the independent director use the number of days without the name of the independent director every year
In less than ten days, sun min 16 is responsible for the production and operation status, management and internal management of the company
Construction and implementation of control and other systems and implementation of resolutions of the board of directors Ye Dongyi 17
And so on. Hu Jirong 17
Fujian Rongji Software Co.Ltd(002474) board of directors April 1, 2022
