Northeast Securities Co.Ltd(000686) independent director
Independent opinions on the appointment of senior managers by the company
As an independent director of Northeast Securities Co.Ltd(000686) (hereinafter referred to as “the company”), we have carefully considered the proposal on the appointment of the company’s chief information officer and relevant materials at the fifth extraordinary meeting of the 10th board of directors in 2022 in accordance with the company law, the securities law, the guidelines for the governance of listed companies, the Listing Rules of Shenzhen Stock Exchange and other laws and regulations and the articles of association, Based on the position of independent judgment, the following independent opinions are expressed:
1、 The nomination, deliberation and voting procedures for the appointment of Mr. Kong Yaya as the chief information officer of the company by the board of directors comply with the provisions of the company law, the securities law and other relevant laws and regulations and the articles of association.
2、 After verification, Mr. Kong Yaya meets the requirements for holding the post of chief information officer of a securities company as stipulated in the company law, the measures for the supervision and administration of directors, supervisors, senior managers and employees of securities fund operating institutions and the articles of association. It is not found that he violates laws and regulations and is not allowed to serve as senior managers of the company.
3、 It is agreed that the board of directors of the company shall appoint Mr. Kong Yaya as the chief information officer of the company. Independent director: Shi Jichun, Li Dongfang, Cui Jun, Wang Wensheng, Ren Chong
April 1, 2002
