Sinolink Securities Co.Ltd(600109)
About Hangzhou Dadi Haiyang Environmental Protection Co.Ltd(301068)
2021 continuous supervision and tracking report
Name of recommendation institution: Sinolink Securities Co.Ltd(600109) abbreviation of the recommended company: Hangzhou Dadi Haiyang Environmental Protection Co.Ltd(301068)
Name of sponsor representative: Lin Lan Tel: 021 Suzhou Gyz Electronic Technology Co.Ltd(688260) 21
Name of sponsor representative: Fan Jun Tel: 021 Suzhou Gyz Electronic Technology Co.Ltd(688260) 21
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) The number of times the company's information disclosure documents were not reviewed in time was 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)
(limited to the system of preventing related parties from occupying the company's resources, the management system of raised funds, the internal control system, the internal audit system and the related party transaction system)
(2) Whether the company effectively implements relevant rules and regulations is
3. Supervision of raised funds
(1) Query the company's special account for raised funds twice
(2) Is the progress of the company's fund-raising project consistent with the information disclosure documents
Consistent 4 Corporate governance supervision
(1) The number of times of attending the general meeting of shareholders of the company is 0
(2) Times of attending the board of directors of the company 0 times
(3) Times of attending the board of supervisors of the company as nonvoting delegates: 0
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) 3 times of independent opinions
(2) Issues involved in issuing non consenting opinions and concluding comments 0 times
7. Report to the Institute (except for the on-site inspection report)
(1) 0 times reported to the exchange
(2) The main contents of the report are not applicable
(3) Rectification progress report or inapplicability
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: October 28, 2021
(3) The main contents of the training include information disclosure, corporate governance Training on the use of raised funds and the rules for shareholders of listed companies to reduce their shares.
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. Other business categories and important matters (including
Foreign investment, venture capital, entrusted financial management and finance are all applicable
Financial assistance, hedging, etc.)
10. None of the issuer or its intermediary agencies is applicable
11. Cooperation of sponsor Others (including business environment and business development)
Exhibition, financial status, management status and core technology are all applicable
Major changes in operation, etc.)
3、 Performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders have been fulfilled, the reasons for non fulfillment of commitments and Solutions
1. Shareholders' commitment to voluntarily lock up shares is not applicable
2. The intention of shareholding and reduction of shareholders holding more than 5% before this issuance is not applicable
Commitment to
3. The plan and commitment to stabilize the stock price are not applicable
4. The measures and commitments of share repurchase and share repurchase are not applicable
5. Share repurchases and share repurchase commitments for fraudulent issuance and listing are not applicable
6. Measures and commitments to cover diluted immediate returns are not applicable
7. The commitment of profit distribution policy is not applicable
8. The commitment to avoid horizontal competition is not applicable
9. The commitment to reduce and regulate related party transactions is not applicable
10. The commitment not to occupy the company's funds is not applicable
11. The commitment to assume liability according to law is not applicable
12. The binding measures on the commitments of relevant responsible subjects are not applicable
13. The relevant commitments of shareholders' information disclosure are not applicable
4、 Other matters
Description of report items
On November 10, 2021, Mr. Wei Ming, the sponsor representative originally appointed by the sponsor, was no longer responsible for the continuous supervision of Hangzhou Dadi Haiyang Environmental Protection Co.Ltd(301068) initial public offering and listing on the gem due to job changes.
In order to ensure the follow-up, 1 Change of sponsor representative and its reasons
The continuous supervision work was carried out in an orderly manner. The recommendation Agency decided to appoint Mr. Fan Jun to replace Mr. Wei Ming as the recommendation representative of the company's continuous supervision work and continue to perform relevant continuous supervision duties.
On February 7, 2021, because Sinolink Securities Co.Ltd(600109) was recommended to be listed as the sponsor securities company of shenxianyuan Shenye Co., Ltd., it was not 2 During the reporting period, the CSRC and the bourse were diligent and responsible to the recommendation institutions, and the verification of major contracts of listed companies was insufficient. The CSRC issued [2021] No. 17 decision of administrative regulators on matters requiring regulatory measures and rectification measures for companies recommended by them, and issued a warning letter on Sinolink Securities Co.Ltd(600109) measures
Regulatory measures Sinolink Securities Co.Ltd(600109) make the following rectification: 1. Revise and improve the listing standard of the new third board and improve the project undertaking standard; 2. Formulate and improve the internal control system of investment banks and further consolidate the "three channels"
Line of defense "; 3. Strengthen the training of employees and improve their compliance awareness and professional skills; 4. Strictly implement the due diligence system and other regulations to improve the quality of business practice; 5. Start accountability procedures and implement accountability measures.
On March 25, 2021, because Sinolink Securities Co.Ltd(600109) and relevant personnel failed to perform relevant duties diligently in the process of recommending Shanghai Yijie industrial safety equipment Co., Ltd. for IPO and listing, Due to the inaccurate number of invention patents disclosed in the prospectus and the contradiction between the number of invention patents obtained by the issuer disclosed in the registration application documents, the CSRC issued [2021] No. 30 decision on administrative supervision measures, Take out Sinolink Securities Co.Ltd(600109) and relevant personnel
