Shenzhen Success Electronics Co.Ltd(002289) internal control rules implementation self inspection form
Securities code: Shenzhen Success Electronics Co.Ltd(002289) securities abbreviation: Shenzhen Success Electronics Co.Ltd(002289) 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 former person in charge of the internal audit department of the company has been nominated by the Planning Committee in August 2021 and appointed and removed by the board of directors. Resigned on March 3
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 to report to the internal audit committee at least once a quarter.
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
(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) The capital transactions between the company and its directors, supervisors, senior managers, controlling shareholders, actual controllers and their affiliates 5. Whether the audit committee holds a meeting at least once a quarter to review the work plan and report 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 will pay two bills each time after the investor relations activities
Whether the investor relations activity record form is prepared within the trading day is not applicable to 2021. The company has no activities such as receiving research, presenting the form and the presentation, communication and interview used in the process of the activity.
Documents and other attachments (if any) provided by the company shall be exchanged in Shenzhen Stock Exchange in time
Shenzhen Success Electronics Co.Ltd(002289) internal control rules implementation self inspection form
Published on the website and 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 store the raised funds in a special account and sign the tripartite supervision agreement on raised funds in time. 2. Whether the internal audit department audits 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, has the company not invested the raised funds in the held trading financial assets and available for sale funds
Financial investments such as financing assets, lending to others and entrusted financial management are not applicable. During the reporting period, the company has no use of the raised funds, has not used the raised funds for venture capital, directly or indirectly invested in companies whose main business is the purchase and sale of securities, or used 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, changed the investment direction of raised funds to permanently supplement working capital, and permanently used the over raised funds to supplement working capital or repay bank loans within 12 months after venture capital investment. 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 the capital transactions between the company and related persons at least once a quarter. 3. Whether the company has made it clear that the general meeting of shareholders and the board of directors are responsible for the related party transactions
Shenzhen Success Electronics Co.Ltd(002289) internal control rules implementation self inspection form
Yi's approval authority, formulate corresponding review procedures and implement 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 company's external guarantee strictly implements the approval authority and whether the company has no external guarantee during the reporting period
Discuss procedures and fulfill the obligation of information disclosure in time. 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 to the company's risk-free investment during the reporting period
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
Using no less than ten days, the production and operation status of the company is Wu Yupu 10
Construction and implementation of systems such as, management and internal control
Conduct on-site inspection on the implementation of the resolution of the board of directors. Rao Yanchao 11
Shenzhen Success Electronics Co.Ltd(002289) board of directors April 6, 2002
