Sinolink Securities Co.Ltd(600109)
About Chaojie fastening system (Shanghai) Co., Ltd
Tracking report during continuous supervision in 2021
Name of Sponsor: Sinolink Securities Co.Ltd(600109) abbreviation of the sponsored company: Essence Fastening Systems (Shanghai) Co.Ltd(301005)
Name of sponsor representative: Fu haiguang Tel.: 021 Suzhou Gyz Electronic Technology Co.Ltd(688260) 21
Name of sponsor representative: Wang Xiaojiang 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. For important resolutions of the third board of directors and other important information disclosure matters, the sponsor representatives have reviewed them in advance and in accordance with the relevant requirements of Shenzhen Stock Exchange, Issued verification opinions on some information disclosure matters; For ordinary non important information disclosure matters, the sponsor representative reviewed them afterwards.
(2) The number of times the company’s information disclosure documents were not reviewed in time 0 times 2. Supervision of the company’s establishment, improvement and effective implementation of rules and regulations (1) whether the company was supervised to establish and improve rules and regulations (including but not limited to the sponsor to prevent related parties from occupying the company’s resources, and the company has been supervised to establish and improve relevant rules and regulations, fund-raising management system, internal control system, internal system audit system and 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 once
Project work content
(2) Whether the progress of the company’s fund-raising projects is consistent with the information disclosure documents 4 Corporate governance supervision
(1) Number of attending the general meeting of shareholders of the company as nonvoting delegates
(2) Times of attending the board of directors of the company as nonvoting delegates
(3) Times of attending the board of supervisors of the company as nonvoting delegates
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 is (3) the main problems found in the on-site inspection and the rectification are not found. 6 Special opinions issued
(1) 4 times of special opinions
(2) Issues involved in issuing non consenting opinions and concluding comments none 7 Report the situation to the Institute (except for the on-site inspection report)
(1) 4 times reported to the exchange
(2) Main contents of the report 1. Sinolink Securities Co.Ltd(600109) verification opinions on the adjustment of the varieties and amount of idle self owned fund cash management investment of Chaojie fastening system (Shanghai) Co., Ltd
2. Sinolink Securities Co.Ltd(600109) verification opinions on Chaojie fastening system (Shanghai) Co., Ltd. using raised funds to replace pre invested raised project funds and self raised funds with paid issuance expenses
3. Sinolink Securities Co.Ltd(600109) verification opinions on the use of raised funds by Chaojie fastening system (Shanghai) Co., Ltd. to increase capital to wholly-owned subsidiaries for the implementation of raised investment projects
4. Sinolink Securities Co.Ltd(600109) verification opinions on Chaojie fastening system (Shanghai) Co., Ltd. using some idle raised funds and self owned funds for cash management
(3) The progress or rectification of the reported items is progressing smoothly
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 record and storage of the working paper of the recommendation business are in compliance with the relevant regulations. The working paper of the recommendation business has been established in accordance with the relevant regulations to record and store the compliance
10. Training for listed companies
(1) Training times: 1 time
(2) Training date: December 17, 2021
(3) Main contents of the training this training mainly focuses on the normative issues of the reduction of shares held by shareholders, directors, supervisors and senior executives of listed companies, The laws and regulations involved mainly include the securities law, several provisions on the reduction of shares held by shareholders, directors, supervisors and senior managers of listed companies, and the implementation rules for the reduction of shares held by shareholders, directors, supervisors and senior managers of Listed Companies in Shenzhen Stock Exchange Shenzhen Stock Exchange self regulatory guidelines for listed companies No. 2 – standardized operation of GEM listed companies, etc.
11. Other work description of sponsor
(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
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 applicable
implement
3. The operation of the “three sessions” is applicable
4. Neither controlling shareholder nor actual controller is applicable
change
5. The deposit and use of raised funds are applicable
6. Connected transactions are not applicable
7. All external guarantees are applicable
8. The purchase and sale of assets are applicable
9. Other business categories and important matters
(including foreign investment and venture capital)
Capital, entrusted financial management, financial assistance, hedging, etc.) 10. The issuer or its employees
It is applicable for securities service institutions to cooperate with sponsors
Work done 11 Others (including business environment
Business development, financial status and management are applicable
Major changes in management status, core technology, etc.)
3、 Performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
1. The commitment of share locking is not applicable
2. Shareholders holding more than 5% of shares
Yes, not applicable
Intention and commitment of reduction intention
3. The stock price commitment is not applicable
4. Diluted immediate return
Yes, not applicable
Commitments made
5. The commitment of profit distribution policy is not applicable
6. About the absence of false records
Misleading statements or material omissions are not applicable
Omitted commitment 7. On fraudulent issuance and listing
Yes, not applicable
Share repurchase commitment 8. Avoiding horizontal competition and regulating
Yes, not applicable
Commitment to reduce related party transactions
Yes, not applicable
Commitment to binding measures 10. Special measures for shareholders’ information disclosure
Yes, not applicable
promise
4、 Other matters
Description of report items
1. Change of sponsor representative and its reasons in August 2021, due to the resignation of the original sponsor representatives Liu haotuo and Wang qianglin, the sponsor representatives of the project were changed to Fu Haiguang and Wang Xiaojiang.
2. During the reporting period, the CSRC and the bourse recommended the listing owner and rectification of shenxianyuan Shenye Co., Ltd. to the sponsor (1) on February 7, 2021 due to Sinolink Securities Co.Ltd(600109) action or the company it recommended to take regulatory measures, and failed to be diligent and responsible, and the verification of major contracts of the listed company was insufficient, The China Securities Regulatory Commission issued [2021] No. 17 decision on administrative supervision measures, which issued a warning letter to Sinolink Securities Co.Ltd(600109) take supervision measures Sinolink Securities Co.Ltd(600109) made the following rectification: 1. Revised and improved the new
