Haitian Water Group Co.Ltd(603759)
Investor relations management system
Chapter I General Provisions
Article 1 in order to strengthen the information communication between Haitian Water Group Co.Ltd(603759) (hereinafter referred to as "the company") and existing investors and potential investors (hereinafter referred to as "investors"), enhance investors' understanding and recognition of the company, improve the level of corporate governance, maximize the overall interests of the company and protect the legitimate rights and interests of investors, This system is formulated in accordance with the company law of the people's Republic of China, the securities law of the people's Republic of China, the standards for the governance of listed companies, the guidelines for the relationship between listed companies and investors, the stock listing rules of Shanghai Stock Exchange and the actual situation of the company.
Article 2 investor relations management refers to the strategic management behavior of the company to maximize the overall interests of the company and protect the legitimate rights and interests of investors by fully disclosing and exchanging information and using the principles of Finance and marketing to strengthen communication with investors and potential investors, enhance investors' understanding and recognition of the company and improve the level of corporate governance.
Chapter II Basic Principles and purposes of investor relations management
Article 3 the management of investor relations shall follow the following basic principles:
(I) principle of full disclosure of information. In addition to mandatory information disclosure, the company can actively disclose other relevant information concerned by investors.
(II) principle of compliance information disclosure. The company shall abide by national laws and regulations and the provisions of securities regulatory authorities and stock exchanges on the information disclosure of listed companies, and ensure that the information disclosure is timely, fair, true, accurate and complete. When carrying out investor relations work, attention shall be paid to the confidentiality of unpublished information and other internal information. In case of disclosure, the company shall disclose it in time in accordance with relevant regulations.
(III) the principle of equal opportunities for investors. The company shall treat all shareholders and potential investors of the company fairly and avoid selective information disclosure.
(IV) the principle of honesty and trustworthiness. The investor relations work of the company shall be objective, true and accurate, and avoid excessive publicity and misleading.
(V) principle of high efficiency and low consumption. When choosing the working mode of investor relations, the company should give full consideration to improving communication efficiency and reducing communication costs.
(VI) principle of interactive communication. The company should actively listen to the opinions and suggestions of investors, realize two-way communication between the company and investors, and form a benign interaction.
Article 4 the purpose of investor relations management:
(I) promote the benign relationship between the company and investors, and enhance investors' further understanding and familiarity with the company.
(II) establish a stable and high-quality investor base and obtain long-term market support.
(III) form a corporate culture of serving and respecting investors.
(IV) promote the investment philosophy of maximizing the overall interests of the company and increasing the wealth of shareholders. (V) increase the transparency of corporate information disclosure and improve corporate governance.
Chapter III objects, contents and methods of investor relations management
Article 5 working objects of investor relations management:
(I) investors (including registered investors and potential investors of the company);
(II) securities market industry analysis and research personnel;
(III) relevant media;
(IV) other relevant individuals and institutions.
Article 6 the communication between the company and investors in investor relations management mainly includes: (I) the company's development strategy: including the development direction, development plan and business policy of the company's industry;
(II) statutory information disclosure and its explanation, including regular reports and temporary announcements; (III) operation and management information that can be disclosed by the company according to law: including the company's production and operation, financial status, research and development of new products or technologies, business performance, dividend distribution, etc;
(IV) major matters that can be disclosed by the company according to law, including the company's major investment and its changes, asset restructuring, mergers and acquisitions, foreign cooperation, foreign guarantees, major contracts, related party transactions, major litigation or arbitration, changes in management and changes in major shareholders;
(V) cultural construction of the company;
(VI) changes in the external environment of the company's operation and other information related to the company concerned by investors.
Article 7 the company shall conduct timely, in-depth and extensive communication with investors through various ways as far as possible, and pay special attention to the application of modern technical means such as the Internet to improve the efficiency of communication and reduce the cost of communication.
The ways of communication between the company and investors include but are not limited to: Announcement (including regular report and interim report), general meeting of shareholders, company website, media interview, one-to-one communication, on-site visit, mailing materials, telephone consultation, advertising, roadshow and other appropriate ways.
Article 8 the company must disclose the information that should be disclosed in accordance with laws, regulations, securities regulatory authorities and stock exchanges on the designated media for information disclosure at the first time. In carrying out investor relations management activities, the company shall take the publicly disclosed information as the exchange content. If the investor relations activities involve or may involve stock price sensitive matters, undisclosed major information, or can infer undisclosed major information, the company shall inform the investors to pay attention to the company's announcement and make necessary explanations on the information disclosure rules. The company shall not replace information disclosure with communication in investor relations management activities. If the company inadvertently divulges important information that has not been publicly disclosed in the investor relations management activities, it shall immediately make an announcement in accordance with the law and regulations and take other necessary measures.
The information disclosed by the company in other public media shall not precede the designated media, and shall not replace the company's announcement in other forms such as press release or answering reporters' questions. The company shall clearly distinguish between advertising and media reports, and shall not use advertising materials and paid means to affect the objective and independent reports of the media. The company shall pay attention to the publicity and reports of the media in time and respond appropriately when necessary.
Article 9 on the premise of not affecting production and operation and keeping business secrets, other functional departments of the company and all employees of the company are obliged to assist the investor relations management department in the implementation of investor relations management.
Chapter IV Organization and responsibilities of investor relations management
Article 10 the directors, supervisors, managers and the Secretary of the board of directors of the company, as the main body responsible for the construction of integrity, bear the responsibility and obligation of integrity to the company and the majority of investors.
Article 11 the first and highest responsible person for the management of investor relations of the company is the chairman of the company, and the person in charge of the management of investor relations is the Secretary of the board of directors of the company. The securities department is the functional department of the company's investor relations management and is responsible for the daily work of investor relations management. Unless expressly authorized, senior managers and other employees of the company shall not speak on behalf of the company in investor relations activities.
Article 13 the main responsibilities of investor relations management include:
(I) analysis and research. Statistical analysis of the number, composition and changes of investors and potential investors; Continue to pay attention to the opinions, suggestions, reports and other information of investors and the media, and feed back to the board of directors and management of the company in time.
(II) communication and liaison. Integrate and publish the information required by investors; Hold meetings and roadshows such as analyst briefings, and receive consultation from analysts, investors and the media; Receive investors' visits, maintain regular contact with institutional investors and small and medium-sized investors, and improve investors' participation in the company.
(III) public relations. Establish and maintain good public relations with stock exchanges, industry associations, media, other listed companies and relevant institutions; After major events such as litigation, major restructuring, changes in key personnel, changes in stock trading and major changes in the business environment, cooperate with relevant departments of the company to put forward and implement effective treatment plans, and actively maintain the public image of the company.
(IV) other work conducive to improving investor relations.
Article 14 the company's personnel engaged in investor relations management shall have the following qualities and skills:
(I) fully understand all aspects of the company.
(II) have a good knowledge structure and be familiar with relevant laws and regulations such as corporate governance, financial accounting and the operation mechanism of the securities market.
(III) good communication and coordination skills.
(IV) good conduct, honesty and credibility.
Article 15 the staff of investor relations management of a listed company shall have the professional knowledge necessary for performing their duties and have good professional quality. The company shall regularly conduct systematic training on investor relations management for controlling shareholders, actual controllers, directors, supervisors, senior managers and relevant personnel, so as to enhance their understanding of relevant laws and regulations, relevant provisions of the exchange and rules and regulations of the company.
Chapter V handling of investor complaints
Article 16 for the complaints of investors, the company shall solve the problems in accordance with the law, in time and on the spot, and effectively protect the legitimate rights and interests of investors.
Article 17 the handling of investor complaints is the focus of investor relations management. The Securities Department of the company is responsible and the Secretary of the board of directors is the person in charge.
If the complaint of the company can be solved independently by the securities department, it shall be solved by the securities department. If the securities department cannot solve it, it shall ask the Secretary of the board of directors to solve it. If the Secretary of the board of directors can solve it independently, it shall be solved by the Secretary of the board of directors. If the Secretary of the board of directors cannot solve it, according to the actual situation of the matter, the general matters shall be solved by the heads of relevant departments involved, and the major matters or matters involving multiple departments shall be led by the management of the company.
If a subsidiary is complained, the general manager of the subsidiary shall personally ask, receive and handle the complaint, and shall not hand over the contradiction.
All departments and subsidiaries of the group shall perform their respective duties, and it is forbidden to prevaricate and prevaricate.
Article 18 the company shall accept the complaints of investors on matters involving their legitimate rights and interests, including but not limited to:
(I) information disclosure is in violation of regulations or the company's information disclosure management system; (II) the governance mechanism is not perfect, and the decision-making procedures for major matters violate the decisions of laws, regulations, articles of association and other internal management systems;
(III) violation of information disclosure and decision-making procedures of connected transactions;
(IV) external guarantee in violation of regulations;
(V) the commitment is not fulfilled on schedule;
(VI) issues related to investor relations management, such as no answer to the hotline during working hours;
(VII) other acts that damage the legitimate rights and interests of investors.
Article 19 when receiving a complaint, the staff of the securities department shall truthfully record the complainant, contact information, complaint matters and other relevant information, and keep the basic information of the complainant and relevant complaint materials confidential. If it can be handled on site, it shall be handled immediately and replied on the spot; If it cannot be handled immediately, it shall report to the Secretary of the board of directors and the relevant person in charge of the complaint. The securities department shall inform the complainant whether to accept the complaint within 15 days from the date of receiving the complaint. If it is decided to accept, it shall be completed within 60 days from the date of acceptance and the complainant shall be informed; If the situation is complex and needs to be postponed, the handling period can be extended with the consent of the Secretary of the board of directors, but the extension period shall not exceed 30 days. At the same time, the complainant shall be informed in writing of the reasons for the delay.
Article 20 the securities department shall regularly investigate the potential risks related to investors' complaints. The securities department shall timely formulate the handling plan and reply criteria for the matters intensively or repeatedly reflected by investors, so as to properly resolve contradictions and disputes.
Article 21 the company shall carefully verify whether the information reflected by investors is true and actively handle it properly.
For the complainant's unreasonable demands that lack the basis of laws and regulations, the relevant staff should carefully do a good job in communication and interpretation to strive for the understanding of the complainant.
Article 22 in the process of handling complaints, the company and relevant staff shall not have the following behaviors:
(I) failing to settle the complaint within the specified time limit without justified reasons;
(II) failure to handle complaints according to procedures, or evasion, perfunctory, delay, etc. in the process of complaint handling;
(III) submit the complaints that should be solved by the company, and fail to fulfill the primary responsibility of complaint handling; (IV) infringing upon the legitimate rights and interests of investors;
(V) failing to record and keep the complaint handling account and relevant materials as required;
(VI) other circumstances specified by the regulatory authority.
Article 23 the company shall, in the process of disclosing information or handling complaints, promptly rectify the company's internal management system in accordance with the company's internal management procedures, and strictly implement the company's internal information disclosure system or management procedures.
Article 24 when the company handles investor complaints, relevant staff shall follow the principle of fair disclosure and pay attention to the confidentiality of unpublished information and other internal information.
If the content of the reply to the complaint involves the information that should be publicly disclosed in accordance with the law and regulations, the time of reply to the complainant shall not be earlier than the time of public disclosure of relevant information.
Article 25 the company shall establish a complaint handling account for investors, recording the date of complaint, complainant, contact information, complaint matters, handling personnel, handling process, handling results, accountability, complainant's feedback on the handling results and other information. The standing book records and relevant materials shall be kept for two years.
The Securities Department of the company is responsible for the preparation and preservation of the investor complaint handling account.
Article 26 the company shall handle the 12386 hotline complaints and consulting matters and complaints assigned by the securities regulatory authorities in strict accordance with the assignment (transfer) requirements of the regulatory authorities.
Article 27 the relevant handling personnel and the person in charge shall be liable for the intensification of contradictions caused by infringement and improper handling in the process of complaint handling.
Chapter VI supplementary provisions
Article 28 the system shall be interpreted by the board of directors of the company and approved by the general meeting of shareholders of the company.
