Huaxi Securities Co.Ltd(002926)
Annual report on continuous supervision in Haitian Water Group Co.Ltd(603759) 2021
Listed company Haitian Water Group Co.Ltd(603759) (hereinafter referred to as " Haitian Water Group Co.Ltd(603759) " company "or" listed company ")
Sponsor Huaxi Securities Co.Ltd(002926) (hereinafter referred to as " Huaxi Securities Co.Ltd(002926) " or "sponsor")
Sponsor representatives: Chen Guoxing and Chen Liang
Contact address: 11F, No. 198, Tianfu Second Street, high tech Zone, Chengdu
Contact 02886130039
With the approval of the reply on the approval of Haitian Water Group Co.Ltd(603759) initial public offering of shares (zjxk [2021] No. 22) issued by the China Securities Regulatory Commission, Haitian Water Group Co.Ltd(603759) initial public offering of RMB common shares (A shares) is 78 million shares, with a par value of RMB 1.00 per share, an issue price of RMB 11.21 per share, a total raised capital of RMB 874.38 million, deducting the issuance expenses of RMB 733675 million (excluding tax), The net amount of raised funds is 801012500 yuan. The above raised funds have been verified by ShineWing Certified Public Accountants (special general partnership) and issued the capital verification report (xyzh/2021cdaa60012).
Huaxi Securities Co.Ltd(002926) as the sponsor of Haitian Water Group Co.Ltd(603759) initial public offering of shares, perform the duty of continuous supervision in accordance with the measures for the administration of securities issuance and listing recommendation business, the guidelines for self discipline supervision of listed companies on Shanghai Stock Exchange No. 11 - continuous supervision and other provisions Huaxi Securities Co.Ltd(002926) continuously supervise Haitian Water Group Co.Ltd(603759) through daily communication, regular return visit, on-site inspection, etc. the details are as follows:
1、 Continuous supervision in 2021
No. implementation of work content
Establish, improve and effectively implement the continuous supervision system,
1. Formulate corresponding work plans for specific continuous supervision work, and formulate corresponding work plans according to the work progress
Make a plan
According to the relevant provisions of the CSRC, before the continuous supervision work recommendation institution has signed a recommendation agreement with the listed company, it has signed an agreement with the listed company or relevant parties, which has defined the rights of both parties during the continuous supervision, the continuous supervision agreement and the obligations of both parties during the continuous supervision
And report to Shanghai stock exchange for the record
Carry out continuous supervision and regular return visits through daily communication, regular return visits, on-site inspection, close daily communication between the sponsor and the listed company, three job surveys, special due diligence on the matters under continuous supervision, and on-site verification on relevant matters
During the period of continuous supervision, the listed company shall be supervised in accordance with relevant regulations
4. If an illegal or illegal matter is publicly announced, it shall be disclosed. During the period of continuous supervision in 2021, the listed company does not report to the Shanghai Stock Exchange as before, and the illegal or illegal matter requiring a public statement according to the relevant provisions of the Shanghai Stock Exchange shall be announced on the designated media after being reviewed by the exchange
During the period of continuous supervision, the listed company or relevant parties
Those who violate laws and regulations, violate commitments and other matters shall be found by themselves
5. Report to the listed company or relevant local stock exchange within five working days from the date of discovery, including that the listed company or party has no violation of laws and regulations or breach of commitments
Relevant parties violate laws and regulations, violate commitments, etc
Specific conditions of the project, supervision measures taken by the sponsor, etc
Supervise the listed company and its directors, supervisors and senior management. During the continuous supervision period in 2021, the listed company and its directors and senior management shall comply with laws, regulations, departmental rules, and the business rules and other normative documents issued by Shanghai Securities Exchange, supervisors and senior management without violation of laws and regulations or breach of commitments
And earnestly fulfill its commitments
Supervising listed companies to establish, improve and effectively implement corporate governance. The recommendation institution has verified the implementation of the general meeting of shareholders and the board of directors 7 management system of listed companies, including but not limited to the rules of procedure of the general meeting of shareholders, the board of directors and the board of supervisors, the articles of association and other relevant rules of procedure of the board of supervisors, as well as the relevant systems of directors, supervisors and senior management, The code of conduct and other systems of corporate governance managers meet the requirements of relevant laws and regulations and have been effectively implemented
Supervise listed companies to establish, improve and effectively implement internal control
Including but not limited to the financial management system, the accounting verification and recommendation institution has verified the design of the internal control system, 8 accounting system and internal audit system of the listed company, as well as the implementation and effectiveness of the raised funds. The internal use, related party transactions, external guarantees, external investment and derivative control systems of the listed company meet the requirements of relevant laws and regulations, and have been effectively implemented in major business decisions such as product transactions and control of subsidiaries, It can ensure the standardized operation of the company
Policy procedures and rules, etc
Supervise the listed companies to establish, improve and effectively implement the information phi. The listed companies have established and improved the information disclosure system and disclosure protection system, reviewed the information disclosure documents and other relevant document recommendation institutions, reviewed 9 information disclosure documents of the company in 2021, and have sufficient reasons to believe that the listed companies have consulted the Shanghai Securities Exchange and other relevant documents, and that there are no false records in the documents submitted by the company's securities exchange There are no false records, misleading statements or guiding statements or major omissions in the wrongly disclosed documents. See "II. Review of information disclosure" for details
Information disclosure documents of listed companies and to the CSRC
10. Other documents submitted by Shanghai Stock Exchange shall be reviewed in advance. For the information disclosure documents with problems, see "II. Review of information disclosure"
Supervise and urge listed companies to make corrections or supplements in time
If the company does not make corrections or supplements, it shall report to Shanghai Securities Regulatory Commission in time
Stock exchange report
The information disclosure documents of listed companies were not examined in advance
The review of relevant documents shall be completed within 11 to 5 trading days after the listed company performs its obligation of information disclosure. See "II. Review of information disclosure" for details
In addition, the information disclosure documents with problems shall be supervised in time
Urge the listed company to make corrections or supplements, and the listed company will not make corrections
Or supplement, it shall be reported to Shanghai Stock Exchange in time
Pay attention to the listed company or its controlling shareholder, actual controller and during the continuous supervision in 2021, there are no listed companies and 12 directors, supervisors and senior managers subject to the administrative punishment of the CSRC, the disciplinary punishment of the Shanghai Stock Exchange or the administrative punishment of the CSRC
In case of being issued with a letter of regulatory concern by the Shanghai Stock Exchange, the Shanghai Stock Exchange shall take disciplinary action or be issued with a letter of regulatory concern by the Shanghai Stock Exchange, and urge them to improve their internal control system and take measures to improve the situation of the letter of regulatory concern issued by the Shanghai Stock Exchange
Give to correct
Continue to pay attention to the performance of commitments by listed companies, controlling shareholders and actual controllers during the continuous supervision period in 2021. The listed companies, controlling shareholders and actual controllers fulfill their commitments in a timely manner. There are no outstanding commitments by the listed companies, controlling shareholders and actual controllers, and the occurrence of outstanding commitments that should be reported to Shanghai Stock Exchange
Pay attention to public media reports on listed companies and timely
Check market rumors.
After verification, it was found that
If the municipal company has major matters that should be disclosed but not disclosed, or if the information that should be 14 disclosed by the listed company is not inconsistent with the facts during the continuous supervision period in 2021, it shall timely urge the municipal company to disclose the undisclosed major matters or truthfully disclose or clarify the disclosed information with the municipal company; The listed company is inconsistent with the facts
If it is disclosed or clarified, it shall be reported to Shanghai Securities Exchange in a timely manner
Reported
In case of any of the following circumstances, the sponsor shall urge the listing
The company shall make explanations and make corrections within a time limit, and report to Shanghai Securities Regulatory Commission at the same time
Stock exchange report (I) listed companies suspected of violating the
Listing Rules of Shanghai Stock Exchange and other Shanghai Securities
Relevant business rules of the exchange; (II) the professional opinions issued by the securities service institution 15 and its signatories may be false. During the continuous supervision in 2021, the listed company does not have such illegal situations as false records, misleading statements or major omissions
Regulatory or other improper circumstances; (III) listing of listed companies
Articles 71 and 72 of the recommendation measures
Specified circumstances; (IV) the sponsor does not cooperate with the listed company
Continuous supervision; (V) Shanghai Stock Exchange or insurance
Other circumstances that the sponsor deems necessary to report
Formulate the on-site inspection work plan for listed companies, indicating that the recommendation institution has formulated the relevant work plan for on-site inspection, 16 confirm the on-site inspection work requirements, ensure the on-site inspection work plan, and clarify the on-site inspection work requirements, so as to ensure the quality and ensure the quality of on-site inspection work
A listed company shall be aware of any of the following circumstances:
Or within 15 days from the date when they should know or Shanghai Securities Exchange
Within the time limit required by the exchange, carry out special training for listed companies
On site inspection: (I) suspected of major financial fraud;
(II) during the continuous supervision of the controlling shareholders, actual controllers and their affiliates in 2021, the listed company does not have any capital occupation that should be 17 suspected; (III) there may be major violations and special on-site inspection
protect; (IV) controlling shareholders, actual controllers and their affiliates
Alleged infringement of, directors, supervisors or senior managers
Accounting for the interests of listed companies; (V) capital transactions or cash
There are major anomalies in the flow; (VI) the sponsor or the sponsor
Other matters that should be subject to on-site verification
Continue to pay attention to the special account storage of the raised funds of listed companies. During the continuous supervision in 2021, the recommendation institution has continued to pay attention to the use of the raised funds of listed companies, the implementation of investment projects and other matters such as the special account storage of the raised funds, the promise of the use of the raised funds and the implementation of investment projects
Note, and issue special verification opinions on the storage and use of raised funds
19. Continue to pay attention to the guarantee provided by the listed company for others. During the continuous supervision in 2021, there were no items in the listed company and expressed opinions on the illegal provision of guarantee for others
2、 Sponsor's review of information disclosure
According to the measures for the administration of securities issuance and listing recommendation business, the guidelines for self discipline supervision of listed companies of Shanghai Stock Exchange No. 11 - continuous supervision and other relevant provisions, the recommendation institution has reviewed the information disclosure documents announced in Haitian Water Group Co.Ltd(603759) 2021 in advance or in time afterwards, and verified the content and format of the information disclosure documents and the relevant procedures performed Haitian Water Group Co.Ltd(603759) the information has been disclosed in accordance with relevant regulations. The disclosed contents are true, accurate, complete and timely, and there are no false records, misleading statements or major omissions.
3、 Whether the listed company has any matters that should be reported to the CSRC and the exchange according to the measures for the administration of securities issuance and listing recommendation business and the rules of Shanghai Stock Exchange
Upon verification, during the period of continuous supervision in 2021, Haitian Water Group Co.Ltd(603759) . Sponsor representatives: Chen Guoxing, Chen Liang
Huaxi Securities Co.Ltd(002926) 2022 April 11
