Guosen Securities Co.Ltd(002736)
About Guizhou Chanhen Chemical Corporation(002895)
2021 annual recommendation work report
Name of recommendation institution: Guosen Securities Co.Ltd(002736) abbreviation of the recommended company: Guizhou Chanhen Chemical Corporation(002895)
Name of sponsor representative: Li Di Tel: 075582130833
Name of sponsor representative: Yu Zhiqing Tel: 075582130833
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 company’s establishment, improvement and effective implementation of rules and regulations (1) whether the company is supervised to establish and improve rules and regulations (including but not limited to the system to prevent related parties from occupying the company’s resources and raising funds)
yes
Fund management system, internal control system, internal 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 12 times
(the special account bank shall provide the bank reconciliation sheet for review every month)
(2) Is the progress of the company’s fund-raising project consistent with the information disclosure document
yes
Piece consistency 4 Corporate governance supervision
(1) Times of attending the general meeting of shareholders of the company as nonvoting delegates: 1
(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 none
6. Expression of independent opinions
(1) 13 times of expressing independent opinions
(2) The issues involved in issuing non consenting opinions and concluding comments are not applicable
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 none
(3) The progress or rectification of the reported matters is not applicable
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: December 2021
(3) The main content of the training is that the recommendation institution shall provide guidance to the directors, supervisors and senior managers of Listed Companies in combination with the company law, the securities law, the measures for the administration of information disclosure of listed companies, the measures for the administration of securities issuance of listed companies (revised in 2020) The guidelines for the supervision of listed companies No. 2 – regulatory requirements for the management and use of raised funds by listed companies and other laws, regulations and relevant documents explain the management and use of raised funds, short-term trading and insider trading, This paper analyzes the recent violation cases, and doubts the training objects in combination with the actual situation of the company
The question was answered.
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 all are applicable
Financial assistance, hedging, etc.) 10. The issuer or its intermediary
The active cooperation of the sponsor is not applicable
11. Others (including business environment and business)
Development, financial status, management status, nuclear none
Major changes in cardiac Technology)
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. It is not applicable after the fulfillment of the commitment of share restriction
2. The IPO public offering and listing documents do not exist falsely
The normal performance of false records, misleading statements or major omissions shall not apply
Relevant commitments
3. Normal performance of IPO price stabilization commitment is not applicable
4. It does not apply to horizontal competition, related party transactions and capital occupation
Commitment to
5. The normal performance of binding measures that fail to fulfill relevant commitments is not applicable
Promise
6. Not applicable to the normal payment of housing insurance
Jin’s commitment
7. The normal performance of the contract on the disputes that may arise from the leased house is not applicable
Promise
8. With regard to the effective performance of the company’s non-public offering, the normal performance is not applicable
Commitment to diluted immediate return filling measures
9. Not applicable after the commitment to eliminate potential horizontal competition is fulfilled
10. The normal performance of the profits of Xiaoba phosphate mining right and related assets is not applicable
Forecast compensation commitment
11. Transfer of 15% shares of Fuquan Chuandong Chemical Co., Ltd. is not applicable after completion of performance
Commitment to human rights
12. The normal performance of jigongling phosphate mining right and Xinqiao phosphate mining is not applicable
Profit forecast and compensation commitment of equity and related assets
4、 Other matters
Description of report items
1. Change of sponsor representative and its reasons Guosen Securities Co.Ltd(002736) as the sponsor and lead underwriter of the company’s non-public offering of shares, Ms. Liu Ying and Mr. Yu Zhiqing were originally assigned to be responsible for the continuous supervision of the company.
On June 28, 2021, the company’s public offering of convertible corporate bonds passed the examination of the issuance examination committee of China Securities Regulatory Commission and was listed on Shenzhen Stock Exchange on September 23, 2021 Guosen Securities Co.Ltd(002736) appoint Mr. Li Di and Mr. Yu Zhiqing as the sponsor representatives of this public offering of convertible corporate bonds.
In order to facilitate the continuous supervision in the future, Ms. Liu Ying will no longer serve as the sponsor representative of the company’s non-public offering of shares. Mr. Li Di, the sponsor representative, has decided to take over the continuous supervision and perform the sponsor duties.
2. During the reporting period, the CSRC and the bourse made recommendations to the sponsor or
There is no information about the regulatory measures taken by the sponsor company and the rectification
condition
3. Other major matters to be reported
