Soochow Securities Co.Ltd(601555) about the on-site inspection report of continuous supervision of Kunshan Longteng North Electro-Optic Co.Ltd(600184) Co., Ltd. in 2021
According to the provisions of relevant laws and regulations such as the Listing Rules of science and Innovation Board of Shanghai Stock Exchange, Soochow Securities Co.Ltd(601555) (hereinafter referred to as "the sponsor") as the sponsor of Kunshan Longteng North Electro-Optic Co.Ltd(600184) Co., Ltd. (hereinafter referred to as "the company" and " Infovision Optoelectronics (Kunshan) Co.Ltd(688055) "), has conducted on-site inspection on the standardized operation of Infovision Optoelectronics (Kunshan) Co.Ltd(688055) since 2021. The inspection is reported as follows: I Basic information of this on-site inspection
(I) recommendation institution
Soochow Securities Co.Ltd(601555)
(II) sponsor representative
Zuo Daohu, Cao Fei
(III) on site inspection time
The site inspection was conducted on January 26, 2022; Affected by the epidemic prevention and control, a remote inspection was conducted from April 7 to April 8, 2022
(IV) on site inspectors
Zuo Daohu, Liu Ting
(V) on site inspection contents
Continuously supervised Infovision Optoelectronics (Kunshan) Co.Ltd(688055) from the aspects of corporate governance and internal control, information disclosure, independence of the company, capital exchanges with controlling shareholders, actual controllers and other related parties, use of raised funds, related party transactions, external guarantees, major foreign investment and operation. (VI) means of on-site inspection
The on-site inspectors inspected the company and its actual controllers, controlling shareholders, directors, supervisors, directors and supervisors by interviewing the company's relevant management personnel, checking the company's main production and operation sites, consulting the resolutions and minutes of the third meeting of the company in 2021, information disclosure documents, accounting books, original vouchers, business contracts and other materials, and consulting the relevant vouchers and approval documents for the use of raised funds Conduct on-site inspection by means of commitments and performance made by senior managers. 2、 Matters of on-site inspection and opinions expressed by the sponsor item by item
(I) corporate governance, internal control and operation of the three committees
The on-site inspectors consulted Infovision Optoelectronics (Kunshan) Co.Ltd(688055) the articles of association, the rules of procedure of the general meeting of shareholders, the board of directors and the board of supervisors, collected and consulted Infovision Optoelectronics (Kunshan) Co.Ltd(688055) the notices, resolutions and minutes of the general meeting of shareholders, the board of directors and the board of supervisors, and focused on whether the convening methods and procedures of the above meetings were legal and compliant and whether the avoidance voting system for relevant matters was implemented; Checked the relevant announcements of the company; Consulted the work records of the company's internal audit department.
Through on-site inspection, the sponsor believes that: Infovision Optoelectronics (Kunshan) Co.Ltd(688055) the articles of association and other company management systems are complete, compliant and can be effectively implemented; The general meeting of shareholders, the board of directors and the board of supervisors of the company operate effectively, the decision-making procedures for major matters of the company are complete, and the rules of procedure are open and transparent. The directors, supervisors and senior managers of the company can perform their duties in accordance with the requirements of relevant laws, regulations and specific provisions such as the company law and the Listing Rules of shares on the science and Innovation Board of Shanghai Stock Exchange Infovision Optoelectronics (Kunshan) Co.Ltd(688055) corporate governance system and internal control system have been effectively implemented, with good internal control environment and effective risk control.
(II) information disclosure
The on-site inspectors consulted the relevant information disclosure system of the company and checked the information disclosure during the continuous supervision with the data obtained on site.
Through on-site inspection, the sponsor believes that: Infovision Optoelectronics (Kunshan) Co.Ltd(688055) has established a complete information disclosure system, the announcements disclosed by the company are consistent with the actual situation, there are no major matters that should be disclosed but not disclosed in the information disclosure, and the information disclosure requirements meet the specific requirements of the Listing Rules of science and Innovation Board of Shanghai Stock Exchange and the administrative measures for information disclosure of listed companies.
(III) independence and capital transactions with controlling shareholders, actual controllers and other related parties
The on-site inspectors consulted the capital transactions between related parties and listed companies, the meeting materials of the third session of the company and the company's accounts, and communicated with the company's financial personnel.
Through on-site inspection, the sponsor believes that the company's assets are complete, the personnel, institutions, business and finance can remain independent, and there is no illegal occupation of the company's funds by related parties.
(IV) use of the company's raised funds
The on-site inspectors checked the situation of the raised funds account, the original vouchers related to the use of the raised funds, the corresponding contracts, bank statements and other materials, the approval procedures and announcement contents related to the use of the raised funds, and checked the construction progress of the investment projects of the raised funds on site.
Through on-site inspection, the sponsor believes that the company has established a special account storage system for raised funds and can store and use the raised funds in accordance with the provisions of the system. The company has performed relevant decision-making procedures for the use of raised funds in accordance with the provisions, and there is no use of raised funds prohibited by laws and regulations.
(V) related party transactions, external guarantees and major foreign investment
The on-site inspectors consulted the relevant systems and agreement documents of the company's related party transactions, foreign guarantees and foreign investment, and verified the approval procedures and announcement contents of related party transactions, foreign guarantees and foreign investment.
Through on-site inspection, the sponsor believes that the company has standardized related party transactions, external guarantees and external investment in accordance with relevant systems; The company has no major violations of laws and regulations or damage to the interests of shareholders in related party transactions, external guarantees and major foreign investment.
(VI) operation
By consulting relevant industry information, the company's regular reports and major contracts, the on-site inspectors communicate with relevant management personnel of the company to understand the changes of the company's industry and market and the company's operation. Through on-site inspection, the sponsor believes that the business environment of the company has not undergone major adverse changes, and the production and operation are normal and orderly.
(VII) other matters that the recommendation institution thinks should be inspected on site
III. matters and suggestions brought to the attention of listed companies
It is suggested that the directors, supervisors, senior managers and relevant personnel of the company actively organize and strengthen the study of the latest relevant regulations and provisions of the science and Innovation Board of Shanghai Stock Exchange; At the same time, the company is requested to continue to do a good job in all aspects of information disclosure and timely remind investors of relevant risks. 4、 Are there 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 provisions of the exchange
non-existent. 5、 Cooperation of listed companies and other intermediaries
In this on-site inspection, the company actively cooperated to provide the required documents and materials, arranged on-site inspectors to conduct interviews and on-site research with relevant personnel of the company, and fully and timely provided relevant materials to on-site inspectors, which facilitated the on-site inspection work of on-site inspectors. 6、 Conclusion of this site inspection
Through on-site inspection, the sponsor believes that: in Infovision Optoelectronics (Kunshan) Co.Ltd(688055) 2021, the system in corporate governance and information disclosure was sound and effectively implemented; The company has maintained independence in business, assets, finance, personnel and institutions; There is no illegal capital transaction with related parties; The company does not deposit or use the raised funds in violation of regulations; The company does not violate laws and regulations in terms of external guarantee, related party transactions and major foreign investment; The company's business model and the variety structure of products or services have not undergone significant adverse changes, and the company's operation is normal.
It is hereby reported.
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(there is no text on this page, which is the signature and seal page of Soochow Securities Co.Ltd(601555) on the 2021 on-site inspection report of continuous supervision of Kunshan Longteng North Electro-Optic Co.Ltd(600184) Co., Ltd.)
Sponsor representative:
Zuo Daohu Cao Fei
Soochow Securities Co.Ltd(601555) mm / DD / yyyy
