Dongxing Securities Corporation Limited(601198)
About Hebei Huatong Wires And Cables Group Co.Ltd(605196)
Annual report on continuous supervision in 2021
Name of Sponsor: Dongxing Securities Corporation Limited(601198) abbreviation of Sponsor: Hebei Huatong Wires And Cables Group Co.Ltd(605196)
Name of sponsor representative: Wang Gang Tel: 01066555253
Name of sponsor representative: Peng Dan Tel: 01066555253
According to the approval of the reply on approving Hebei Huatong Wires And Cables Group Co.Ltd(605196) initial public offering (zjxk [2021] No. 202) of China Securities Regulatory Commission (hereinafter referred to as “CSRC”), the company issued 76 million ordinary shares (A shares) to the public for the first time, with an issue price of 5.05 yuan per share and a total raised capital of 38380000000 yuan, According to relevant regulations, after deducting various issuance expenses of RMB 5613269239, the net amount of raised funds actually available is RMB 32766730761. All the above funds were received on April 30, 2021, verified by Lixin Certified Public Accountants (special general partnership) and issued the capital verification report (Xin Kuai Shi Bao Zi [2021] No. zb10554).
Dongxing Securities Corporation Limited(601198) (hereinafter referred to as ” Dongxing Securities Corporation Limited(601198) ” or “recommendation institution”) as a recommendation institution for Hebei Huatong Wires And Cables Group Co.Ltd(605196) initial public offering and listing, according to the measures for the administration of securities issuance and listing recommendation business (hereinafter referred to as “the measures for the administration of recommendation”) According to the provisions of relevant rules and guidelines such as the Listing Rules of Shanghai Stock Exchange and the self regulatory guidelines for listed companies of Shanghai Stock Exchange No. 11 – continuous supervision (hereinafter referred to as “continuous supervision”), the report on the work of continuous supervision in Hebei Huatong Wires And Cables Group Co.Ltd(605196) 2021 is as follows:
1、 Overview of continuous supervision of listed companies by sponsors
In accordance with the relevant provisions of the administrative measures for sponsorship and the continuous supervision, the recommendation institution and the recommendation representative have determined the contents and key points of the continuous supervision according to the specific situation of Hebei Huatong Wires And Cables Group Co.Ltd(605196) and conducted daily continuous supervision on Hebei Huatong Wires And Cables Group Co.Ltd(605196) through daily communication, regular or irregular return visits, etc. The specific work is as follows:
Project work content
1. Review of information disclosure of the company
(1) Whether the company’s information disclosure documents are reviewed in time
(2) The number of times that the company’s information disclosure documents are not reviewed in time is not applicable
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, the management system of raised funds, the internal control system, the internal audit system and the 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 for 3 times
(2) Whether the progress of the company’s raised funds is consistent with the information disclosure documents 4. Corporate governance supervision
0 times, the company solicited the opinions of the sponsor on the relevant proposals before the previous general meeting of shareholders (1) the number of times of attending the general meeting of shareholders of the company as nonvoting delegates, and the sponsor reviewed the relevant meeting documents in advance.
(2) Times of attending the board of directors of the company as nonvoting delegates: 1
(3) Times of attending the board of supervisors of the company as nonvoting delegates: 1
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. Independent opinions
(1) Number of independent opinions 11 times
(2) Issues involved in issuing non consenting opinions and concluding comments none
7. Report the situation to the exchange (except for the on-site inspection report)
(1) Number of reports to the exchange: 0
(2) The main contents of the report are not applicable
(3) The progress or rectification of the reported matters is not applicable
8. Pay attention to the performance of duties
(1) Whether there are matters needing attention none
(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: April 12, 2022
This training focuses on the information disclosure requirements of listed companies (3) training content disclosure requirements, management and use of raised funds, restrictive provisions on the trading of directors, supervisors and senior executives’ shares and continuous supervision
In depth interpretation of relevant requirements of on-site inspection and other topics.
11. Other sponsor work that needs to be explained none
2、 Problems found by the sponsor and measures taken
Problems existing in the project 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. Related party transactions are not applicable
7. All external guarantees are applicable
8. Acquisition and sale of assets are not applicable
9. Other business categories and important matters (including external
Investment, venture capital, entrusted financial management, financial assistance, all are applicable
Hedging, etc.)
10. The cooperation of the issuer or its intermediary institutions is applicable
Recommendation work 11. Others (including business environment, business development
Financial status, management status and core technology are all applicable
(major changes in)
3、 Performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders have fulfilled the original commitments of the bank that have not fulfilled their commitments and Solutions
1. The sale restriction arrangement, voluntary lock-in and extended lock-in period of shares held by shareholders before the issuance are not applicable
Commitment
2. The commitment of controlling shareholders and actual controllers on Shareholding and reduction intention is not applicable
3. The company, controlling shareholders, actual controllers, directors, supervisors and senior managers are not applicable
Member’s commitment to stabilizing share price
4. The company, controlling shareholders, actual controllers, directors, supervisors and senior managers are not applicable
Commitment to share repurchase and legal compensation or compensation liability 5. The company and its controlling shareholders, actual controllers, directors, supervisors and senior managers
It is inapplicable that there are no false records, misleading statements and major omissions in the prospectus
Commitment
6. The company and its controlling shareholders, actual controllers, directors, supervisors and senior managers are not applicable
Member’s commitment to fill the immediate return
7. The company and its controlling shareholders, actual controllers, directors, supervisors and senior managers are not applicable
Commitment to remedy breach of trust
8. The commitment of the actual controller and controlling shareholder of the company to reduce and standardize related party transactions is not applicable
9. The controlling shareholder and actual controller of the company promised that social insurance and housing provident fund supplement are not applicable to payment
10. The commitment of the controlling shareholder and actual controller of the company to avoid horizontal competition is not applicable
11. The company’s actual controller and controlling shareholder’s commitment on reducing and regulating related party transactions is not applicable
4、 Other matters
Description of report items
1. Change of sponsor representative and its reasons no change of sponsor representative occurred in 2021.
2. During the reporting period, the CSRC and the bourse took no regulatory measures and rectification measures against the recommendation institution or the company recommended by it
3. Other major matters to be reported none
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Sponsor representative:
Wang Gang Peng Dan
Dongxing Securities Corporation Limited(601198) mm / DD / yyyy
