Soochow Securities Co.Ltd(601555)
About Suzhou Huaya Intelligence Technology Co.Ltd(003043)
Verification opinions on self-evaluation report of internal control in 2021
Soochow Securities Co.Ltd(601555) (hereinafter referred to as ” Soochow Securities Co.Ltd(601555) ” or “sponsor”) as a sponsor of Suzhou Huaya Intelligence Technology Co.Ltd(003043) (hereinafter referred to as ” Suzhou Huaya Intelligence Technology Co.Ltd(003043) ” or “company”) for initial public offering of shares and listing on the main board, in accordance with the administrative measures for securities issuance and listing sponsor business and the stock listing rules of Shenzhen Stock Exchange In accordance with the requirements of relevant laws, regulations and normative documents such as the guidelines for self discipline supervision of listed companies of Shenzhen Stock Exchange No. 1 – standardized operation of listed companies on the main board, the internal control in Suzhou Huaya Intelligence Technology Co.Ltd(003043) 2021 was checked in accordance with the company’s self-evaluation report on internal control in 2021. The details are as follows:
1、 Suzhou Huaya Intelligence Technology Co.Ltd(003043) internal control evaluation
(I) evaluation scope of internal control
According to the risk oriented principle, the company determines the main units, businesses and matters included in the evaluation scope and high-risk areas.
1. The main units included in the evaluation scope include: Suzhou Huaya Intelligence Technology Co.Ltd(003043) .
2. The total assets of the units included in the evaluation scope account for 99.31% of the total assets in the company’s consolidated financial statements, and the total operating revenue accounts for 98.72% of the total operating revenue in the company’s consolidated financial statements.
3. The main businesses and matters included in the evaluation scope include: organizational structure, development strategy, human resources, social responsibility, corporate culture, procurement (including materials, outsourcing and equipment), asset management (including capital, inventory and fixed assets), research and development, sales, financial report, information system, information and communication, etc. 4. The above units, businesses and matters included in the evaluation scope and high-risk areas cover the main aspects of the company’s operation and management, and there are no major omissions.
(II) basis of internal control evaluation and identification standard of internal control defects
Evaluation basis and defect identification standard: the board of directors of the company studied and determined the internal control defect identification standard applicable to the company from the perspective of internal control over financial reports and internal control over non-financial reports according to the identification requirements of the enterprise internal control standard system for major defects, important defects and general defects, combined with the company’s scale, industry characteristics, risk preference, risk tolerance and other factors.
1. Identification standard of internal control defects in financial reporting
(1) The quantitative criteria for the evaluation of internal control defects in financial reporting determined by the company are as follows:
Category major defect important defect general defect
Potential misstatement and misstatement amount of operating revenue ≥ 0.5% of operating revenue ≤ misstatement amount 1% of operating revenue 1% of operating revenue 0.5%
Potential misstatement amount of total assets ≥ 0.5% of total assets ≤ misstatement amount 1% of total assets 1% of total assets 0.5% of total assets
(2) The qualitative criteria for the evaluation of internal control defects in financial reporting determined by the company are as follows:
Qualitative standard of defect nature
Invalid control environment; Serious fraud of directors, supervisors and senior managers of the company; The company’s more significant defects are found in the published financial report and the certified public accountant, but are not identified by the company’s internal control; Material misstatement in the current year’s financial report.
Failing to select and apply accounting policies in accordance with the accounting standards for business enterprises; Failure to establish anti fraud procedures and control measures; Important defects: for the accounting treatment of unconventional or special transactions, no corresponding control mechanism is established or not implemented and there is no corresponding compensatory control; There are one or more defects in the control of the financial reporting process at the end of the period, and there is no reasonable guarantee that the prepared financial statements achieve the goal of authenticity and accuracy.
General defects refer to other internal control defects other than the above major defects and important defects.
2. Identification standard of internal control defects in non-financial reporting
(1) The quantitative criteria for the evaluation of internal control defects in non-financial reporting determined by the company are as follows:
Index name major defect important defect general defect
Amount of property loss amount of loss ≥ 1% of operating revenue ≤ amount of loss 2% of operating revenue 2% of operating revenue
(2) The qualitative criteria for the evaluation of internal control defects in non-financial reporting determined by the company are as follows:
Qualitative standard of defect nature
The possibility of major defects is high, which will seriously reduce the work efficiency or effect, or seriously increase the uncertainty of the effect, or make it seriously deviate from the expected goal.
The possibility of important defects is high, which will significantly reduce the work efficiency or effect, or significantly increase the uncertainty of the effect, or significantly deviate from the expected goal.
Generally, the possibility of defects is low, which will reduce the work efficiency or effect, or increase the uncertainty of the effect, or make it deviate from the expected goal.
(III) identification and rectification of internal control defects
1. Identification and rectification of internal control defects in financial reporting
According to the identification standard of the company’s internal control defects in financial reporting, the company has no major defects and important defects in the internal control of financial reporting during the reporting period.
2. Identification and rectification of internal control defects in non-financial reports
According to the identification standard of the company’s internal control defects in non-financial reports, no major defects and important defects in the company’s internal control over non-financial reports were found during the reporting period.
(IV) description of other major matters related to internal control
The company has no other major matters related to internal control that need to be explained.
2、 Suzhou Huaya Intelligence Technology Co.Ltd(003043) self evaluation of internal control
According to the identification of major defects in the company’s internal control over financial reporting, on the benchmark date of the internal control evaluation report, the company has no major defects in the internal control over financial reporting. The board of Directors believes that the company has maintained effective internal control over financial reporting in all major aspects in accordance with the requirements of the enterprise’s internal control standard system and relevant regulations.
According to the identification of major defects in the company’s internal control over non-financial reports, the company found no major defects in the company’s internal control over non-financial reports on the benchmark date of the internal control evaluation report.
The period from the benchmark date of internal control evaluation report to the date of internal control evaluation report.
3、 Verification opinions of the recommendation institution on Suzhou Huaya Intelligence Technology Co.Ltd(003043) internal control self-evaluation report
(I) main verification work carried out by the recommendation institution
The sponsor checked the internal control evaluation report issued by the board of directors of the company on the basis of reasonable evaluation of the integrity, rationality and effectiveness of the company’s internal control by consulting the company’s internal control system related to financial reports and information disclosure affairs, spot checking the internal control process records, communicating with the company’s internal auditors and senior managers, and combining with daily continuous supervision.
(II) verification opinions of the recommendation institution
After verification, the sponsor believes that Suzhou Huaya Intelligence Technology Co.Ltd(003043) ‘s corporate governance structure is relatively sound, and the existing internal control system and implementation meet the requirements of relevant laws and regulations and securities regulatory authorities Suzhou Huaya Intelligence Technology Co.Ltd(003043) has maintained effective internal control in all major aspects related to the business operation and management of the enterprise Suzhou Huaya Intelligence Technology Co.Ltd(003043) ‘s internal control self-evaluation report reflects the construction and operation of its internal control system.
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(there is no text on this page, and the signature page of Soochow Securities Co.Ltd(601555) verification opinions on Suzhou Huaya Intelligence Technology Co.Ltd(003043) 2021 annual internal control self-evaluation report)
Sponsor representative:
Chen Xinci, Wang Maohua
Soochow Securities Co.Ltd(601555) April 18, 2022
