Citic Securities Company Limited(600030)
About Zhejiang Provincial New Energy Investment Group Co.Ltd(600032)
2021 continuous supervision report
Name of recommendation institution: Citic Securities Company Limited(600030) abbreviation of the recommended company: Zhejiang Provincial New Energy Investment Group Co.Ltd(600032)
Name of sponsor representative: Li Wanlu Tel: 01060837212
Name of sponsor representative: Chen Shumian Tel.: 02120262340
With the approval of the reply on the approval of Zhejiang Provincial New Energy Investment Group Co.Ltd(600032) initial public offering (zjxk [2021] No. 1118) of China Securities Regulatory Commission, Zhejiang New Energy Investment Group Co., Ltd. (hereinafter referred to as ” Zhejiang Provincial New Energy Investment Group Co.Ltd(600032) ,” listed company “,” company “or” issuer “) was listed on Shanghai Stock Exchange on May 25, 2021 Citic Securities Company Limited(600030) (hereinafter referred to as ” Citic Securities Company Limited(600030) ” or “sponsor”) as the sponsor of Zhejiang Provincial New Energy Investment Group Co.Ltd(600032) non-public offering of a shares, has undertaken the unfinished continuous supervision of Zhejiang Provincial New Energy Investment Group Co.Ltd(600032) original sponsor Caitong Securities Co.Ltd(601108) (hereinafter referred to as ” Caitong Securities Co.Ltd(601108) “).
Citic Securities Company Limited(600030) performs the duty of continuous supervision in accordance with the provisions of relevant laws and regulations such as the securities law, the measures for the administration of securities issuance and listing recommendation business, the stock listing rules of Shanghai Stock Exchange and the guidelines for self discipline supervision of listed companies of Shanghai Stock Exchange No. 11 – continuous supervision. The continuous supervision work in 2021 is summarized as follows:
1、 Overview of continuous supervision
On April 12, 2022, Citic Securities Company Limited(600030) signed a recommendation agreement with the company. From the date of signing the recommendation agreement, Caitong Securities Co.Ltd(601108) unfinished continuous supervision work shall be undertaken by Citic Securities Company Limited(600030) Citic Securities Company Limited(600030) and the recommendation representative have continuously supervised Zhejiang Provincial New Energy Investment Group Co.Ltd(600032) in accordance with the relevant provisions of the administrative measures for the recommendation business of securities issuance and listing and the guidelines for self discipline supervision of listed companies of Shanghai Stock Exchange No. 11 – continuous supervision. The specific work is as follows:
Supervision of serial number matters
1. Establish, improve and effectively implement the continuous supervision system. The recommendation institution has established, improved and effectively implemented the continuity, formulated the corresponding supervision system for the specific continuous supervision work, and formulated the corresponding work plan
Supervision of serial number matters
Work plan to be
In accordance with the relevant provisions of the CSRC, under continuous supervision
Before the commencement of the work, the sponsor has signed the continuous supervision agreement with the listed company or relevant parties, and the underwriting and recommendation Association 2 has been signed with the company to clarify the continuous supervision of both parties. The relevant agreement has clarified the rights and obligations of all parties during the continuous supervision and guidance period, and reported to the Shanghai Securities Trading Company for the rights and obligations during the continuous supervision and guidance period
Filed by
After daily communication, regular return visit, on-site inspection and signing the recommendation agreement, the recommendation institution has carried out continuous supervision on listed companies through daily ditch 3 due diligence, regular or irregular return visit and on-site office
During the period of continuous supervision, the listed company shall be verified in accordance with relevant regulations. During the period of continuous supervision, if there is no need to make a public statement according to the violation of laws and regulations of four companies, it shall report to the Shanghai Stock Exchange before the issuer who makes a public statement in accordance with relevant regulations discloses the violation of laws and regulations, which shall be approved by the above item
After examination, the stock exchange shall make an announcement on the designated media
During the continuous supervision, the listed company or relevant parties
In case of violation of laws and regulations, breach of commitments and other matters, it shall
Within five working days from the date of discovery or should be found, after verification and during the continuous supervision, the company or relevant party 5 shall report to the Shanghai Stock Exchange, including no major violations of laws and regulations, no violations of commitments, violations of laws and regulations by listed companies or relevant parties
For the specific circumstances of breach of commitment and other matters, the sponsor shall adopt
Supervision measures taken, etc
Supervise the listed company and its directors, supervisors and senior managers, supervise the company and its directors, supervisors and senior managers to abide by laws, regulations, departmental rules and staff members, abide by laws, regulations, departmental rules, business rules issued by Shanghai Stock Exchange and other rules, business rules and other normative documents issued by the stock exchange, and earnestly perform all documents made by them, Earnestly fulfill its commitments
Supervise listed companies to establish, improve and effectively implement the company
7. Governance system, including but not limited to the general meeting of shareholders and the board of directors urging the company to strictly implement the corporate governance system
Rules of procedure of board of directors and board of supervisors and directors and supervisors
And the code of conduct of senior managers, etc
Supervise listed companies to establish, improve and effectively implement internal control
System, including but not limited to financial management system and meeting
8. The accounting system and internal audit system, as well as the fund-raising supervision and urge the company to strictly implement the internal control system
Use of funds, related party transactions, external guarantees, external
Investment, derivatives trading, control of subsidiaries, etc
Procedures and rules for major business decisions, etc
Supervise listed companies to establish, improve and effectively implement information
Disclosure system, review the information disclosure documents and other relevant documents, urge the company to strictly implement the information disclosure system, review the nine related documents, and have sufficient reasons to believe that the information disclosure documents and other relevant documents submitted by the listed company to the Shanghai Stock Exchange are free of false “II. Review of information disclosure”
Records, misleading statements or material omissions
10 for the information disclosure documents of listed companies and certificates to China, see “II. Review of information disclosure”
Other documents submitted by the CSRC and Shanghai Stock Exchange
Supervision of serial number matters
Review in advance and disclose the information with problems
The documents shall timely urge the listed company to correct or supplement them
If the listed company does not make corrections or supplements, it shall
Report to Shanghai Stock Exchange when necessary
The information disclosure documents of listed companies were not reviewed in advance
If it is reviewed, it shall fulfill the obligation of information disclosure in the listed company
Complete the review of relevant documents within five trading days after the transaction
11. Review. For the information disclosure documents with problems, see “II. Review of information disclosure”
The listed company shall be urged to correct or supplement in time
If the company does not make corrections or supplements, it shall report to Shanghai in time
Stock exchange report
Pay attention to the listed company or its controlling shareholders and actual control
The person, director, supervisor and senior manager have been verified. During the continuous supervision, the company or its holding 12 State Securities Regulatory Commission has not been subject to administrative punishment, disciplinary shareholder, actual controller, director, supervisor and senior manager of Shanghai Stock Exchange, or have been issued by Shanghai Stock Exchange
Pay attention to the situation of the letter and urge it to improve its internal control
System and take measures to correct it
Continue to pay attention to listed companies, controlling shareholders and actual controlling shareholders
13. The performance of commitments by the company’s controlling shareholders, actual controlling shareholders and actual controllers. After verification, the company and its controlling shareholders, actual controlling shareholders and actual controllers have not fulfilled their commitments
And report to the Shanghai Stock Exchange in a timely manner.
Pay attention to public media reports on listed companies, and
Check the market rumors. Issued after verification
There are major events that should be disclosed but not disclosed by the listed company. After verification, during the continuous supervision period, if the company does not have 14 items that need to be disclosed or the information that is inconsistent with the facts, it shall urge the listed company to truthfully disclose or clarify the relevant matters that need to be clarified according to the rumors of public media;
If a listed company does not disclose or clarify, it shall report to the public in a timely manner
Report of Shanghai Stock Exchange
In case of any of the following circumstances, the sponsor shall urge the applicant
The municipal company shall make explanations and make corrections within a time limit, and make improvements at the same time
Report of Shanghai Stock Exchange: (I) listed companies are suspected of
Violation of stock listing rules and other Shanghai Securities Trading
Relevant business rules; (II) securities service institutions and
The professional opinions issued by the signatory may have been falsely verified. During the continuous supervision, the company did not have such 15 false records, misleading statements or major omissions
Violation or other improper circumstances; (III) listed companies
Securities issuance and listing recommendation Business Management Office
Circumstances stipulated in articles 71 and 72 of the law
Shape; (IV) the listed company does not cooperate with the sponsor’s continuous supervision
Guide work; (V) Shanghai Stock Exchange or sponsor
Other situations deemed necessary to be reported
16. Formulate the on-site inspection work plan for listed companies, and the recommendation institution has formulated the relevant work of on-site inspection, clarified the on-site inspection work requirements, ensured the on-site inspection plan, and clarified the work requirements of on-site inspection
Supervision of serial number matters
Work quality
A listed company shall be aware of any of the following circumstances:
Within 15 days from the date when Tao or should know or Shanghai certificate
Within the time limit required by the stock exchange, the listed company shall be listed
Special on-site inspection:
(I) suspected of major financial fraud;
(II) controlling shareholders, actual controllers and their affiliates
The person is suspected of occupying funds; After verification, during the period of continuous supervision, the company did not need 17 (III) major violation guarantee; Special on-site inspection
(IV) controlling shareholders, actual controllers and their affiliates
Persons, directors, supervisors or senior managers suspected of
Encroach on the interests of listed companies;
(V) there are significant differences in capital transactions or cash flows
Often;
(VI) the bourse or the sponsor believes that cash transfer should be carried out
Other matters of on-site verification.
The bank that regularly and irregularly checks the special account of raised funds continues to pay attention to the special account storage of raised funds, the statement of raised funds and the statement of the use of raised funds of the company, 18 the use of raised funds and the implementation of investment projects, etc. the company implements the special account storage of the commitments of raised funds in accordance with the measures for the management of raised funds, The use of raised funds shall comply with the requirements of relevant laws, regulations and departmental rules
2、 Review of information disclosure
In accordance with the measures for the administration of securities issuance and listing recommendation business of the CSRC and the self regulatory guidelines for listed companies of Shanghai Stock Exchange No. 11 – continuous supervision and other relevant provisions, the recommendation institution has reviewed the information disclosure documents of the company during the continuous supervision, verified the content, format and relevant procedures of the information disclosure documents, and the company has disclosed the information in accordance with the relevant provisions of the regulatory authorities, Make public announcements according to law to ensure that all major information disclosure is timely, accurate, true and complete, without false records, misleading statements or major omissions, and there is no situation that should be reported to Shanghai Stock Exchange in time.
3、 Whether the listed company has any matters that should be reported to the CSRC and the Shanghai stock exchange according to the measures for the administration of securities issuance and listing recommendation business and the relevant rules of the Shanghai Stock Exchange
Upon verification, Zhejiang Provincial New Energy Investment Group Co.Ltd(600032) during the continuous supervision period, there are no matters that should be reported to the CSRC and Shanghai Stock Exchange in accordance with the measures for the administration of securities issuance and listing recommendation business and the relevant rules of Shanghai Stock Exchange.
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(there is no text on this page, which is the signature page of Citic Securities Company Limited(600030) on Zhejiang Provincial New Energy Investment Group Co.Ltd(600032) 2021 annual continuous supervision report)
Signature of sponsor representative: mm / DD / yyyy
Li Wanlu
specific date
Chen Shumian
Official seal of recommendation institution: Citic Securities Company Limited(600030) mm / DD / yyyy
