Sinolink Securities Co.Ltd(600109)
About Dongguan Aohai Technology Co.Ltd(002993)
Recommendation work report in 2021
Name of Sponsor: Sinolink Securities Co.Ltd(600109) name of sponsored company: Dongguan Dongguan Aohai Technology Co.Ltd(002993) Co., Ltd. (hereinafter referred to as ” Dongguan Aohai Technology Co.Ltd(002993) “)
Name of sponsor representative: Yu Enjian Tel: 075582805993
Name of sponsor representative: Xing Sichun Tel: 075582805996
1、 Overview of sponsor work
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 supervise the company to establish and improve rules and regulations (including
Including but not limited to preventing related parties from occupying the company’s resources
Degree, raised funds 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 number of special accounts for raised funds of the company, and check the statement of raised funds account every month
(2) Whether the progress of the company’s fund-raising projects is consistent with the information disclosure documents. As of December 31, 2021, the progress of the company’s fund-raising projects is consistent with the information disclosure documents.
4. Corporate governance supervision
(1) The number of times of attending the general meeting of shareholders of the company was 0, and the meeting proposals were reviewed before or after the meeting
(2) Attend the board of directors of the company for 0 times without voting rights, and review the meeting proposals before or after the meeting
(3) The number of non voting attendance at the board of supervisors of the company was 0, and the meeting proposals were reviewed before or after the meeting
5. On site inspection
(1) Number of on-site inspections: 1
(2) Whether the on-site inspection report is in accordance with the regulations of Shenzhen Stock Exchange
give
(3) The main problems found in the on-site inspection and the rectification are none
6. Independent opinions
(1) 9 times of expressing independent opinions
(2) Issues involved in issuing non consenting opinions and concluding comments are not applicable
7. Report to Shenzhen Stock Exchange (excluding on-site inspection report)
(1) 0 times reported to Shenzhen Stock Exchange
(2) The main contents of the report are not applicable
(3) The progress or rectification of the reported items 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: May 18, 2021
(3) The main contents of the training are refinancing of listed companies and the latest policies and regulations
11. Other sponsor work that needs to be explained none
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. Change of controlling shareholder and actual controller not applicable not 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 foreign investment
Venture capital, entrusted financial management, financial assistance and hedging are all applicable
Etc.)
10. The cooperation of the issuer or the intermediary agency hired by the issuer with the recommendation is applicable
Work situation 11. Others (including business environment, business development and Finance)
Major changes in status, management status and core technology are applicable
(Standardization)
3、 Performance of shareholders and commitments of the company
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
1. Shenzhen Aohai, the controlling shareholder of the company, the actual controllers Liu Hao and Liu Lei, and Liu Xu and Kuang cuisi, the directors of the shareholders
His shareholders, Aoyue investment and AoXin investment, hold shares of the company, which is not applicable
Lin Zheng, Guo Xiugen and Zhao Chaofeng, senior managers of the company, and Han Wenbin and Liu Yong, supervisors holding shares of the company, made commitments on share locking and transfer restrictions.
2. The controlling shareholder of the company is Shenzhen Aohai, and the actual controller is Liu
Hao, Liu Lei, shareholders Liu Xu and Aoyue made the intention of holding shares, which is not applicable
Commitment to and reduction intention. 3. The controlling shareholder of the company is Shenzhen Aohai, and the actual controller is Liu
Hao, Liu Lei, shareholders Liu Xu and Aoyue investment make avoidance, which is not applicable
Commitment to industry competition. 4. The controlling shareholder of the company is Shenzhen Aohai, and the actual controller is Liu
Hao, Liu Lei, director Liu Xu as a shareholder, other shareholders are
Aoyue investment and AoXin investment make commitments to reduce and standardize related party transactions. 5. The controlling shareholder of the company is Shenzhen Aohai, and the actual controller is Liu
Hao and Liu Lei made a decision to undertake social insurance and housing provident fund
Commitment to payment obligations.
6. The actual controller of the company and its controlling shareholder Shenzhen Aohai is
Liu Hao, Liu Lei and other non independent directors and senior managers made measures and commitments to fill the diluted immediate return. 7. The company and its controlling shareholder Shenzhen Aohai, director (excluding
Independent directors) and senior managers make decisions to stabilize the company’s share price
Commitment. 8. The company and its controlling shareholder, Shenzhen Aohai, are the actual controllers
Liu Hao, Liu Lei and other directors, supervisors and senior managers are
The prospectus member makes a commitment that there are no false records, misleading statements or major omissions in the prospectus. 9. The company and its controlling shareholders, actual controllers and all directors
Yes, supervisors and senior managers make unfulfilled commitments
Commitment to take binding measures at the time of implementation.
4、 Other matters
Description of report items
1. The change of sponsor representative and its reasons are not applicable
2. During the reporting period, China Securities Regulatory Commission and Shenzhen (1) China Securities Regulatory Commission “[2021] No. 17” decision on Issuing warning letter to Sinolink Securities Co.Ltd(600109) stock exchange against recommendation institutions or their recommended limited companies “,” decision on taking regulatory measures against company “[2021] No. 19” and “decision on taking regulatory talk measures against Huang Hongjun” and rectification
Rectification 1) details
February 7, 2021, The CSRC issued “[2021] No. 17” decision on Issuing warning letter to Sinolink Securities Co.Ltd(600109) to Sinolink Securities Co.Ltd(600109) : “After investigation, we will find that your company has the following violations: as the sponsor securities firm recommended by shenxianyuan Shenye Co., Ltd., it is not diligent and responsible, and the verification of major contracts of the listed company is not sufficient”. The CSRC takes administrative supervision measures of issuing warning letters to Sinolink Securities Co.Ltd(600109) take. On the same day, the CSRC issued the decision on taking regulatory conversation measures against Huang Hongjun [2021] No. 19 to Huang Hongjun, the head of the recommended listing project team of shenxianyuan Shenye Co., Ltd.
2) Rectification
After the incident, Sinolink Securities Co.Ltd(600109) took a warning, carefully found and rectified the problems, and made the following rectification: first, revise and improve the listing standard of the new third board and improve the project undertaking standard; Second, formulate and improve the internal control system of investment banks and further consolidate the “three lines of defense”; Third, strengthen the training of employees and improve their compliance awareness and professional skills; Fourth, strictly implement the due diligence system and other regulations to improve the quality of business practice; Fifth, start accountability procedures and implement accountability measures.
(2) China Securities Regulatory Commission “[2021] No. 30” decision on regulatory measures for issuing warning letters to Sinolink Securities Co.Ltd(600109) Co., Ltd., Li Weijia and Li Chao and rectification
1) Specific situation
March 25, 2021, The CSRC issued “[2021] No. 30” decision on the regulatory measures of issuing warning letters to Sinolink Securities Co.Ltd(600109) and Li Weijia and Li Chao: “After investigation, I will find that you failed to perform relevant duties diligently in the process of sponsoring the IPO and listing of Shanghai Yijie industrial safety equipment Co., Ltd
