Sinolink Securities Co.Ltd(600109)
About Hangzhou Zhengqiang transmission Co., Ltd
2021 continuous supervision and tracking report
Name of Sponsor: Sinolink Securities Co.Ltd(600109) abbreviation of the sponsor company: Zhengqiang Co., Ltd
Sponsor representative: Wang Fei Tel: 021 Suzhou Gyz Electronic Technology Co.Ltd(688260) 21
Sponsor representative: Yang Liguo Tel.: 021 Suzhou Gyz Electronic Technology Co.Ltd(688260) 21
1、 Overview of sponsor work
Project work content
1. Review of the company's information disclosure
(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 none
2. Supervise the company's establishment, improvement and effective implementation of rules and regulations (1) whether to supervise the company to establish and improve rules and regulations (including but not limited to)
It is not limited to the system of preventing related parties from occupying the company's resources
Fund 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 once a month
(2) Is the progress of the company's fund-raising project consistent with the information disclosure document
Consistency of parts 4 Corporate governance supervision
(1) No attendance at the general meeting of shareholders
(2) No attendance at the board of directors of the company
(3) No attendance at the board of supervisors of the company
5. On site inspection
(1) Number of on-site inspections: 1
(2) Is the on-site inspection report in accordance with the regulations of Shenzhen Stock Exchange
Scheduled submission
(3) The main problems found in the on-site inspection and the rectification are none
6. Expression of independent opinions
(1) 4 times of expressing independent opinions
(2) Issues involved in issuing non consenting opinions and concluding comments none
7. Report to Shenzhen Stock Exchange (excluding on-site inspection report)
(1) The number of reports to the Shenzhen Stock Exchange was nil
(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 with the requirements yes
10. Training for listed companies
(1) Training times: 1 time
(2) Training date: December 27, 2021
Information disclosure, standardized operation and insider trading of listed companies; (3) main contents of training: Code of conduct of actual controllers, directors, supervisors and senior managers of listed companies, time limit for trading stocks and other relevant provisions
11. There is no other recommendation work that needs to be explained
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. Changes in controlling shareholders and actual controllers are applicable
5. The deposit and use of raised funds are applicable
6. Connected transactions are not applicable
7. All external guarantees are applicable
8. Acquisition and sale of assets are applicable
9. Other business categories and important matters (including foreign investment and wind power) are applicable
Insurance investment, entrusted financial management, financial assistance, hedging, etc.)
10. It is applicable for the issuer or the intermediary institution it employs to cooperate with the sponsor
Work done 11 Others (including business environment, business development and financial statement)
Major changes in situation, management and core technology are applicable
(status)
3、 Performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
1. The commitment made at the initial public offering is not applicable
4、 Other matters
Description of report items
1. Change of the sponsor representative and its reasons
(1) On February 7, 2021, because Sinolink Securities Co.Ltd(600109) as the sponsor broker recommended by shenxianyuan Shenye Co., Ltd., failed to be diligent and responsible, and failed to fully verify the major contracts of the listed company, the CSRC issued [2021] No. 17 decision on administrative supervision measures, Take regulatory measures to issue warning letters to Guojin securities.
Sinolink Securities Co.Ltd(600109) make the following rectification: 1. Revise and improve the listing standard of the new third board and improve the project undertaking standard; 2. Formulate and improve the internal control system of investment banks and further consolidate the "three lines of defense"; 3. Strengthen the training of employees and improve their compliance awareness and professional skills; 4. Strictly implement the due diligence system and other regulations to improve the quality of business practice; 5. Start accountability procedures and implement accountability measures.
(2) On March 25, 2021, Sinolink Securities Co.Ltd(600109) and relevant personnel failed to fulfill relevant obligations diligently in the process of sponsoring the IPO and listing of Shanghai Yijie industrial safety equipment Co., Ltd During the reporting period, the CSRC and Shenzhen Securities Exchange failed to pay full attention to the inaccurate number of invention patents disclosed in the prospectus, the adoption of regulatory application documents by the note office to the recommendation institution or its recommended company, the disclosure of spear control measures for the number of invention patents obtained by the issuer and the rectification, The CSRC issued [2021] No. 30 decision on administrative supervision measures to take supervision and management measures of issuing warning letters to Sinolink Securities Co.Ltd(600109) and relevant personnel Sinolink Securities Co.Ltd(600109) take warning, carefully find and rectify problems, establish, improve and strictly implement the internal control system, work flow and operation specifications of investment banking business, be honest, trustworthy, diligent and conscientious, and effectively improve the quality of investment banking business, And conduct internal accountability for the responsible personnel according to the company's internal accountability system.
(3) On December 20, 2021, because Sinolink Securities Co.Ltd(600109) and relevant personnel did not fully verify the issuer's sales collection, internal control and other matters during the process of sponsoring the IPO and listing of Yangzhou Rixing Biotechnology Co., Ltd, The CSRC has taken administrative supervision and management measures to issue warning letters to Sinolink Securities Co.Ltd(600109) the company Sinolink Securities Co.Ltd(600109) take warning, carefully find and rectify problems, establish, improve and strictly implement the internal control system, work flow and operation specifications of investment banking business, be honest, trustworthy, diligent and conscientious, and effectively improve the quality of investment banking business, And conduct internal accountability for the responsible personnel according to the company's internal accountability system.
3. other major events to be reported none
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(there is no text on this page, which is the signature and seal page of Sinolink Securities Co.Ltd(600109) on the 2021 annual continuous supervision and tracking report of Hangzhou Zhengqiang transmission Co., Ltd.)
Sponsor representative:
Wang Fei, Yang Liguo
Sinolink Securities Co.Ltd(600109)
