Investor complaint management system
(revised in April 2022)
Article 1 in order to establish and improve the investor complaint management mechanism of Hbis Company Limited(000709) (hereinafter referred to as “the company”), further standardize the handling of investor complaints and protect the legitimate rights and interests of investors, according to the company law of the people’s Republic of China This system is formulated in accordance with the relevant provisions of the securities law of the people’s Republic of China and the opinions of the general office of the State Council on Further Strengthening the protection of the legitimate rights and interests of small and medium-sized investors in the capital market (GF [2013] No. 110).
Article 2 this system is applicable to the company’s handling of investors’ complaints related to information disclosure of securities market, corporate governance, protection of investors’ rights and interests, etc. The system is not applicable to the complaints of the company’s customers, employees and other relevant stakeholders about the company’s product or service quality, labor disputes, patents, environmental protection and other production and operation related issues.
Article 3 the channels for the company to accept investor complaints mainly include: telephone, e-mail, fax, letter, visit, and complaints transmitted by the securities regulatory department or other competent departments. The company shall ensure that investors can lodge complaints to the company through any alternative channel and get effective treatment and feedback. Article 4 the Secretary of the board of directors is the main person in charge of the company’s handling of investor complaints. The main department in charge is the office of the board of directors, which is responsible for the receiving, recording, classification, handling, timely reply, archiving and other related work of investor complaints. Its main responsibilities include:
(I) accept direct complaints from investors;
(II) undertake the transfer of the “12386” complaint hotline of the CSRC and other indirect complaints; (III) investigate and verify the complaint, put forward handling opinions, and timely reply to the subject of the complaint through direct or indirect channels;
(IV) regularly summarize and analyze complaint information and put forward opinions or suggestions on strengthening and improving investor relations management.
Article 5 all departments of the company shall cooperate with the office of the board of directors in handling investor complaints, strengthen the training of complaint handling staff, provide necessary financial support and continuously improve the level of complaint handling.
Article 6 after receiving the complaint, the staff of the office of the board of directors shall carefully listen to the complainant’s opinions, truthfully fill in the investor complaint registration form, record the complainant, contact information, complaint matters and other relevant information in detail, and deal with the investor’s complaint in a timely, objective and fair manner in accordance with the laws and regulations, the provisions of the regulatory authorities and the requirements of the company’s relevant systems. The staff shall be responsible for keeping confidential the basic information of the complainant and relevant complaint materials learned in the process of handling the complaint.
Article 7 the company shall carefully verify whether the matters reflected by the investors are true, take the facts as the basis and the system as the criterion, and earnestly safeguard the legitimate rights and interests of the investors. For unreasonable complaints that lack the basis of laws and regulations, the staff shall carefully do a good job in communication and interpretation, strive for the understanding of the complainants, eliminate the misunderstanding of the investors, and protect the reputation of the company from damage.
Article 8 the company shall accept the complaints of investors on matters involving their legitimate rights and interests, including but not limited to: (I) there are violations in information disclosure or violations of the company’s information disclosure management system;
(II) the governance mechanism is not perfect, and the decision-making procedures for major matters violate the provisions of laws and regulations, the articles of association and other internal management systems;
(III) violation of information disclosure and decision-making procedures of connected transactions;
(IV) external guarantee in violation of regulations;
(V) the commitment is not fulfilled on schedule;
(VI) other acts that damage the legitimate rights and interests of investors.
Article 9 when receiving a complaint, the staff shall try their best to deal with the complaint that can be handled and replied on the spot, reply on the spot, and register the handling situation for the record; For complaints that cannot be solved on the spot, report to the department head for settlement; Complaints with significant impact, complex situations or typical significance shall be reported to the board of directors of the company for coordination and settlement at the same time.
Article 10 in principle, the complaints accepted by the company shall be settled within 30 days from the date of acceptance, and the complainants shall be informed in time, unless they are handled on the spot. If the matter complained by the complainant is complex and cannot be settled within 30 days, the staff shall apply for extension and report the situation in accordance with the requirements of relevant documents of the securities regulatory authority, and inform the complainant of the reasons for extension.
Article 11 when handling complaints, the company shall follow the principle of fair disclosure and pay attention to the confidentiality of unpublished information and other internal information; If the content of the reply to the complaint involves the information that should be publicly disclosed in accordance with the law and regulations, the time of reply to the complainant shall not be earlier than the time of public disclosure of relevant information.
Article 12 in the process of dealing with investor related complaints, if the office of the board of directors finds that the company violates the internal management system or laws and regulations in terms of information disclosure and corporate governance, it shall immediately report to the board of directors of the company. The board of directors of the company shall immediately arrange rectification, timely perform relevant information disclosure obligations, strictly perform relevant decision-making procedures, and revise and improve relevant systems.
Article 13 the company shall establish a complaint handling file for investors, which shall record in detail the complaint date, complainant, contact information, complaint matters, handling personnel, handling records, handling results and other information. The archives shall be kept for at least two years.
Article 14 in case of abnormal petitions, complaints, group visits and mass incidents, the company shall start the stability maintenance plan, and the main person in charge shall arrive at the scene to persuade and dredge the petitioners, deal with them according to law, and report to the board of directors of the company, local public security and other relevant departments in time.
Article 15 for the “12386” hotline complaints or consulting matters transmitted by the regulatory authorities, the company shall handle them in accordance with the work requirements of the regulatory authorities.
Article 16 matters not covered in this system shall be implemented in accordance with relevant national laws, regulations and the articles of association. The system shall be implemented from the date of deliberation and approval by the board of directors of the company, and the board of directors shall be responsible for interpretation and revision.
