Sealand Securities Co.Ltd(000750)
About Sichuan Dawn Precision Technology Co.Ltd(300780)
2021 continuous supervision and tracking report
Name of recommendation institution: Sealand Securities Co.Ltd(000750) abbreviation of the recommended company: Sichuan Dawn Precision Technology Co.Ltd(300780)
Name of sponsor representative: Yin Guoping Tel: 075583707473
Name of sponsor representative: Wu Jianrui Tel: 075583707473
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 the company's information disclosure documents were not reviewed in time 0 times 2. Supervise the company's establishment, improvement and effective implementation of rules and regulations (1) whether the company was supervised to establish and improve rules and regulations (including but not limited to the system to prevent related parties from occupying the company's resources, the raised 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 company's special account for raised funds for 4 times
(2) Whether the progress of the company's fund-raising projects is consistent with the information disclosure documents 4. Corporate governance supervision
(1) The number of attendance at the general meeting of shareholders of the company is 0. When the sponsor representative fails to attend the third meeting as a nonvoting delegate, the company notifies the sponsor representative of (2) the number of times of attending the board of directors of the company as a nonvoting delegate, and the sponsor representative (3) the number of times of attending the board of supervisors of the company as a nonvoting delegate has reviewed the relevant documents, Special opinions on proposals requiring recommendation opinions have been issued and fully communicated with the company's management.
5. On site inspection
(1) Number of on-site inspections: 1
(2) Whether the on-site inspection report is submitted in accordance with the provisions of the exchange yes
(3) Main problems found in on-site inspection and rectification 1 According to the investigation, in June 2021, Mr. Wang Fumin, the director and shareholder of the company, received the decision on taking regulatory talk measures against Wang Fumin issued by Sichuan regulatory bureau of China Securities Regulatory Commission (hereinafter referred to as "Sichuan Securities Regulatory Bureau")
Decision on administrative and regulatory measures [2021] No. 15) (hereinafter referred to as "regulatory talk"): Wang Fumin, as a shareholder and director holding more than 5% of Sichuan De'en Precision Technology Co., Ltd, On March 25, 2021, 2000 Sichuan Dawn Precision Technology Co.Ltd(300780) shares were reduced through centralized bidding trading, accounting for 0.0014% of the total share capital of the company, with a transaction amount of 31680 yuan. The above reduction occurred within 30 days before the announcement of Sichuan Dawn Precision Technology Co.Ltd(300780) 2020 annual report, and the reduction plan was not disclosed 15 trading days in advance.
2. After investigation, in March 2021, Ms. Zhang Jia, chief financial officer of the company, received the decision on Issuing warning letter to Zhang Jia issued by Sichuan Securities Regulatory Bureau (decision on administrative supervision measures [2021] No. 8) (hereinafter referred to as "warning letter") : as the chief financial officer of Sichuan Dawn Precision Technology Co.Ltd(300780) finance department, Zhang Jia's spouse Zeng Yi traded through centralized bidding in the secondary market through his securities account from August 28, 2020 to September 7, 2020, It has purchased 3200 shares of De'en Seiko and sold 3200 Sichuan Dawn Precision Technology Co.Ltd(300780) shares in total, which constitutes short-term trading.
3. Lei Yongzhi, as the chairman of Sichuan Sichuan Dawn Precision Technology Co.Ltd(300780) Technology Co., Ltd., increased 556300 shares of the company in the secondary market through his securities account from May 26, 2021 to July 6, 2021, On July 6, 2021, 5000 shares of the company were sold due to misoperation, which constituted a short-term transaction.
Rectification:
1. After discovering the situation, the company timely disclosed it through announcement, and criticized and educated relevant personnel.
2. The recommendation institution organizes Mr. Lei Yongzhi, Mr. Wang Fumin, Ms. Zhang Jia and their spouses, as well as all shareholders, directors, supervisors and senior managers holding more than 5% shares of the company to study relevant securities laws and regulations.
3. Mr. Wang Fumin resigned as a director of the company on July 5, 2021.
6. Independent opinion
(1) 7 times of expressing independent opinions
(2) Issues involved in issuing non consenting opinions and no conclusion 7. Report to the exchange (except the on-site inspection report)
(1) 0 times reported to the 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) Are there any matters needing attention? No
(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 regulations is 10. Training for listed companies
(1) Training times: 1 time
(2) Training date: December 7, 2021
(3) The main contents of the training are the guidelines for the articles of association of listed companies (Draft for comments) and the study of refinancing laws and regulations on the gem
11. Other sponsor work that needs to be explained none
2、 Problems found by the sponsor and measures taken
Problems and measures taken
1. After investigation, Wang Fumin is regarded as the fourth
Sichuan Sichuan Dawn Precision Technology Co.Ltd(300780) Technology Co., Ltd
Limited company holds more than 5% shares
East, director, March 2021
Centralized bidding was adopted on June 25
Trading method reduction Sichuan Dawn Precision Technology Co.Ltd(300780)
2000 shares, accounting for
0.0014% of the total share capital, transaction
The amount is 31680 yuan. The above minus 1. After the company found the situation, the timely holding behavior occurred when Sichuan Dawn Precision Technology Co.Ltd(300780) disclosed it through the announcement, and criticized the relevant personnel within 30 days before the announcement of the 2020 annual report, without 15 education in advance.
Disclose the reduction plan in advance on the trading day. 2. Lei Yongzhi plan organized by the recommendation institution. Mr. Wang Fumin, Zhang 1, information disclosure 2 According to the investigation, in March 2021, Ms. Jia, her spouse and Ms. Zhang Jia, the company's chief financial officer, all held more than 5% of the shares and received the shareholders, directors, supervisors Decision on Issuing warning letters from senior managers to Zhang Jia (learning from securities laws and regulations. Decision on administrative supervision measures 3. Mr. Wang Fumin resigned on [2021] No. 8) (hereinafter referred to as July 5, 2021)
