Guangdong Enpack Packaging Co.Ltd(002846) : Guangdong Enpack Packaging Co.Ltd(002846) self inspection form for the implementation of internal control rules

Guangdong Enpack Packaging Co.Ltd(002846)

Self inspection form for the implementation of internal control rules

Internal control rules implementation self inspection items yes / no / inapplicable description

1、 Internal audit and audit committee operations

1. Whether the person in charge of the internal audit department is a full-time person and shall be reviewed by the auditor

Nominated by the Planning Committee and appointed and removed by the board of directors.

2. Whether the company has established an internal audit independent of the financial department is

Whether the Department is equipped with full-time internal auditors.

3. Does the internal audit department report to the audit committee at least quarterly

Will report once.

4. Is the internal audit department responsible for the following matters at least quarterly —–

Conduct an inspection:

(1) The deposit and use of raised funds are

(2) External guarantee is

(3) Related party transactions are

(4) Securities investment is

(5) Venture capital is

(6) External financial assistance is

(7) The purchase and sale of assets is

(8) Foreign investment is

(9) The company’s large capital transactions are

(10) The company and its directors, supervisors, senior managers

The capital transactions of controlling shareholders, actual controllers and their affiliates are

Situation 5. Does the audit committee hold meetings at least once a quarter

It is necessary to consider the work plan and report submitted by the internal audit department

Sue. 6. Does the audit committee report to the board of directors at least quarterly

The progress, quality and findings of an internal audit are important

Major problems and other internal audit work. 7. Does the internal audit department submit the report to the Audit Committee on time

The annual internal audit work report and the next annual internal audit are

Work plan.

2、 Internal control of information disclosure

1. Whether the company has formulated information disclosure management system and key

Big information internal confidentiality system. 2. Whether the company appoints or authorizes the Secretary of the board of directors or certificate

The securities affairs representative is responsible for checking the investors on the interactive e-commerce website

Ask questions and reply in a timely and complete manner.

3. Does the company require specific before communicating directly with specific objects

The object signs the letter of commitment. 4. The company will pay two bills each time after the investor relations activities

Whether the investor relations activity record form is prepared within the trading day

And submit the form and the presentation and documents used in the process of the activity

The documents and other attachments (if any) provided for shall be published on the interactive website of Shenzhen Stock Exchange in time and on the company’s website (if any).

3、 Internal control of insider trading

1. Does the company establish the registration management of insiders

System, confidential management of inside information and

Provisions shall be made on the registration and management of insider information before public disclosure according to law. 2. Whether the company has filled in the information before the public disclosure of inside information according to law

Write “files of insiders of listed companies” and

When planning major events, a memorandum on the progress of major events shall be formed, and whether relevant personnel sign on the Memorandum for confirmation. 3. Does the company inform the insider of the trading of the company’s securities and their derivatives within 5 trading days after the announcement of the annual report, semi annual report and relevant major events

Conduct self-examination. It is necessary for insiders to find inside information

If anyone trades, divulges insider information or suggests others to use insider information for trading, whether to verify and investigate the responsibility, and submit the relevant information and handling results to Shenzhen Stock Exchange and local securities regulatory bureau within 2 working days. 4. Directors, supervisors, senior managers and securities affairs of the company

Is the representative and the spouse of the above-mentioned personnel buying and selling shares of the company and

Whether the Secretary of the board of directors has been notified of its trading plan in writing before its derivatives.

5. Whether the related party transactions of the company are strictly subject to the approval authority and

Discuss procedures and fulfill the obligation of information disclosure in time.

4、 Internal control of raised funds

1. Are the company and its subsidiaries implementing the fund-raising project right

The raised funds shall be stored in a special account and the fund raising agreement shall be signed in time

Tripartite supervision agreement on gold. 2. Does the internal audit department review the raised funds at least quarterly

Conduct an audit on the use and storage of the raised funds, and

Express opinions on the authenticity and compliance of the use of funds. 3. Except for financial enterprises, whether the company has not invested the raised funds in financial investments such as holding trading financial assets and financial assets available for sale, lending to others and entrusted financial management,

Failure to use the raised funds for venture capital, direct or indirect

Invest in companies whose main business is to buy and sell securities, or invest in pledge, entrusted loans and other investments that change the purpose of the raised funds in a disguised form. 4. Whether the company has not used idle raised funds to temporarily supplement working capital within 12 months after venture capital investment,

Failure to change the investment direction of raised funds into permanent supplementary working capital is not applicable. The company did not make venture capital investment during the reporting period.

The over raised funds are not permanently used to supplement working capital or repay bank loans.

5、 Internal control of related party transactions

1. Does the company fill in the “information” in the business area of Shenzhen Stock Exchange within 10 trading days after the IPO listing:

The “related person data filling” column reports the related person’s letter to the Shenzhen Stock Exchange

Rest. If the related person and its information change, whether the company updates it within 2 trading days. Whether the related person information reported by the company is true, accurate and complete.

2. Whether the independent directors and supervisors of the company check at least quarterly yes

A capital transaction between the company and related persons.

3. Whether the company has made it clear that the general meeting of shareholders and the board of directors are responsible for the related party transactions

Yi’s approval authority, formulate corresponding review procedures, and

To execute. 4. Directors, supervisors, senior managers and controlling shares of the company

Whether the actual controller and its related persons do not have direct or indirect

Indirect and disguised occupation of funds of listed companies.

6、 Internal control of external guarantee

1. Does the company specify the general meeting of shareholders and the board of directors in the articles of association

On the examination and approval authority of external guarantee matters and violation of examination and approval

Accountability system for authority and review procedures.

2. Whether the company’s external guarantee strictly implements the approval authority and approval

Discuss procedures and fulfill the obligation of information disclosure in time.

7、 Internal control of major investment

1. Does the company specify the general meeting of shareholders and the board of directors in the articles of association

The examination and approval authority and review procedures for major investments are

Whether the approval authority and review procedures comply with the provisions of laws and regulations and the business rules of Shenzhen Stock Exchange.

2. Whether the company’s major investment is strictly subject to the approval authority and approval

Discuss procedures and fulfill the obligation of information disclosure in time. 3. Whether the company has not made venture capital investment in the following periods: (1) use idle raised funds to temporarily supplement the working capital period

Room; (2) It is necessary to change the investment direction of the raised funds into a permanent supplement

Within 12 months after the of working capital; (3) Within 12 months after the over raised funds are permanently used to supplement working capital or repay bank loans.

8、 Other important matters

1. Whether the controlling shareholder and actual controller of the company have signed the statement and commitment of controlling shareholder and actual controller and reported to Shenzhen Stock Exchange and the board of directors of the company for filing. Controlling shareholder and actual controlling shareholder

In case of change in the controlling person, the new controlling shareholder and actual control are

Whether the person has completed the signing and filing of the statement and commitment of the controlling shareholder and actual controller within one month after completing the change. 2. Whether the company’s directors, supervisors and senior managers have signed

The board of directors, supervisors and senior managers

The statement and letter of commitment shall be submitted to Shenzhen Stock Exchange and the board of directors of the company for filing.

3. In addition to attending the board meeting, whether the independent director has the name and number of days of the independent director each year

Using no less than ten days, the production and operation status of the company is Fang qinxiong 10

Rui Yiping 22. Construction and implementation of management, internal control and other systems

Conduct on-site inspection on the implementation of the resolution of the board of directors. Chen Jiangbo 14

Board of directors

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