Shanghai Step Electric Corporation(002527) internal control rules implementation self inspection form
Securities code: Shanghai Step Electric Corporation(002527) securities abbreviation: Shanghai Step Electric Corporation(002527) self inspection form for the implementation of internal control rules
Internal control rules implementation self inspection items yes / no / inapplicable description
1、 Internal audit operation
1. Whether the person in charge of the internal audit department is a full-time person and is specially designated by the board of directors or its
Nomination by the door Committee and appointment and removal by the board of directors.
2. Whether the company has established an internal audit department independent of the financial department, and whether it is equipped with
Set up full-time internal auditors.
3. Does the internal audit department report to the board of directors or its special committee at least quarterly
Will report once.
4. Does the internal audit department check the following matters at least once a quarter —–
Check:
(1) Deposit and use of raised funds
(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 non operating capital transactions are
(10) The company and its directors, supervisors, senior managers, controlling shareholders and
Capital transactions of international controllers and their affiliates
5. Does the audit committee meet at least once a quarter to review the internal audit
Work plans and reports submitted by the accounting department.
6. Does the audit committee report on internal audit to the board of directors at least quarterly
Internal audit work such as work progress, quality and major problems found.
7. Whether the internal audit department submits the annual internal audit report to the Audit Committee on time is
Report and internal audit work plan for the next year.
2、 Internal control of information disclosure
1. Whether the company has formulated information disclosure management system and internal control of major information is
Confidentiality system.
2. Whether the company appoints or authorizes the Secretary of the board of directors or securities affairs representative to be responsible for
Check the investor’s questions on the interactive website and reply in a timely and complete manner.
3. Whether the company requires specific objects to sign commitments before communicating directly with specific objects is
Books. 4. Does the company decide whether the investor relations activities will be carried out within two trading days after the end of each investor relations activity
Prepare the record form of investor relations activities and record the form and what happened in the process of the activities
Timely use of the documents (such as the documents published on the company’s website and submitted on the company’s website).
3、 Internal control of insider trading
Shanghai Step Electric Corporation(002527) internal control rules implementation self-examination Table 1. Whether the company has established a registration management system for insiders to
The confidential management of information and the inside information before the inside information is publicly disclosed according to law are
Regulations on the registration management of informed personnel. 2. Whether the company has filled in the “listed company” before the public disclosure of inside information according to law
Insider information insider files and form important events when planning major events
Whether relevant personnel have signed the memo for confirmation. 3. Whether the company buys and sells the company’s securities and related information to insiders within 5 trading days after the announcement of annual report, semi annual report and relevant major events
Conduct self inspection on the situation of derivative varieties. Insiders who discover inside information
In case of off-screen trading, disclosure of insider information or suggestion to others to use insider information for trading, whether to verify and investigate the responsibility, and submit the relevant situation and handling results to Shenzhen Stock Exchange and local securities regulatory bureau within 2 working days. 4. Directors, supervisors, senior managers and securities affairs representatives of the company
Whether the spouse of the employee is in writing before buying and selling the company’s shares and their derivatives
Notify the Secretary of the board of directors of its trading plan.
5. Whether the related party transactions of the company strictly implement the approval authority and review procedures and timely
Fulfill the obligation of information disclosure.
4、 Internal control of raised funds
1. Whether the company and its subsidiaries implementing the fund-raising projects have carried out yes to the raised funds
The special account shall be stored and the tripartite supervision agreement for raised funds shall be signed in time. 2. Does the internal audit department use and deposit the raised funds at least quarterly
Conduct an audit of the situation and the authenticity and compliance of the use of the raised funds
issue opinion. 3. Except for financial enterprises, has the company not invested the raised funds in the held trading financial assets and financial assets available for sale, lent them to others and entrusted them
Finance and other financial investments do not use the raised funds for venture capital, direct or
Indirect investment in companies whose main business is the trading of securities, or investment for pledge, entrusted loan and other disguised changes in the purpose of raised funds. 4. Is the company unused and idle within 12 months after venture capital investment
The raised funds temporarily supplement the working capital, and the investment direction of the raised funds is not changed to never applicable. The company does not supplement the working capital for a long time, and does not permanently use the over raised funds to supplement the working capital investment
Or repay bank loans.
5、 Internal control of related party transactions
1. Whether the company has reported to the public through the “data filling: related person data filling” column in the business area of Shenzhen Stock Exchange within 10 trading days after the IPO listing
Shenzhen Stock Exchange shall report the information of related parties.
If the related person and its information change, the public is
Whether the company updates 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 the company’s relationship with relevant departments at least once a quarter
Financial transactions between associates.
3. Whether the company has defined the approval authority of the general meeting of shareholders and the board of directors for related party transactions is
Formulate corresponding review procedures and implement them.
4. The company’s directors, supervisors, senior managers, controlling shareholders and actual control are
Whether there is no direct, indirect or disguised occupation of the listed company by the person and its affiliates
Shanghai Step Electric Corporation(002527) internal control rules and implementation of self inspection table funds.
6、 Internal control of external guarantee
1. Whether the company has specified in the articles of association the provisions of the general meeting of shareholders and the board of directors on external guarantee
The examination and approval authority of the matter and the accountability for violating the examination and approval authority and review procedures are
System.
2. Whether the external guarantee of the company strictly implements the approval authority and review procedures and is timely
Fulfill the obligation of information disclosure.
7、 Internal control of major investment
1. Whether the company has specified in the articles of association the requirements of the general meeting of shareholders and the board of directors for major investments
Approval authority and review procedures, and whether the relevant approval authority and review procedures comply with yes
Provisions of laws and regulations and business rules of Shenzhen Stock Exchange.
2. Whether the major investment of the company strictly implements the examination and approval authority and review procedures and timely
Fulfill the obligation of information disclosure. 3. Whether the company has not made venture capital during the following periods: (1) use idle
The period during which the raised funds temporarily supplement the working capital; (2) Within 12 months after the raised funds are invested in the company without more permanent risk replenishment of working capital; (3) The over raised funds will not be applicable to investment
Permanently used to supplement working capital or repay bank loans within 12 months.
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.
If the controlling shareholder or actual controller changes, the new controlling shareholder or actual controller is
Whether the controller 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 and updated in time
The statement and commitment of directors, supervisors and senior managers was later reported to Shenzhen Stock Exchange
And the board of directors of the company.
3. Whether the number of days for the company’s independent directors to attend the board meeting is less than 20 days, except for the name of Mr. Wang and Mr. Miao, and whether the number of days for the company’s independent directors to attend the board meeting is less than 20 days
Conduct on-site inspection on the construction and implementation of the and the implementation of the resolutions of the board of directors. Yan Jie 24
Zhong bin 27
Shanghai Step Electric Corporation(002527) board of directors April 26, 2022
