Sinolink Securities Co.Ltd(600109)
About Western Regions Tourism Development Co.Ltd(300859)
2021 annual tracking report
Name of Sponsor: Sinolink Securities Co.Ltd(600109) sponsor company abbreviation: Xiyu Tourism
Name of sponsor representative: Wu Chengda Tel: 02886690159
Name of sponsor representative: Zhang Sheng Tel: 02886690159
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) Number of times the company’s information disclosure documents were not reviewed in time 0
2. Supervise the company’s establishment, improvement and effective implementation of rules and regulations (1) whether the company is 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 fund-raising management system, the internal control system, the internal audit system and the related party transaction system)
(2) Whether the company effectively implements relevant rules and regulations is
3. Supervision of raised funds
(1) Number of inquiries on the company’s special account for raised funds 12
(2) Whether the progress of the company’s fund-raising projects is consistent with the information disclosure documents 4 Corporate governance supervision
(1) Times of attending the board of directors of the company 1
(2) The number of attendance at the general meeting of shareholders of the company is 0
(3) Times of attending the board of supervisors of the company as nonvoting delegates 1
5. On site inspection
(1) Number of on-site inspections 2
(2) Whether the on-site inspection report is submitted in accordance with the provisions of the exchange yes
(3) The main problems found in the on-site inspection and the rectification are none
6. Expression of independent opinions
(1) Number of independent opinions 8
(2) Issues involved in issuing non consenting opinions and concluding comments none
7. Report to the Institute (except for the on-site inspection report)
(1) Number of reports to the exchange 0
(2) The main contents of the report are not applicable
(3) The progress or rectification of the reported matters 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
10. Training for listed companies
(1) Training times 1
(2) Training date: April 25, 2021
(3) the sponsor representative shall give training to the trainees in the form of on-site explanation on the relevant provisions of information disclosure, standardized operation, insider trading, responsibilities of directors, supervisors and senior managers of listed companies, time limit for trading stocks and so on.
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
Venture capital, entrusted financial management, financial assistance and hedging are all applicable
Etc.)
10. The cooperation of the issuer or the intermediary agency hired by the issuer with the recommendation is applicable
Working conditions
Affected by the covid-19 epidemic, the company’s covid-19 epidemic has developed 11.5% in 2020 Other (including the uncertainty of business environment, business development, financial statement year and 2021 operating income and economic performance, the company will make significant changes in operating conditions, management conditions, core technologies, etc., compared with the overall situation without covid-19 epidemic Policy), The reduction of covid-19 epidemic situation in 2019 showed a sharp decline.
Impact on the company’s operating performance.
3、 Performance of commitments of the company and shareholders
Whether the commitments of the issuer and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
1. The commitment to voluntarily lock up shares is not applicable
2. The stock price stabilization plan and corresponding binding measures are not applicable
3. The shareholding intention and reduction of shareholders holding more than 5% of the company’s shares are not applicable
Intentional commitment
4. Measures and commitments to cover diluted immediate returns are not applicable
5. Binding measures that fail to fulfill commitments are not applicable
6. The commitment of pre issuance accumulated profit distribution plan is not applicable
7. The profit distribution policy commitment after this offering is not applicable
8. Other commitments: commitments to avoid horizontal competition are not applicable
4、 Other matters
Description of report items
1. The sponsor’s representative is changed and its reasons remain unchanged
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, The supervision measures of issuing warning letter to Sinolink Securities Co.Ltd(600109) shall be taken. Guojin securities has made 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, because Sinolink Securities Co.Ltd(600109) and relevant personnel failed to perform relevant duties diligently in the process of recommending Shanghai Yijie industrial safety equipment Co., Ltd. for IPO and listing, The number of invention patents disclosed in the prospectus is inaccurate, and the number of invention patents obtained by the issuer is disclosed in the registration application documents During the reporting period, the CSRC and the bourse did not pay full attention to the problems or contradictions of the sponsor. The CSRC issued the decision on administrative supervision measures [2021] No. 30 on the matters and rectification of the supervision measures taken by the sponsor company, and took supervision and management measures of issuing warning letters to Guojin securities 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. December 20, 2021,
