Hitevision Co.Ltd(002955) internal control rules implementation self inspection form
Securities code: Hitevision Co.Ltd(002955) securities abbreviation: Hitevision Co.Ltd(002955) 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 makes two payments after the investor relations activities
Hitevision Co.Ltd(002955) internal control rules implementation self inspection form
Whether the record form of investor relations activities is prepared within the trading day, and the form and the presentations used in the process of the activities, documents and other attachments (if any) are published on the interactive trading website of Shenzhen Stock Exchange in time, as well as on the company's website (if any). 3、 Internal control of insider trading 1. Does the company establish the registration management of insider information 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. Whether the company and its subsidiaries implementing the raised funds project are responsible for
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
The over raised funds are not permanently used to supplement working capital or repay bank loans. 5、 Internal control of related party transactions 1. Whether the company fills 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
Hitevision Co.Ltd(002955) internal control rules implementation self inspection form
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. Whether the company has specified 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 the record. 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
The production time of Liu Dongjin is no less than 15 days
Construction and implementation of management, internal control and other systems Li Xiaowei 15
Conduct on-site inspection on the implementation of the resolution of the board of directors. Yu Changjiang 15
Hitevision Co.Ltd(002955) board of directors April 27, 2022
