Fujian Snowman Co.Ltd(002639) internal control rules implementation self inspection form
Securities code: Fujian Snowman Co.Ltd(002639) securities abbreviation: Fujian Snowman Co.Ltd(002639) internal control rules implementation self inspection form
Internal control rules implementation self inspection items yes / no / inapplicable description
1、 Internal audit and operation of the audit committee 1. Whether the head of the internal audit department is full-time, nominated by the audit committee and appointed and removed 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 full-time internal auditors. 3. Whether the internal audit department reports to the audit committee at least quarterly.
4. Is the internal audit department responsible for the following matters at least quarterly —–
Check the following items once:
(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 capital transactions between the company and its directors, supervisors, senior managers, controlling shareholders, actual controllers and their affiliates 5. Whether the audit committee holds a meeting at least once a quarter to review the work plan and report submitted by the internal audit department. 6. Whether the audit committee reports the internal audit progress, quality and major problems to the board of directors at least once a quarter. 7. Whether the internal audit department submits the annual internal audit work report and the next annual internal audit work plan to the Audit Committee on time. 2、 Internal control of information disclosure 1. Whether the company has formulated information disclosure management system and internal confidentiality system of major information. 2. Whether the company assigns or authorizes the Secretary of the board of directors or securities affairs representative to check the investor’s questions on the interactive e-commerce website and reply in a timely and complete manner. 3. Whether the company requires the specific object to sign the letter of commitment before communicating directly with the specific object. 4. After the investor relations activities of the company, the two are
Fujian Snowman Co.Ltd(002639) internal control rules implementation self inspection form
Within the trading day, whether the record form of investor relations activities is prepared, and the form and the presentations used in the process of the activities, documents and other attachments (if any) are published on the interactive website of Shenzhen Stock Exchange in time, as well as on the company’s website (if any). 3、 Internal control of insider trading 1. Whether the company has established a registration management system for insider information insiders, which stipulates the confidentiality management of insider information and the registration management of insider information insiders before the disclosure of insider information according to law. 2. Whether the company has filled in the archives of insiders of listed companies before the public disclosure of insider information according to law, and formed a memorandum on the progress of major events when planning major events, and whether the relevant personnel have signed the Memorandum for confirmation. 3. Whether the company conducts self inspection on the trading of the company’s securities and their derivatives by insiders within 5 trading days after the announcement of the annual report, semi annual report and relevant major events. If it is found that the insider of the inside information conducts insider trading, divulges the inside information or suggests others to use the inside information for trading, whether to verify and investigate the responsibility, and submit the relevant situation and handling results to the Shenzhen Stock Exchange and the local securities regulatory bureau within 2 working days. 4. Whether the company’s directors, supervisors, senior managers, securities affairs representatives and the spouses of the above-mentioned persons have notified the Secretary of the board of directors in writing of their trading plans before buying and selling the company’s shares and their derivatives. 5. Whether the related party transactions of the company strictly implement the approval authority, 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 raised funds project store the raised funds in a special account and sign the tripartite supervision agreement on raised funds in time. 2. Whether the internal audit department audits the use and storage of the raised funds at least once a quarter, and gives opinions on the authenticity and compliance of the use of the raised 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, entrusted financial management, etc., and has not used the raised funds for venture capital, directly or indirectly invested in companies whose main business is trading securities, or used for pledge, entrusted loan and other investments that change the purpose of the raised funds in a disguised manner. 4. Whether the company has not used idle raised funds to supplement working capital temporarily within 12 months after venture capital investment, has not changed the investment direction of raised funds to permanent supplementary working capital, and has not permanently used the over raised funds to supplement working capital or repay bank loans. 5、 Whether the data of the affiliated company is reported to the Shenzhen stock exchange for the first time within 10 days after the “affiliated company’s business information is reported to the Shenzhen Stock Exchange”. 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.
Fujian Snowman Co.Ltd(002639) internal control rules implementation self inspection form
2. Whether the independent directors and supervisors of the company check the capital transactions between the company and related persons at least once a quarter. 3. Whether the company has defined the approval authority of the general meeting of shareholders and the board of directors for related party transactions, formulated corresponding review procedures, and implemented them. 4. Whether the listed company’s direct shareholders, supervisors, indirect controllers and their actual affiliates do not exist. 6、 Internal control of external guarantee 1. Whether the company has specified in the articles of association the approval authority of the general meeting of shareholders and the board of directors on external guarantee matters and the accountability system for violation of the approval authority and deliberation procedures.
2. Whether the company’s external guarantee strictly implements the approval authority, review procedures and timely performs the obligation of information disclosure. 7、 Internal control of major investment 1. Whether the company has defined the approval authority and review procedures of the general meeting of shareholders and the board of directors for major investment in the articles of association, and 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 strictly implements the approval authority, review procedures and timely performs the obligation of information disclosure for major investments. 3. Whether the company has not made venture capital investment in the following periods: (1) temporarily replenishing working capital with idle raised funds; (2) Within 12 months after changing the investment direction of raised funds to permanent replenishment 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. If the controlling shareholder or actual controller changes, whether the new controlling shareholder or actual controller completes the signing and filing of the statement and commitment of the controlling shareholder and actual controller within one month after the change. 2. Whether the directors, supervisors and senior managers of the company have signed and timely updated the declaration and commitment of directors, supervisors and senior managers, and then reported to Shenzhen Stock Exchange and the board of directors of the company for filing.
3. In addition to attending the meeting of the board of directors, whether the independent director has the name and number of days for each independent director
Use no less than ten days a year to pay 12 yuan to the company’s production and operation
The construction and implementation of status, management and internal control systems are Hongbo
12. On site inspection on the implementation of resolutions of the board of directors
Check. Zeng Zhenglin 12
Fujian Snowman Co.Ltd(002639) board of directors April 27, 2022
