Jiangxi Selon Industrial Co.Ltd(002748) internal control rules implementation self inspection form
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 is appointed by
Nomination by the audit committee and appointment and removal by the board of directors.
2. Whether the company has established an internal audit independent of the financial department is
Whether the accounting department is equipped with full-time internal auditors.
3. Does the internal audit department report to the audit committee at least quarterly
Members will report once. 4. Is the internal audit department responsible for the following matters at least quarterly
Check item once: -----
(1) The deposit and use of raised funds are not applicable. The company's raised funds have been used up
(2) External guarantee is
(3) Related party transactions are
(4) Securities investment is not applicable. The company has not made securities investment
(5) Venture capital is not applicable. The company has not made venture capital
(6) External financial assistance is not applicable. The company has not provided external financial assistance
(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
Report the progress, quality and findings of internal audit once
Major issues and other internal audit work. 7. Does the internal audit department report to the Audit Committee on time
Submit the annual internal audit report and the internal audit report of the next year
Audit work plan. 2、 Internal control of information disclosure
1. Whether the company has formulated information disclosure management system and
Internal confidentiality system of major information.
Jiangxi Selon Industrial Co.Ltd(002748) internal control rules implementation self inspection form
2. Whether the company appoints or authorizes the Secretary of the board of directors or
The securities affairs representative is responsible for checking the investment information on the interactive e-commerce website
Investors ask questions and reply in a timely and complete manner.
3. Does the company require special before communicating directly with specific objects
Sign the letter of commitment with the designated object. 4. Does the company prepare the investor relations activity record within two trading days after the investor relations activity
Table and the demonstration text used in the process of the table and the activity is
The draft, documents provided and other attachments (if any) shall be published on the interactive website of Shenzhen Stock Exchange in time, and at the same time on the company's website (if any). 3、 Internal control of insider trading 1. Does the company establish a registration system for insiders of insider information
Management system, confidential management of inside information and in inside information is
To make provisions on the registration and management of insider information before public disclosure according to law. 2. Whether the company has disclosed the inside information to the public according to law,
Fill in the archives 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. Whether the company has informed insiders 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 inspection on the situation. Discovery of insider information
If insider trading, divulging insider information or suggesting 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
The transaction of shares of the company by the business representative and the spouse of the above-mentioned personnel is
Whether to notify the Secretary of the board of directors of its trading plan in writing before the issuance of the bill and its derivatives.
5. Whether the company strictly implements the approval authority for related party transactions, yes
Review procedures and fulfill the obligation of information disclosure in a timely manner. 4、 Internal control of raised funds 1. Whether the company and its subsidiaries implementing the raised funds project
The raised funds shall be stored in a special account and the "raising inapplicable" shall be signed in time. The raised funds of the company have been used up.
Fund tripartite supervision agreement. 2. Is the internal audit department responsible for raising funds at least quarterly
An audit shall be conducted on the use and storage of the raised funds, and the raised funds of the company that are not applicable to the raised funds have been used up.
Express opinions on the authenticity and compliance of the use of fund-raising funds.
Jiangxi Selon Industrial Co.Ltd(002748) internal control rules implementation self inspection form
3. Except for financial enterprises, does the company not invest the raised funds in financial assets such as trading financial assets and financial assets available for sale, lending to others and entrusted financial management
Investment, the raised funds are not used for venture capital, directly or inapplicable, and the raised funds of the company have been used up.
An investor indirectly invests in a company whose main business is trading securities, or for pledge, entrusted loan 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 to permanent supplementary flow 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. Whether the company fills in the "information" in the business area of Shenzhen Stock Exchange within 10 trading days after the IPO listing
Yes: the column of "related person data filling in" is reported to Shenzhen stock exchange for filing
Contact information. 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 yes at least quarterly
Review the capital transactions between the company and related parties. 3. Whether the company has made it clear that the shareholders' meeting and the board of directors have
The approval authority of the transaction, formulate corresponding review procedures, and
Can be implemented. 4. Directors, supervisors, senior managers and controlling shareholders of the company
Whether shareholders, actual controllers and their affiliates do not exist
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 directors in the articles of association
The approval authority and violation of the board of directors on external guarantee matters are
Accountability system for examination and approval authority and review procedures.
2. Whether the company's external guarantee strictly implements the approval authority, yes
Review procedures and fulfill the obligation of information disclosure in a timely manner. 7、 Internal control of major investment 1. Whether the company has specified the general meeting of shareholders and directors in the articles of association
The examination and approval authority and deliberation procedures of the Commission on 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 major investment of the company strictly implements the approval authority and yes
Review procedures and fulfill the obligation of information disclosure in a timely manner.
Jiangxi Selon Industrial Co.Ltd(002748) internal control rules implementation self inspection form
3. Whether the company has not made venture capital investment during the following periods: (1) temporarily replenish working capital with idle raised funds
period; (2) Change the raised funds to be permanently used and not applicable to the company.
Within 12 months after replenishing 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, actual
If the international controller changes, the new controlling shareholder is actually
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 directors, supervisors and senior managers of the company have
Sign and timely update the directors, supervisors and senior managers
The statement and letter of commitment of the commissioner shall be submitted 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
Make use of no less than ten days in a year to make an investment in the production and operation of the company
The construction and implementation of systems such as status, management and internal control
10. On site inspection on the implementation of resolutions of the board of directors
Check. Cai Qixiao 15
Jiangxi Selon Industrial Co.Ltd(002748) board of directors
April 26, 2022
