Stock Code: Shenzhen Huakong Seg Co.Ltd(000068) stock abbreviation: Shenzhen Huakong Seg Co.Ltd(000068) Announcement No.: 202233 Shenzhen Huakong Seg Co.Ltd(000068)
Announcement on regulatory measures or penalties taken by securities regulatory authorities and exchanges in the past five years
The company and all members of the board of directors guarantee that the information disclosed is true, accurate and complete without false records, misleading statements or major omissions.
Shenzhen Huakong Seg Co.Ltd(000068) (hereinafter referred to as “the company”) has been committed to improving the corporate governance structure, establishing and improving the internal management and control system, standardizing the company’s operation and promoting the company’s sustainable development in strict accordance with the company law of the people’s Republic of China, the securities law of the people’s Republic of China, the stock listing rules of Shenzhen Stock Exchange and other laws, regulations and normative documents, as well as the relevant provisions and requirements of the articles of association Stable and healthy development, and constantly improve the level of corporate governance.
In view of the company’s intention to issue non-public shares to specific objects, according to relevant requirements, the regulatory measures or penalties taken by the securities regulatory authorities and exchanges and corresponding rectification of the company in the past five years as of the disclosure date of this announcement are disclosed as follows:
1、 The company has been punished by the securities regulatory authority and the exchange in the past five years
The company has not been punished by the securities regulatory authority and the exchange in the past five years.
2、 The company has been subject to regulatory measures taken by securities regulatory authorities and exchanges in the past five years
On April 12, 2022, Shenzhen Securities Regulatory Bureau issued the letter of Shenzhen Securities Regulatory Bureau on the supervision of Shenzhen Huakong Seg Co.Ltd(000068) the main contents and the rectification measures of the company are as follows:
(I) main contents
“Recently, our regulatory bureau has noticed that the Beijing Arbitration Commission has made a ruling on the entrusted financial management dispute between your company and Tongfang Investment Co., Ltd., which will have a great impact on your company. In order to safeguard the legitimate rights and interests of listed companies and all shareholders, we hereby put forward the following regulatory requirements for your company:
1、 The board of directors, the board of supervisors and the management of your company shall strictly abide by the provisions of laws and regulations and the articles of association, faithfully and diligently exercise their functions and powers for the interests of the listed company and all shareholders, and earnestly maintain the safety and integrity of the company’s assets.
2、 Your company shall conduct a comprehensive self-examination of the entrusted financial management matters in combination with the results of the arbitration award, including but not limited to the cause and process of the event, the definition of legal responsibilities of relevant parties, the company’s internal decision-making procedures, and the performance of information disclosure, carefully study and judge the possible impact on the company, and timely perform the obligation of information disclosure in accordance with the law.
3、 After receiving this regulatory opinion letter, your company shall timely inform the controlling shareholders, actual controllers and all directors, supervisors and senior managers of the relevant situation, carefully carry out self-examination on the above situation, and submit the self-examination report reviewed by the board of directors to our bureau before April 30, 2022. Our bureau will decide whether to take further regulatory measures according to the situation. “
(II) rectification measures
After receiving the letter of opinion on the supervision of Shenzhen Huakong Seg Co.Ltd(000068) from Shenzhen Securities Regulatory Bureau, the company attached great importance to it and quickly organized and established a special self inspection leading group of the company with the general manager as the leader of the leading group and the leaders and department heads of the securities department, audit department and risk control department as the members. Under the guidance of the audit committee of the board of directors and in combination with the results of the arbitration award, the company carried out relevant self inspection in an orderly manner. The company strictly complied with the relevant provisions of information disclosure and timely fulfilled the company’s information disclosure obligations. According to the requirements of the regulatory opinion letter of the securities regulatory bureau, the company has carried out comprehensive self-examination from seven aspects: system construction, financial management, seal management, contract management, legal affairs management, “three meetings” management and information disclosure performance, and submitted the self-examination report reviewed by the board of directors to Shenzhen Securities Regulatory Bureau on April 26, 2022.
The company will actively respond and concentrate on stopping and pulling losses, timely fulfill the obligation of information disclosure, and strengthen the management of investor relations to avoid the adverse impact on the company and small and medium-sized investors due to the abnormal fluctuation of the company’s share price. The company will use various training means to strengthen the independent learning, training and education of the directors, supervisors and senior executives, and improve the compliance awareness and law-abiding awareness of the directors, supervisors and senior executives through the combination of continuous dynamic learning of laws and regulations and participating in the professional follow-up training organized by the regulatory authorities and the company. In the next step, the company will establish and improve the long-term mechanism, emphasize process management and system process management, earnestly perform its responsibilities in strict accordance with the requirements of relevant laws and regulations, and continuously improve the governance level, so as to ensure and promote the sustainable and healthy development of the company.
In addition to the above circumstances, the company has not been subject to other regulatory measures taken by the securities regulatory authorities and exchanges in the past five years.
It is hereby announced.
Shenzhen Huakong Seg Co.Ltd(000068) board of directors may 20, 2002
