Shandong Wohua Pharmaceutical Co.Ltd(002107) self inspection form for the implementation of internal control rules
Securities code: 002107 securities abbreviation: Shandong Wohua Pharmaceutical Co.Ltd(002107) Announcement No.: 2022-007 self inspection form for the implementation of internal control rules
Internal control rules implementation self inspection 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 -----
Perform an inspection:
(1) The deposit and use of raised funds are not applicable
(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 found to the board of directors at least quarterly. 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 appoints or authorizes the Secretary of the board of directors or the securities affairs representative to check the investor's questions on the interactive website and reply in a timely and complete manner. 3. Whether the company requires specific objects to sign a letter of commitment before direct communication with specific objects.
Shandong Wohua Pharmaceutical Co.Ltd(002107) self inspection form for the implementation of internal control rules
4. Whether the company prepares the investor relations activity record form within two trading days after the end of the investor relations activity each time, and timely publishes the form and the presentations, documents provided and other attachments (if any) used in the process of the activity on the interactive website of Shenzhen Stock Exchange, and at the same time 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 insider information is publicly disclosed according to law. 2. Whether the company fills in the archives of insiders of listed companies before the public disclosure of insider information according to law, and forms a memorandum on the progress of major events when planning major events, and whether relevant personnel sign on 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 makes insider trading, divulges insider information or suggests 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. 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 and procedures, and timely perform 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 timely sign the tripartite supervision agreement on the inapplicability of raised funds. 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 that are not applicable. 3. Except for financial enterprises, does the company not invest 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, and does not use the raised funds for venture capital, direct or indirect investment is not applicable to companies whose main business is the purchase and sale of securities, or for 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, has not changed the investment direction of raised funds to permanently supplement working capital inapplicable funds, and has not permanently used the over raised funds to supplement working capital or repay bank loans within 12 months after venture capital investment. 5、 Internal control of related party transactions 1. Whether the company reports the information of related parties to the Shenzhen stock exchange through the column "data filling: related party data filling" in the business area of the Shenzhen Stock Exchange within 10 trading days after the IPO listing. If the related persons and their information change, whether the company updates them within 2 trading days. Whether the related person information reported by the company is true, accurate and complete.
Shandong Wohua Pharmaceutical Co.Ltd(002107) self inspection form for the implementation of internal control rules
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 company's directors, supervisors, senior managers, controlling shareholders, actual controllers and their affiliates do not occupy the funds of the listed company directly, indirectly or in disguised form. 6、 Internal control of external guarantee 1. Whether the company has defined 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 violating the approval authority and review procedures. 2. Whether the company's external guarantee strictly implements the approval authority and 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 relevant 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 and review procedures for major investments, and timely performs the obligation of information disclosure. 3. Whether the company has not made venture capital investment during 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 supplementary 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 it to Shenzhen Stock Exchange and the board of directors 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 for filing.
3. In addition to attending the board meeting, does the independent director have the name and number of days of the independent director each year
Using no less than ten days, the production and operation status of the company is LV Wei 10
Construction and implementation of management, internal control and other systems Peng Juan 10
Conduct on-site inspection on the implementation of the resolution of the board of directors, etc. Li Junde 10
Shandong Wohua Pharmaceutical Co.Ltd(002107) board of directors January 19, 2002
