Huilin Securities Co., Ltd.
2025 Annual Internal Control Self-Evaluation Report
In accordance with the "Basic Norms for Enterprise Internal Control" and its supporting guidelines, as well as other internal control regulatory requirements (hereinafter referred to as the "Enterprise Internal Control Norms System"), and based on the Company's internal control system and evaluation methods, we have evaluated the effectiveness of the Company's internal control as of December 31, 2025 (the internal control evaluation report benchmark date).
I. Important Statement
In accordance with the Enterprise Internal Control Norms System, it is the responsibility of the Company's Board of Directors to establish, improve, and effectively implement internal control and to evaluate its effectiveness and disclose it truthfully. The Audit Committee supervises the establishment and implementation of internal control by the Board of Directors. Senior management is responsible for organizing and leading the daily operations of the Company's internal control. The Company's Board of Directors, Audit Committee, directors, and senior management guarantee that this report contains no false records, misleading statements, or significant omissions, and they bear individual and joint legal responsibility for the truthfulness, accuracy, and completeness of the report.
The objective of the Company's internal control is to reasonably ensure that operations and management are legal and compliant, assets are safe, financial reports and related information are true and complete, operating efficiency and effectiveness are improved, and development strategies are achieved. Due to the inherent limitations of internal control, it can only provide reasonable assurance for achieving these objectives. Furthermore, changes in circumstances may render internal control inappropriate, or reduce the degree of compliance with control policies and procedures. Based on the results of the internal control evaluation, there is a certain risk in inferring the future effectiveness of internal control.
II. Internal Control Evaluation Conclusion
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As of the internal control evaluation report benchmark date, does the Company have any material defects in financial reporting internal control? □ Yes √ No
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Conclusion of Financial Reporting Internal Control Evaluation √ Effective □ Ineffective
Based on the assessment of material defects in the Company's financial reporting internal control, as of the internal control evaluation report benchmark date, the Company has no material defects in financial reporting internal control. The Board of Directors believes that the Company has maintained effective financial reporting internal control in all material aspects in accordance with the requirements of the Enterprise Internal Control Norms System and relevant regulations.
- Have any material defects in non-financial reporting internal control been discovered? □ Yes √ No