Management System for Shareholding by Directors and Senior Management of Ruida Futures Co., Ltd. (April 2026)
Chapter 1 General Principles
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To strengthen the management of shares held and traded by the directors and senior management of Ruida Futures Co., Ltd. (hereinafter referred to as "the Company"), this system is formulated in accordance with the Company Law of the People's Republic of China (hereinafter referred to as "the Company Law"), the Securities Law of the People's Republic of China (hereinafter referred to as "the Securities Law"), the Shenzhen Stock Exchange Listing Rules, the Management Rules for Shares Held by Directors and Senior Management of Listed Companies and Their Changes, and the Self-Regulatory Guidelines No. 10 for Listed Companies on the Shenzhen Stock Exchange—Share Change Management, as well as relevant provisions of the Articles of Association, combined with the actual situation of the Company.
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This system applies to the shares and derivatives held by the Company’s directors, senior management, and the individuals, legal entities, or other organizations specified in Article 19 of this system.
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Shares held by the directors and senior management of the Company refer to all shares registered in their names and those held through others' accounts. For directors and senior management engaged in margin trading, it also includes shares recorded in their credit accounts.
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Before trading the Company’s stocks and their derivatives, the Company’s directors and senior management must be aware of the prohibitions against insider trading, market manipulation, and short-term trading as stipulated in the Company Law, Securities Law, and other relevant laws and regulations, and must not engage in illegal trading.
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Directors and senior management who make commitments regarding shareholding ratios, holding periods, methods of change, quantities, and prices must strictly adhere to those commitments.
Chapter 2 Reporting Management
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The Company’s board secretary is responsible for managing the identity and shareholding data and information of the Company’s directors, senior management, and the individuals, legal entities, or other organizations specified in Article 19 of this system, and will handle online reporting of personal information for relevant personnel, regularly checking their disclosure of share trading.
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Before trading the Company’s stocks and their derivatives, the Company’s directors and senior management must notify the board secretary of their trading plans in writing. The board secretary should verify the progress of the Company’s information disclosure and significant matters. If the trading behavior may violate laws, regulations, or the Company’s Articles of Association, the board secretary must promptly notify the relevant directors and senior management in writing and highlight the associated risks.
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In cases where the Company issues shares or implements an equity incentive plan, additional transfer price, performance assessment conditions, or lock-up period restrictions may be imposed on the transfer of shares held by directors and senior management. The Company must apply to the Shenzhen Stock Exchange for the registration of the relevant personnel's shares as shares with limited sale conditions when handling share change registration and other procedures.
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The Company’s directors and senior management must delegate the Company to report their personal and their relatives' (including spouses, parents, children, siblings, etc.) identity information (including name, position, ID number, securities account, resignation time, etc.) to the Shenzhen Stock Exchange at the following times:
- (1) When new directors and senior management are appointed during the Company’s application for stock listing;
- (2) Within two trading days after the shareholders' meeting (or employee representative meeting) approves the appointment of new directors;
- (3) Within two trading days after the board approves the appointment of new senior management;
- (4) Within two trading days after any changes in the personal information of current directors and senior management;
- (5) Within two trading days after current directors and senior management resign;
- (6) Other times as required by the Shenzhen Stock Exchange.