On-Site Inspection Matters
Inspection Opinions
(1) Corporate Governance
| Item | Yes | No | Not Applicable |
|---|---|---|---|
| 1. Are the company's articles of association and governance systems complete and compliant? | √ | ||
| 2. Are the articles of association and three meeting rules effectively executed? | √ | ||
| 3. Are the meeting records complete, including time, place, attendees, and content? | √ | ||
| 4. Are the meeting resolutions signed by relevant attendees? | √ | ||
| 5. Do the directors, supervisors, and senior management fulfill their duties according to laws and regulations? | √ | ||
| 6. If there are significant changes in directors or senior management, are the corresponding procedures and disclosure obligations fulfilled? | √ | ||
| 7. If there are changes in the controlling shareholder or actual controller, are the corresponding procedures and disclosure obligations fulfilled? | √ | ||
| 8. Are the company's personnel, assets, finances, institutions, and business independent? | √ | ||
| 9. Is there no competition between the company and its controlling shareholder or actual controller? | √ |
(2) Internal Control
| Item | Yes | No | Not Applicable |
|---|---|---|---|
| 1. Has an internal audit system been established according to relevant regulations? | √ | ||
| 2. Has the internal audit system been established within six months after listing? | √ | ||
| 3. Is the composition of the internal audit department and audit committee compliant? | √ | ||
| 4. Does the audit committee meet at least quarterly to review the internal audit department's plans and reports? | √ | ||
| 5. Does the audit committee report to the board at least quarterly on internal audit progress and significant issues? | √ | ||
| 6. Does the internal audit department report to the audit committee at least quarterly? | √ | ||
| 7. Does the internal audit department audit the use of raised funds at least quarterly? | √ | ||
| 8. Does the internal audit department submit the next year's work plan to the audit committee two months before the end of the fiscal year? | √ | ||
| 9. Does the internal audit department submit an annual internal control evaluation report to the audit committee? | √ | ||
| 10. Are there complete and compliant internal control systems for risk investment, entrusted financial management, and hedging? | √ |