General Principles - The company establishes a system to manage the shares held by its directors, senior management, and core technical personnel to maintain market order and comply with relevant laws and regulations [1][2] - This system applies to all shares held by the aforementioned personnel, including those held in others' accounts and those in margin trading [2] Restrictions on Share Transfers - Directors and senior management are prohibited from transferring shares under certain conditions, such as within one year of the company's stock listing or within six months after leaving the company [2][5] - Specific circumstances that restrict share transfers include ongoing investigations by regulatory bodies or legal actions against the company or the individual [2][5] Trading Restrictions - Directors and senior management are not allowed to trade company shares during specific periods, such as 15 days before the announcement of annual or semi-annual reports [3][4] - Violations of trading regulations, such as selling shares within six months of purchase, will result in the company reclaiming profits from such transactions [4] Share Reduction Regulations - Directors and senior management can only reduce their holdings by a maximum of 25% of their total shares each year during their term and for six months after their term ends [5] - Core technical personnel are subject to a 36-month restriction on transferring shares acquired before the company's initial public offering [6] Reporting and Disclosure Requirements - The company secretary is responsible for managing and reporting the shareholdings of directors and senior management, ensuring compliance with disclosure regulations [11][12] - Any changes in shareholdings must be reported within two trading days, including details such as the number of shares before and after the change [12][18] Compliance and Penalties - Violations of the share transfer regulations may lead to penalties from the China Securities Regulatory Commission, including mandatory repurchase of shares and fines [21][22] - The company is responsible for ensuring that insiders do not engage in trading based on non-public information [10]

Core Points - The company, Guotai Epoint Software Co., Ltd., was established as a joint-stock company and registered in Suzhou, China, with a registered capital of 330 million RMB [2][3] - The company was listed on the Shanghai Stock Exchange's Sci-Tech Innovation Board on November 17, 2021, after issuing 82.5 million shares [2][3] - The company's business scope includes software development, electronic equipment sales, and various IT services [4][5] Company Structure - The company is governed by its articles of association, which outline the rights and responsibilities of shareholders, directors, and senior management [3][4] - The chairman of the board serves as the legal representative of the company, and the company is liable for civil activities conducted by the legal representative [3][4] - Shareholders are only liable for the company's debts to the extent of their subscribed shares, while the company is responsible for its debts with all its assets [3][4] Share Issuance and Management - The company issues shares in the form of stocks, with each share having a par value of 1 RMB [5][6] - The total number of shares issued by the company is 330 million, all of which are ordinary shares [5][6] - The company cannot provide financial assistance for others to acquire its shares, except under specific conditions approved by the board [6][7] Shareholder Rights and Responsibilities - Shareholders have the right to receive dividends, attend meetings, and supervise the company's operations [9][10] - Shareholders holding more than 5% of the shares must report any pledge of their shares to the company [15][16] - The company must maintain a shareholder register, which serves as proof of share ownership [9][10] Corporate Governance - The company must hold annual general meetings within six months after the end of the fiscal year [51][52] - The board of directors is responsible for convening shareholder meetings and must ensure compliance with legal and regulatory requirements [55][56] - Shareholders can propose agenda items for meetings, and the company must provide adequate notice of the meeting details [61][62]

Core Points - The document outlines the independent director system of Guotai Xindian Software Co., Ltd, aiming to enhance corporate governance and protect minority shareholders' interests [1][2][3] - Independent directors must not hold any other positions within the company and should maintain independence from major shareholders and actual controllers [1][2][4] - The company must ensure that independent directors constitute at least one-third of the board, including at least one accounting professional [2][4][5] Summary by Sections General Principles - The independent director system is established to improve corporate governance and protect minority shareholders' rights [1] - Independent directors are defined as those who do not hold other positions in the company and have no significant relationships that could affect their judgment [1][2] Responsibilities and Duties - Independent directors have a duty of loyalty and diligence to the company and all shareholders, particularly focusing on protecting minority shareholders' rights [2][10] - They are responsible for participating in decision-making, supervising potential conflicts of interest, and providing professional advice [10][20] Qualifications and Independence - Independent directors must meet specific qualifications, including legal, accounting, or economic experience, and must not have any significant conflicts of interest [7][10] - The document specifies conditions under which individuals cannot serve as independent directors, including those with significant shareholdings or familial ties to major shareholders [4][5] Nomination and Election - Independent director candidates can be proposed by the board or shareholders holding more than 1% of the company's shares, and must be approved by the shareholders' meeting [12][13] - The nomination process requires thorough vetting of candidates' qualifications and independence [13][14] Term and Dismissal - Independent directors serve terms aligned with other board members, with a maximum continuous service of six years [17][19] - The company must promptly disclose reasons for any early termination of an independent director's position [19] Special Rights and Meetings - Independent directors have the right to independently hire external consultants and propose meetings to address significant issues [21][22] - Regular meetings of independent directors are mandated to ensure effective communication and decision-making [34][35] Support and Resources - The company is required to provide necessary resources and support for independent directors to fulfill their duties effectively [43][44] - Independent directors should have equal access to information as other board members to ensure informed decision-making [44][46] Reporting and Accountability - Independent directors must submit annual reports detailing their activities and any issues encountered during their tenure [32][33] - They are obligated to report any significant obstacles to their duties to regulatory authorities if necessary [15][20]

Core Viewpoint - The company has established a set of guidelines for media interviews and investor research reception to enhance communication with investors and media, ensuring transparency and fairness in information disclosure [1][2]. Group 1: Purpose and Principles - The purpose of the guidelines is to standardize the company's interactions with investors and media, improving transparency and governance [1][2]. - The company adheres to principles of fairness, compliance, equality, proactivity, and integrity in its investor relations management activities [2][3]. Group 2: Major Information Disclosure - Major information that must be disclosed includes financial performance, profit distribution, stock issuance, mergers and acquisitions, significant contracts, and legal matters [1][2]. - The company is prohibited from disclosing undisclosed major information during investor relations activities [4][5]. Group 3: Reception Procedures - Specific procedures for receiving media and investor inquiries include appointment scheduling, documentation, and the signing of commitment letters to ensure confidentiality [5][11]. - The company requires that all communication with specific parties be documented and stored securely [5][17]. Group 4: Training and Compliance - The company provides regular training for its board members and senior management on investor relations management [3][4]. - There are strict compliance measures in place to prevent the disclosure of undisclosed major information during investor relations activities [6][9]. Group 5: Reporting and Accountability - The company must report any information leaks immediately to the Shanghai Stock Exchange and issue clarifications as necessary [8][9]. - Individuals involved in investor relations activities are held accountable for any violations of the guidelines [9][10].

国泰新点软件股份有限公司 章 程 2025 年 7 月修订 | | | | 第一章 | 总 则 . . | | --- | --- | | 第二章 | 经营宗旨和范围 | | 第三章 | 股份 | | 第一节 | 股份发行 | | 第二节 | 股份增减和回购 | | 第三节 | 股份转让 . | | 第四章 | 股东和股东会 | | 第一节 | 服 本 … | | 第二节 | 控股股东和实际控制人 . | | 第三节 | 股东会的一般规定 | | 第四节 | 股东会的召集 . | | 第五节 | 股东会的提案与通知 | | 第六节 | 股东会的召开 . | | 第七节 | 股东会的表决和决议 | | 第五章 | 董事和董事会 . | | 第一节 | 董 事 | | 第二节 | 革事会 . | | 第三节 | 独立董事 . | | 第四节 | 董事会专门委员会 . | | 第六章 | 高级管理人员 . | | 第七章 | 财务会计制度、利润分配和审计 . | | 第一节 | 财务会计制度 . | | 第二节 | 内部审计 . | | 第三节 | 会计师事务所的聘任 | | 第八章 | 通知和公告 | | 第一节 ...

国泰新点软件股份有限公司 对外担保管理制度 第一章 总则 第六条 公司全体董事应当审慎对待和严格控制对外担保产生的债务风险，并 对违规或失当的对外担保产生的损失依法承担连带责任。 控股股东、实际控制人应当维护公司在提供担保方面的独立决策，支持并配合 公司依法依规履行对外担保事项的内部决策程序与信息披露义务，不得强令、指使 或者要求公司及相关人员违规对外提供担保。 第一条 为了规范国泰新点软件股份有限公司（以下简称"公司"）对外担保 行为，有效防范和控制公司对外担保风险，确保投资者的合法权益和公司财产安全， 公司依据《中华人民共和国公司法》《中华人民共和国民法典》（以下简称"《民 法典》"）、《上市公司监管指引第8号——上市公司资金往来、对外担保的监管要 求》《上海证券交易所科创板股票上市规则》（以下简称"《上市规则》"）等法 律、法规、规范性文件及《国泰新点软件股份有限公司章程》（以下简称"《公司 章程》"）的规定，制定本制度。 第二条 本制度所称"对外担保"，是指公司以第三人身份为债务人对于债权 人所负的债务提供的担保，当债务人不履行债务时，由公司按照约定履行债务或承 担责任的行为，包括公司对控股子公司提供 ...

国泰新点软件股份有限公司 董事会议事规则 第一条 为了进一步规范国泰新点软件股份有限公司（以下简称"公司"）董 事会的议事方式和决策程序，促使董事和董事会有效地履行其职责，提高董事会 规范运作和科学决策水平，根据《中华人民共和国公司法》《中华人民共和国证 券法》《上市公司治理准则》《上海证券交易所科创板股票上市规则》等法律、行 政法规、规范性文件及《国泰新点软件股份有限公司章程》（以下简称"《公司章 程》"）的有关规定，制定本规则。 第二条 公司设董事会，对股东会负责。 董事会由 7 名董事组成，其中，独立董事 3 名，职工代表董事 1 名。 （八）决定公司内部管理机构的设置； 董事会设董事长 1 人，由董事会以全体董事的过半数选举产生和罢免。 第三条 董事会行使下列职权： （一）召集股东会，并向股东会报告工作； （二）执行股东会的决议； （三）决定公司的经营计划和投资方案； （四）制订公司的利润分配方案和弥补亏损方案； （五）制订公司增加或者减少注册资本、发行债券或者其他证券及上市方案； （六）拟订公司重大收购、收购本公司股票或者合并、分立、解散及变更公 司形式的方案； （七）在股东会授权范围内，决定公司的 ...

国泰新点软件股份有限公司 股东会议事规则 第一章 总 则 第一条 为维护国泰新点软件股份有限公司（以下简称"公司"）股东合法 权益，规范公司的组织和行为，根据《中华人民共和国公司法》（以下简称"《公 司法》"）、《中华人民共和国证券法》（以下简称"《证券法》"）、《上市 公司股东会规则》《上市公司治理准则》《上海证券交易所科创板股票上市规则》 等法律、法规、规范性文件及《国泰新点软件股份有限公司章程》（以下简称"《公 司章程》"）的规定，并结合公司实际情况，制定本规则。 第二条 公司应当严格按照法律、行政法规、《公司章程》及本规则的相关 规定召开股东会，保证股东能够依法行使权利。 公司董事会应当切实履行职责，认真、按时组织股东会。公司全体董事应当 勤勉尽责，确保股东会正常召开和依法行使职权。 第三条 股东会应当在《公司法》等法律法规、规范性文件以及《公司章程》 规定的范围内行使职权，不得干涉股东对自身权利的处分。 第二章 股东会的一般规定 第四条 股东会分为年度股东会和临时股东会。年度股东会每年召开 1 次， 应当于上一会计年度结束后的 6 个月内举行。临时股东会不定期召开，有下列情 形之一的，公司在事实发生 ...

国泰新点软件股份有限公司 募集资金管理制度 第一章 总 则 第一条 为了规范国泰新点软件股份有限公司（以下简称"公司"）募集资金 的使用与管理，提高募集资金使用效益，保护投资者的合法权益，根据《中华人民 共和国公司法》《中华人民共和国证券法》《上市公司募集资金监管规则》《上海 证券交易所科创板股票上市规则》《上海证券交易所科创板上市公司自律监管指引 第 1 号——规范运作》等法律法规、规范性文件及《公司章程》的规定，结合公司 实际情况，制定本制度。 第二条 本制度所称募集资金是指公司通过发行证券股票或者其他具有股权性 质的证券，向投资者募集并用于特定用途的资金，但不包括公司实施股权激励计划 募集的资金。 第三条 公司募集资金应当专款专用。公司使用募集资金应当符合国家产业政 策和相关法律法规，践行可持续发展理念，履行社会责任，原则上应当用于主营业 务，有利于增强公司竞争能力和创新能力。公司募集资金应当投资于科技创新领域， 促进新质生产力发展。 《监管规则适用指引——上市类第 1 号》对科创公司发行股份、可转换公司债 券购买资产并募集配套资金用途另有规定的，从其规定。 第四条 公司应当建立并完善募集资金管理制度， ...

国泰新点软件股份有限公司 第三条 内部审计应遵循"依法、独立、客观、公正、自律、保密"的原则， 保证其工作合法、合理、有效，完善公司内部约束机制，加强内部管理，提高经 济效益。 第四条 公司董事、高级管理人员、公司各内部机构、控股子公司以及具有 重大影响的参股公司（以下简称"内部机构"）财务收支、经济活动均应接受本 制度规定的内部审计的监督检查。 第五条 内部审计工作内容包括但不限于内部审计的全部内容，定期年度审 计每年至少一次。 第二章 内部审计机构与人员 第六条 公司董事会设立审计委员会，直接对董事会负责。 1 内部审计制度 第一章 总则 第一条 为完善国泰新点软件股份有限公司（以下简称"公司"）治理结构， 规范公司经济行为，维护股东合法权益，提高内部审计工作质量，加大审计监督 力度，明确内部审计工作职责及规范审计工作程序，确保公司各项内部控制制度 得以有效实施，根据依据《中华人民共和国审计法》《中华人民共和国审计法实 施条例》《审计署关于内部审计工作的规定》《上海证券交易所科创板上市公司 自律监管指引第 1 号——规范运作》等法律法规、规范性文件及《国泰新点软件 股份有限公司章程》（以下简称"《公司章程 ...