Core Points - The document outlines the external investment management system of Suzhou Hailu Heavy Industry Co., Ltd, aiming to strengthen management, standardize investment behavior, and mitigate risks [1][2]. Group 1: Principles of External Investment - External investments must comply with national laws, regulations, and the company's articles of association [3]. - Investments should enhance the company's economic benefits and facilitate effective resource allocation [3]. Group 2: Approval Process - The Securities Investment Department is responsible for preparing feasibility reports for external investments, which require preliminary review by the general manager and evaluation by the Board's Strategic Committee before submission for approval [2][3]. - Specific thresholds for board approval include transactions involving assets totaling over 10% of the company's latest audited total assets or net assets, or transactions with significant impacts on revenue or profit [4][5]. Group 3: Responsibilities and Daily Management - The Securities Investment Department manages long-term equity investments and is tasked with collecting financial reports from invested entities and conducting financial analyses [10][18]. - The company must appoint representatives to oversee investments, ensuring they report on the operational status of invested entities [21][22]. Group 4: Information Disclosure - The company is obligated to fulfill information disclosure requirements in accordance with relevant regulations and internal policies [29][14]. Group 5: Accountability - Violations of the investment management system may result in disciplinary actions against responsible individuals, including warnings or termination [30][31].

Core Points - The internal control system of Suzhou Hailu Heavy Industry Co., Ltd. aims to promote standardized operations, effectively prevent and resolve operational risks, and ensure healthy and stable development of the company [1][2] - The overall goal of internal control is to establish a scientifically-based decision-making process, standardized operations, efficient management, and sustainable development [2][3] - The internal control mechanism includes organizational structure and operational constraints, while the internal control system encompasses various operational procedures, management methods, and control measures [1][2] Internal Control Objectives and Principles - The internal control objectives include compliance with laws and regulations, establishment of an effective risk control system, and improvement of management efficiency and effectiveness [2][3] - Principles guiding the internal control mechanism include comprehensiveness, independence, mutual checks and balances, and cost-effectiveness [2][3] - The internal control system should adhere to principles of comprehensiveness, prudence, effectiveness, and timeliness [3] Basic Requirements of Internal Control - The company must establish a clear and effective internal control mechanism tailored to its operational characteristics [6] - A three-line monitoring system should be implemented, including dual responsibility at frontline positions, mutual supervision among departments, and comprehensive oversight by the internal audit department [6][7] Main Content of Internal Control - Key components of internal control include environmental control, business control, monetary fund management control, accounting system control, electronic information system control, and internal audit control [12][26] - Environmental control involves governance structure, management philosophy, employee quality, and authorization control [14][15] - Business control encompasses sales, procurement, production, human resources, inventory, fixed assets, financing, and investment management [10][17] Specific Control Measures - Sales and procurement processes require clear division of responsibilities and approval systems to prevent errors and fraud [18][19] - Production control focuses on planning, progress, quality, and cost management, ensuring efficient operations [15][16] - Human resource management includes separation of duties, planning, and performance evaluation to maintain integrity and competence [21][22] Financial and Investment Control - Financial management emphasizes separation of incompatible duties, strict adherence to approval processes, and regular cash audits [26][27] - Investment management requires clear division of responsibilities, detailed investment plans, and protection of investment assets [25][24] Internal Audit Control - The internal audit department operates independently, ensuring compliance with internal control systems and reporting directly to the board of directors [30][31] - Regular audits are conducted to evaluate the effectiveness of internal controls and ensure proper execution of company policies [30][31]

Core Points - The implementation details of the cumulative voting system aim to enhance the corporate governance structure of Suzhou Hailu Heavy Industry Co., Ltd and ensure shareholders can fully exercise their rights [1][2] - The cumulative voting system allows shareholders to allocate their voting rights either to a single candidate or distribute them among multiple candidates during the election of directors [1][2] - Independent and non-independent directors will be elected separately using the cumulative voting system, ensuring compliance with regulations [2][3] Summary by Sections - The cumulative voting system is defined as the total voting rights of shareholders being equal to their total shares multiplied by the number of directors to be elected [1] - The voting rights for independent directors can only be cast for independent director candidates, while non-independent directors' voting rights are restricted to non-independent candidates [2] - In cases where the total votes for candidates are equal, a second round of voting will be conducted to determine the elected directors [3][4] - The voting process must ensure that each elected director receives more than half of the total shares held by attending shareholders [3] - The implementation details will take effect upon approval by the shareholders' meeting and will be interpreted and revised by the company's board of directors [4]

Core Points - The document outlines the behavior norms for the controlling shareholders and actual controllers of Suzhou Hailu Heavy Industry Co., Ltd, aiming to protect the rights of the company and minority shareholders [1][2][3] Group 1: General Principles - Controlling shareholders and actual controllers must act honestly and in accordance with laws and regulations, ensuring the company's and all shareholders' interests are maintained [3][4] - They are required to uphold the company's independence and not exploit their control for illegal benefits or misuse company resources [3][4] Group 2: Rights and Obligations - Controlling shareholders and actual controllers must exercise their rights and fulfill obligations without concealing their identities or evading responsibilities [2][3] - They must ensure that any agreements regarding control arrangements are clearly defined and communicated [2][3] Group 3: Information Disclosure - There is a strict obligation for controlling shareholders and actual controllers to disclose information accurately, completely, and timely, avoiding any misleading statements or omissions [4][5] - They must establish a management system for information disclosure, ensuring that all significant information is communicated to the company [18][19] Group 4: Financial Independence - Controlling shareholders and actual controllers must maintain the financial independence of the company, avoiding any non-operational occupation of company funds [6][7] - They are prohibited from using company accounts for personal or related party transactions [6][7] Group 5: Business Independence - The document emphasizes the need for maintaining the company's operational independence, preventing any conflicts of interest or competition with the company [8][9] - Controlling shareholders and actual controllers must support the company in establishing independent operational models [8][9] Group 6: Share Trading Regulations - There are specific regulations governing the buying and selling of company shares by controlling shareholders and actual controllers, including the requirement to report and disclose plans for share reductions [11][12] - They must not engage in share trading based on undisclosed significant information [13][14] Group 7: Compliance and Accountability - Controlling shareholders and actual controllers are accountable for their commitments and must ensure that any promises made are clear, actionable, and fulfilled [5][6] - They must notify the company of any significant changes in their shareholding or control status [16][17]

重大交易决策制度 苏州海陆重工股份有限公司 重大交易决策制度 （2025年修订） 第一章 总则 第一条 为了加强对苏州海陆重工股份有限公司（以下称"公司"）重大交易活 动的决策管理，保证重大交易活动的规范性、合法性和效益性，切实保护公司利益 各方的合法权益，根据《中华人民共和国公司法》《中华人民共和国证券法》《深 圳证券交易所股票上市规则》等法律、行政法规、规范性文件及《苏州海陆重工股 份有限公司章程》的规定，制定本制度。 第二条 本制度所称"重大交易"包括除公司日常经营活动之外发生的下列类型 的事项： 上述购买、出售的资产不含购买原材料、燃料和动力，以及出售产品、商品等 与日常经营相关的资产，但资产置换中涉及购买、出售此类资产的，仍包含在内。 第三条 公司的重大交易活动，应在授权、执行、会计记录以及资产保管等职责 方面有明确的分工，不得由一人同时负责上述任何两项工作。 重大交易决策制度 第二章 重大交易的审议权限 第四条 公司重大交易活动须经总经理、董事会或股东会批准。超越总经理批准 权限的事项由董事会审议批准。超越董事会审批权限的事项，应当由股东会作出决 议批准。 第五条 总经理主持公司的生产经营管理工作 ...

董事、高级管理人员所持公司股份及变动管理办法 苏州海陆重工股份有限公司 董事、高级管理人员所持公司股份及变动管理办法 第一条 为加强对苏州海陆重工股份有限公司（以下简称"公司"）董事、 高级管理人员所持本公司股份及其变动的管理，进一步明确办理程序，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》）《上市公司董事和高级管理人员所持本公司股份及其变动管 理规则》（以下简称《管理规则》）《深圳证券交易所上市公司自律监管指引第 股东及董事、高级管理人员减持股份》等法律法规、部门规章、规范性文件及《苏 州海陆重工股份有限公司章程》（以下简称《公司章程》）的相关规定，特制定 本办法。 第二条 公司董事、高级管理人员应当遵守《公司法》《证券法》和有关法 律、行政法规，中国证监会规章、规范性文件以及证券交易所规则中关于股份变 动的限制性规定。 公司董事、高级管理人员就其所持股份变动相关事项作出承诺的，应当严格 遵守。 第三条 公司董事、高级管理人员所持本公司股份，是指登记在其名下和利 用他人账户持有的所有本公司股份。公司董事、高级管理人员从事融资融券交易 的，其所持本公司股份 ...

董事会议事规则 苏州海陆重工股份有限公司 董事会议事规则 第一章 总则 第一条 为规范董事会的决策行为和运作程序，保证公司决策行为的民主化、 科学化，建立适应现代市场经济规律和要求的公司治理机制，完善公司的法人治 理结构，根据《中华人民共和国公司法》（以下简称《公司法》）等法律、法规， 以及《苏州海陆重工股份有限公司章程》（以下简称《公司章程》）的有关规定， 特制订本规则。 本规则所涉及到的术语和未载明的事项均以公司章程为准，不以公司的其他 规章作为解释和引用的条款。 第二条 公司董事会由股东会选举产生，并对股东会负责。 第二章 董事会的组成和职权 第三条 公司设董事会，对股东会负责。 第四条 董事会由 7 名董事组成，设董事长 1 人，职工代表董事 1 人。 第五条 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 ...

股东会议事规则 苏州海陆重工股份有限公司 股东会议事规则 （2025 年修订） 第一章 总 则 第一条 为维护苏州海陆重工股份有限公司（以下简称"公司"）股东合法权益， 规范公司的组织和行为，保证公司股东会依法行使职权，根据《中华人民共和国 公司法》 《中华人民共和国证券法》和《苏州海陆重工股份有限公司章程》 （以下 简称《公司章程》）以及相关法律及行政法规，制定本规则。 本规则所涉及到的术语和未载明的事项均以公司章程为准，不以公司的其他 规章作为解释和引用的条款。 第二条 上市公司应当严格按照法律、行政法规、本规则及公司章程的相关规定 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》 （二）审议批准董事会的报告； （三）审议批准公司的利润分配方案和弥补亏损方案； （四）对公司增加或者减少注册资本作出决议； （五）对发行公司债券作出决议； 《证券法》等法律、行政法规、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 ...

募集资金管理办法 苏州海陆重工股份有限公司 募集资金管理办法 第一章 总则 第一条 为完善苏州海陆重工股份有限公司（以下简称"公司"）治理，规范公司对募 集资金的使用和管理，提高募集资金的使用效率和效益，维护公司、股东、债权人及全体 员工的合法权益，特制定本办法。 第二条 本办法制定依据：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"）《深圳证券交易所股票上市规则》（以下简称 "上市规则"）《深圳证券交易所上市公司自律监管指引第 1 号——主板上市公司规范运作》 《上市公司监管指引第 2 号——上市公司募集资金管理和使用的监管要求》等法律、行政 法规、规范性文件及《苏州海陆重工股份有限公司章程》（以下简称《公司章程》）的规定。 第三条 本办法所指"募集资金"是指上市公司通过发行股票及其衍生品种，向投资 者募集并用于特定用途的资金。 公司实际发行募集资金总额扣除发行费用后的净额（以下简称"募集资金净额"）超 过计划募集资金金额的，超出部分的资金（以下简称"超募资金"）管理与使用，适用本 办法。 第四条 本办法是公司对募集资金使用和管理的基本行为准则。如募集资金投 ...

重大信息内部报告制度 苏州海陆重工股份有限公司 重大信息内部报告制度 第一章 总则 第一条 为规范苏州海陆重工股份有限公司（以下简称"公司"）的重大信 息内部报告工作，保证公司内部重大信息的快速传递、归集和有效管理，及时、 准确、全面、完整地披露信息，维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》《上市公司信息披露管理办法》《深圳证券 交易所股票上市规则》《深圳证券交易所上市公司自律监管指引第1号——主板 上市公司规范运作》等法律法规、部门规章、规范性文件及《苏州海陆重工股份 有限公司章程》（以下简称《公司章程》）《信息披露管理制度》等有关规定， 结合本公司实际，制定本制度。 第二条 公司重大信息内部报告制度是指当出现、发生或即将发生可能对公 司股票及其衍生品种交易价格产生较大影响的情形或事件时，按照本制度规定负 有报告义务的有关人员和公司，应当在第一时间将相关信息向董事长和董事会秘 书报告的制度。 第三条 本制度所称"内部信息报告义务人"包括： 第五条 公司重大信息包括但不限于公司及公司下属分支机构或全资子公司、 -1- 重大信息内部报告制度 第四条 本制度适用于公司、全资子公 ...