上海金力泰化工股份有限公司 内部审计制度 上海金力泰化工股份有限公司 内部审计制度 第一章 总 则 第一条 为建立健全上海金力泰化工股份有限公司（以下简称"公司"）内 部审计制度，加强公司内部审计监督，保障公司财务管理、会计核算和生产经营 符合国家各项法律法规要求，根据《中华人民共和国审计法》、中华人民共和国 审计署《关于内部审计工作的规定》《深圳证券交易所上市公司自律监管指引第 2号——创业板上市公司规范运作》等法律、法规、规范性文件及《上海金力泰 化工股份有限公司章程》（以下简称"《公司章程》"）的有关规定，制定本制 度。 第二条 本制度所称内部审计，是指由公司内部机构或人员，对公司内部控 制和风险管理的有效性、财务信息的真实性和完整性以及经营活动的效率和效果 等开展的一种评价活动。 第三条 本制度所称内部控制，是指公司董事会、审计委员会、高级管理人 员及其他有关人员为实现下列目标而提供合理保证的过程： （一） 遵守国家法律、法规、规章及其他相关规定； （二） 提高公司经营的效率和效果； （三） 保障公司资产的安全； 第二章 机构和人员 1 （四） 确保公司信息披露的真实、准确、完整和公平。 第四条 公司 ...

上海金力泰化工股份有限公司 内部控制管理制度 上海金力泰化工股份有限公司 内部控制管理制度 第一章 总则 第一条 为加强上海金力泰化工股份有限公司（以下简称"公司"）内部控制， 提高公司经营管理水平和风险防范能力，促进公司可持续发展，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》《中华人民共 和国会计法》《深圳证券交易所创业板股票上市规则》《深圳证券交易所上市公司 自律监管指引第2号——创业板上市公司规范运作》等法律法规以及《上海金力 泰化工股份有限公司章程》(以下简称"《公司章程》")的有关规定，结合本公 司的实际情况，制订本制度。 第二条 本制度所称内部控制是由公司董事会、管理层和全体员工实施的、 旨在实现控制目的的过程。 第三条 公司内部控制的目标是： （四）提高经营效率和效果； （五）促进公司实现发展战略。 第四条 本制度适用于公司及控股子公司。 第五条 公司建立与实施内部控制，应当遵循下列原则： （一）全面性原则。内部控制应当贯穿决策、执行和监督全过程，覆盖公 司及其所属单位的各种业务和事项。 （二）重要性原则。内部控制应当在全面控制的基础上，关注重要业务事 项和高风险 ...

上海金力泰化工股份有限公司 内幕信息知情人登记制度 上海金力泰化工股份有限公司 内幕信息知情人登记制度 第一章 总则 第一条 为规范上海金力泰化工股份有限公司（以下简称"公司"）的内幕 信息管理，加强内幕信息保密工作，维护信息披露的公平原则，保护投资者的合 法权益，根据《中华人民共和国证券法》《上市公司信息披露管理办法》《上市 公司监管指引第5号——上市公司内幕信息知情人登记管理制度》《深圳证券交 易所创业板股票上市规则》《深圳证券交易所上市公司自律监管指引第2号—— 创业板上市公司规范运作》《深圳证券交易所上市公司自律监管指引第5号—— 信息披露事务管理》等有关法律、法规及《上海金力泰化工股份有限公司章程》 （以下简称"《公司章程》"）等有关规定，特制定本制度。 第二条 公司董事会应当按照中国证监会、深圳证券交易所（以下简称"深 交所"）的相关规定及要求及时登记和报送内幕信息知情人档案，并保证内幕信 息知情人档案真实、准确和完整，董事长为主要责任人。董事会秘书负责办理公 司内幕信息知情人的登记入档和报送事宜。董事长与董事会秘书应当对内幕信息 知情人档案的真实、准确和完整签署书面确认意见。 第三条 内幕信息知 ...

上海金力泰化工股份有限公司 投资者关系管理制度 上海金力泰化工股份有限公司 （一）促进公司与投资者之间的良性关系，增进投资者对公司的进一步了解 和熟悉； （二）建立稳定和优质的投资者基础，获得长期的市场支持； （三）形成服务投资者、尊重投资者的企业文化； （四）促进公司整体利益最大化和股东财富增长并举的投资理念； 投资者关系管理制度 第一章 总则 第一条 为进一步规范上海金力泰化工股份有限公司（以下简称"公司"） 投资者关系工作，加强公司与投资者和潜在投资者（以下统称"投资者"）之间 的沟通，加深投资者对公司的了解和认同，促进公司和投资者之间长期、稳定的 良好关系，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 司投资者关系管理工作指引》《深圳证券交易所创业板股票上市规则》《深圳证 券交易所上市公司自律监管指引第2号——创业板上市公司规范运作》等法律、 法规、规章、规范性文件及《上海金力泰化工股份有限公司章程》（以下简称"《公 司章程》"）的规定，结合公司实际情况，制订本制度。 第二条 投资者关系管理是指上市公司通过便利股东权利行使、信息披露、 互动交流和诉求处理等工作，加强与投资者及潜在投资者 ...

证券代码：300225 证券简称：*ST金泰 公告编号：2025-117 上海金力泰化工股份有限公司 1、2021年6月14日，公司披露了《关于总裁及控股子公司总经理增持股份计 划的公告》（公告编号：2021-036）：公司董事兼总裁袁翔先生及时任控股子公 司上海金杜新材料科技有限公司董事兼总经理罗甸先生计划自本公告披露日 （2021年6月15日）起6个月内增持公司股份，增持金额分别不低于1.5亿元，增 持金额合计不低于3.0亿元。2022年9月30日，公司披露了《关于公司总裁及时任 控股子公司总经理增持股份计划期限届满暨实施结果的公告》（公告编号： 2022-100），增持主体在增持承诺期间内增持公司股份0股，增持金额0元，未完 1 关于投资者诉讼事项的进展公告 本公司及董事会全体成员保证信息披露的内容真实、准确和完整，没有虚假 记载、误导性陈述或重大遗漏。 重要内容提示： 1、案件所处的诉讼阶段：一审审结； 2、上市公司所处的当事人地位：被告； 3、执行金额：公司不承担赔偿责任，部分其他被告承担人民币1,232,724.95 元赔偿责任； 4、对公司损益的影响：对公司当期损益不产生影响。 上海金力泰化工股 ...

Core Viewpoint - The announcement highlights the penalties imposed on Jinlitai for failing to disclose its 2024 annual report within the legal timeframe, emphasizing the importance of diligence and responsibility among company executives [2][3]. Group 1: Company Accountability - Jinlitai's board members, including the chairman, secretary, and CFO, decided not to accept the audit firm's "unable to express an opinion" report, leading to a delay in the annual report disclosure until July 1, 2025 [2]. - The China Securities Regulatory Commission (CSRC) determined that Jinlitai's actions violated the Securities Law, specifically regarding the failure to submit required reports and fulfill disclosure obligations [2][3]. Group 2: Legal and Regulatory Framework - The Company Law mandates that executives must act in the best interest of the company and ensure timely disclosure of periodic reports, which is crucial for the healthy operation of capital markets [3]. - The Securities Law requires that company executives guarantee the timely, fair, and accurate disclosure of information, and they cannot evade responsibility based on their tenure or expertise [3][4]. Group 3: Recommendations for Improvement - Companies should establish robust internal control mechanisms to clarify the specific responsibilities of executives in information disclosure and ensure the quality of periodic reports [4]. - Regular training on information disclosure and corporate governance should be provided to executives, especially for newly appointed members, to enhance their professional competence and compliance awareness [4][5]. - Market forces, including media and investors, should actively monitor and evaluate the quality of information disclosure by listed companies, reporting any suspected violations to regulatory authorities [4][5].

Core Viewpoint - *ST Jintai (300225) faced regulatory penalties for failing to timely disclose its 2024 annual report, resulting in fines exceeding 400 million yuan for responsible individuals [1][2] Trading Information Summary - On November 7, *ST Jintai closed at 6.37 yuan, up 0.95%, with a turnover rate of 2.13% and a trading volume of 101,000 shares, amounting to a transaction value of 64.16 million yuan [1] - The net inflow of main funds was 2.29 million yuan, while retail investors experienced a net outflow of 3.20 million yuan [2] Company Announcement Summary - The company received a warning and a fine of 2 million yuan from the China Securities Regulatory Commission for not disclosing the 2024 annual report within the legal timeframe [1] - Key executives, including the chairman and financial director, were penalized with fines totaling over 400,000 yuan for their lack of diligence [1][2] - The company disclosed the 2024 annual report on July 1, 2025, and the incident does not trigger any major illegal delisting conditions, with normal business operations continuing [1]

Core Viewpoint - The article discusses the penalties imposed on *ST Jintai (金力泰) and Nanwei Co., Ltd. (南卫股份) due to failures in timely financial disclosures and issues related to internal control audits, highlighting the importance of independent auditing in identifying financial risks and enhancing corporate governance [1][2][6]. Group 1: Penalties and Auditing Issues - *ST Jintai was fined 4.6 million yuan due to the failure to disclose its 2024 annual report on time, with three executives involved [1][2]. - The audit firm Zhongxinghua issued a "disclaimer of opinion" on *ST Jintai's 2024 annual report, indicating significant issues with the company's internal controls [1][3]. - Nanwei Co., Ltd. also faced penalties related to its internal control audit, with the audit firm Tianheng issuing a negative opinion on its 2022 internal control report [4][5]. Group 2: Financial Irregularities - The audit report for *ST Jintai revealed that the company transferred 9.31 billion yuan to related trade partners, with a similar amount returned, raising concerns about potential fund misappropriation [2][3]. - Nanwei Co., Ltd. was found to have significant non-operational fund occupation issues, with 43.35 million yuan identified as funds occupied by its actual controller and related entities [5]. Group 3: Role of Auditors - Experts emphasize the critical role of independent auditors in identifying financial risks and enhancing the quality of information disclosure, which is essential for corporate governance [6]. - The independence and professional judgment of audit firms are crucial in maintaining market integrity and ensuring that companies address financial irregularities [6].

Core Viewpoint - The article highlights the ongoing stringent regulatory environment in the A-share market, with multiple companies facing investigations and penalties for violations related to information disclosure and financial misconduct [2][10]. Group 1: Companies Under Investigation - Eight companies disclosed that they or their controlling shareholders and executives are under investigation by the China Securities Regulatory Commission (CSRC) for violations such as information disclosure and insider trading [2][3]. - Specific companies involved include Bayi Steel, Delisted Haiyue, Intercontinental Oil & Gas, Shanghai Washba, and *ST Changyao, with allegations ranging from information disclosure violations to false financial reporting [3][4]. Group 2: Administrative Penalties - Three companies, including Delisted Longyu, ST Tiantian, and *ST Jintai, received administrative penalties, with Delisted Longyu facing fines exceeding 30 million yuan for years of financial fraud [6][8]. - Delisted Longyu was found to have inflated revenue by approximately 14.54 billion yuan and profits by 37.32 million yuan through fictitious trading activities from 2019 to 2022 [6][7]. Group 3: Impact on Companies - Companies such as Intercontinental Oil & Gas and Shanghai Washba stated that the investigations would not adversely affect their operations, as the inquiries pertain to individual shareholders rather than the companies themselves [5]. - However, *ST Changyao warned that if the CSRC's findings lead to administrative penalties, it could trigger mandatory delisting due to serious violations [5]. Group 4: Broader Regulatory Trends - The article notes a trend of increasing accountability for companies that have been delisted, emphasizing that delisting does not exempt them from regulatory scrutiny [10]. - Recent cases show that even companies that have been delisted for over a year continue to face investigations and penalties for past violations [10][11].

Core Viewpoint - The article highlights the ongoing strict regulatory environment in the A-share market, with multiple companies facing investigations and penalties for violations related to information disclosure and financial misconduct [3][11]. Group 1: Regulatory Actions - Eight listed companies disclosed investigations or penalties from the China Securities Regulatory Commission (CSRC) for violations such as information disclosure and insider trading [3][5]. - Companies involved include Bayi Steel, Delisted Haiyue, and ST Changyao, with specific allegations ranging from financial data falsification to insider trading [5][6]. - The regulatory stance emphasizes that delisting does not exempt companies from accountability, marking a shift in enforcement where violations will be pursued relentlessly [3][11]. Group 2: Specific Cases of Investigation - Bayi Steel and ST Changyao are under investigation for information disclosure violations and false financial reporting, respectively [5][6]. - Delisted Haiyue's controlling shareholder is being investigated for information disclosure violations, while Intercontinental Oil and Shanghai Xiba are facing scrutiny for short-term trading and shareholder trading violations [5][6]. - Companies like Intercontinental Oil claim that the investigations do not impact their operations, asserting normal business continuity [6]. Group 3: Administrative Penalties - Three companies, including Delisted Longyu, ST Tian Sheng, and ST Jintai, received administrative penalties, with Delisted Longyu facing significant fines for years of financial fraud [7][8]. - Delisted Longyu was found to have inflated revenue by approximately 14.54 billion yuan and profits by 37.32 million yuan through fictitious trading activities from 2019 to 2022 [9]. - ST Jintai and ST Tian Sheng also faced penalties for failing to disclose annual reports on time and for profit inflation in previous financial statements [10][12]. Group 4: Broader Implications - The article notes that even companies that have been delisted are not escaping penalties, with several facing investigations for past violations [11][12]. - Recent statistics indicate that multiple companies have been penalized for failing to disclose annual reports or for falsifying financial data, reflecting a broader trend of increased regulatory scrutiny in the market [14][15].