EBSCN(601788) Zheng Quan Zhi Xing·2025-03-27 16:25Core Viewpoint - The internal control evaluation report of Everbright Securities indicates that as of December 31, 2024, the company maintains effective internal controls over financial reporting and has not identified any significant deficiencies in both financial and non-financial internal controls [2][15]. Internal Control Evaluation Conclusion - The company has confirmed the effectiveness of its internal controls, with no significant deficiencies identified in financial reporting [2][15]. - There are no significant deficiencies in non-financial reporting internal controls as of the evaluation date [2][15]. - No factors affecting the effectiveness of internal controls have occurred between the evaluation date and the report issuance date [2][15]. Internal Control Evaluation Work Situation Evaluation Scope - The evaluation covered all major units, businesses, and high-risk areas, including subsidiaries and various business lines such as investment banking, asset management, and securities trading [3][4]. Internal Control System Construction - The company has implemented high standards for internal control system construction, focusing on risk prevention and compliance with regulatory requirements [4][5]. - Continuous improvement of internal control mechanisms has been emphasized, including the establishment of a multi-layered supervision system [5][6]. Key Business and High-Risk Area Control Measures - Investment Banking: The company has optimized its internal control management system, establishing a three-line defense mechanism to manage risks effectively [6][7]. - Securities Proprietary Trading: A centralized decision-making mechanism has been established to ensure compliance with internal control standards [7][8]. - Asset Management: A comprehensive internal control system has been developed to manage investment processes and mitigate risks [8][9]. - Futures Business: The governance structure has been improved, focusing on compliance and risk management [9][10]. - Credit Business: A robust internal control mechanism has been established to manage various risks associated with credit operations [10][11]. - Wealth Management: The company has implemented various measures to ensure compliance and effective management of wealth management activities [11][12]. - Financial Innovation: Continuous optimization of internal control mechanisms for innovative financial products has been prioritized [12][13]. - Overseas Business: The governance processes for overseas operations have been enhanced to adapt to regulatory changes [13][14]. - Subsidiary Management: A vertical and transparent management mechanism has been established to mitigate risks associated with subsidiaries [14][15]. Other Internal Control Related Major Matters - The company has not identified any significant deficiencies in internal controls in the previous year, and all identified general deficiencies have been rectified [15][16]. - An independent audit by KPMG confirmed the effectiveness of the company's internal controls as of December 31, 2024 [15][16].