中航西飞: 证券投资管理办法

Core Points - The company has established a management approach for securities investment to enhance fund utilization efficiency and safeguard investor interests [2][3] - The management approach outlines the principles and procedures for securities investment, including compliance with laws and regulations, risk control, and investment effectiveness [3][4] Group 1: Securities Investment Principles - Securities investment must comply with national laws, regulations, and the company's articles of association [3] - Investments should be legal, prudent, safe, and effective, with a focus on risk control and investment benefits [3] - The scale of securities investment must align with the company's asset structure and should not disrupt the normal operation of its main business [3] Group 2: Approval Authority and Procedures - Securities investment approval is tiered based on the amount relative to the company's audited net assets [7] - Investments up to 10% of the latest audited net assets require board approval, while those exceeding 10% need both board and shareholder approval [7] - The company can estimate future investment ranges and limits for up to 12 months to facilitate timely transactions [7] Group 3: Fund Management and Account Management - The company can only use its own funds for securities investment and must not use raised funds for this purpose [3][4] - Securities investment must be conducted through accounts established in the company's name at approved securities firms [11] - A three-party custody agreement must be signed to link the bank account with the securities account [14] Group 4: Information Disclosure - The company is required to fulfill information disclosure obligations in accordance with relevant regulations [15] - The board must monitor the execution and safety of investments and disclose any significant losses immediately [16] - Securities investment activities must be accurately reflected in financial statements as per accounting standards [17] Group 5: Risk Control - The company must limit the disclosure of investment information to a minimum number of individuals before public announcements [19] - The securities management department is responsible for the external publication of undisclosed investment information [20] - Strict operational controls must be in place, requiring multiple personnel to manage securities and funds [22] Group 6: Supervision of Fund Usage - Internal audit departments are tasked with daily supervision of fund usage and conducting audits to assess investment risks [25] - All investment participants must be aware of relevant laws and regulations to avoid illegal transactions [26] - Violations of laws or company regulations leading to losses will result in accountability for responsible personnel [27] Group 7: Miscellaneous Provisions - Securities investments by the company's subsidiaries are subject to the same management approach [28] - Any matters not covered by this management approach will adhere to national laws and the company's articles of association [29] - The board of directors is responsible for interpreting this management approach [30]