大连热电: 大连热电股份有限公司防范控股股东及其他关联方资金占用管理制度

Core Viewpoint - The company has established a management system to prevent the controlling shareholder and other related parties from occupying its funds, ensuring compliance with relevant laws and regulations [1][2]. Group 1: General Principles - The purpose of the system is to create a long-term mechanism to prevent fund occupation by controlling shareholders and related parties, in accordance with various legal frameworks [1]. - Related parties are defined as those specified by laws and regulations, including both legal entities and individuals [1]. - Fund occupation includes both operational and non-operational forms, such as funds used for operational transactions and those used for expenses without proper compensation [2]. Group 2: Prevention Measures - The company’s board secretary is responsible for maintaining a list of related parties, which must be updated promptly upon any changes [5]. - The company must prevent any direct or indirect occupation of funds, assets, and resources by controlling shareholders and related parties [6]. - All related transactions must be settled promptly to avoid abnormal operational fund occupation [7]. Group 3: Responsibilities of Management - The board of directors and senior management have a legal obligation to ensure the safety of the company's funds and must diligently perform their duties [17]. - The internal audit department is tasked with the daily supervision of fund occupation by controlling shareholders and related parties [18]. - In cases of asset infringement by controlling shareholders, the board must take effective measures to stop the infringement and seek compensation [20]. Group 4: Accountability - Directors and senior management who assist or condone fund occupation will face disciplinary actions, and serious cases may lead to proposals for dismissal at the shareholders' meeting [25]. - The company will pursue legal responsibility for any losses incurred by investors due to violations of this system [27]. - The system applies equally to shareholders holding more than 5% of the company's shares [29].