Richful(SZ:300910) Zheng Quan Zhi Xing·2025-07-30 16:36General Principles - The company establishes a system for managing securities investment and derivative trading to prevent investment risks and ensure the safety and effective appreciation of investment funds, in accordance with relevant laws and regulations [1][2] - The system applies to the company's securities investment and derivative trading activities, which include various forms of investments such as new stock subscriptions, stock repurchases, and bond investments [1][2] Investment and Trading Principles - The company must adhere to national laws and regulations, ensuring that all investment activities are legal, prudent, safe, and effective [2] - Investments must align with the company's asset structure and should not affect the normal operation of its main business [2] - The company is prohibited from engaging in high-risk investments within twelve months after using raised funds to supplement working capital [2] Decision-Making Authority - Securities investment exceeding 50% of the company's latest audited net assets and over 50 million RMB requires shareholder approval [3] - Investments over 10% of the latest audited net assets and exceeding 10 million RMB require board approval [4] - Derivative trading requires a feasibility analysis report submitted to the board for approval [4] Management and Oversight - The company must conduct securities investments through its own accounts and cannot use others' accounts for trading [6] - The finance department is responsible for managing funds and accounting for securities investments and derivative trading [6] - The audit and supervision department is tasked with auditing and monitoring investment activities, ensuring compliance with risk control measures [8] Risk Control Measures - The company must separate trading, finance, audit, and risk control personnel to ensure accountability [7] - Appropriate stop-loss limits must be established for various derivatives, and the company must track market price changes to assess risk exposure [8] Information Disclosure - The company is required to disclose information regarding its securities investments and derivative trading in accordance with regulations from the China Securities Regulatory Commission and the Shenzhen Stock Exchange [9] - Any significant losses or unusual situations must be reported immediately to the board [9]