海泰新光: 对外投资管理制度

Core Viewpoint - The document outlines the external investment management system of Qingdao Haitai Newlight Technology Co., Ltd, emphasizing the need to strengthen investment management, control risks, and protect investors' rights [1][2]. Group 1: Definition and Scope of External Investment - External investment refers to various forms of investment activities conducted by the company domestically and internationally, including equity investments, acquisitions, capital increases, asset purchases, stock and bond investments, and entrusted financial management [1][2]. - The investment management system applies to the company and all its wholly-owned and controlled subsidiaries, requiring approval for entrusted financial management activities [2]. Group 2: Principles of External Investment - Investments must comply with national laws, regulations, and industry policies, and should promote the company's sustainable development and maximize shareholder value [2]. - The company should ensure effective resource allocation, enhance asset quality, and maintain shareholder rights while adhering to prudent investment principles in entrusted financial management [2]. Group 3: Approval Authority for External Investments - The decision-making bodies for external investments include the shareholders' meeting, board of directors, and general manager, with specific thresholds for approval based on asset value and transaction amounts [3][4]. - Transactions exceeding certain thresholds, such as 50% of total assets or market value, require shareholders' meeting approval, while those below these thresholds can be approved by the board or general manager [4][5]. Group 4: Organizational Management of External Investments - The board's strategic committee is responsible for coordinating and analyzing investment projects, while the board office handles market development and project evaluation [6]. - The finance center manages financial aspects of investments, including feasibility analysis and risk assessment for entrusted financial management [6][7]. Group 5: Decision-Making Process for External Investments - The investment decision-making process involves project research, feasibility analysis, project initiation, and execution stages [7][8]. - The board office organizes evaluations and reports on proposed investments, with the general manager making decisions within authorized limits [7]. Group 6: Management of Investment Transfers and Recoveries - The company can recover investments under specific circumstances, such as project completion or bankruptcy of the invested entity [9][10]. - Investment transfers must comply with legal and regulatory requirements, following the same approval process as initial investments [10][11]. Group 7: Personnel Management in External Investments - The company appoints representatives to the boards of invested companies, ensuring they fulfill their duties and report back on investment performance [11][12]. Group 8: Financial Management and Auditing of Investments - The finance department maintains detailed financial records for each investment project and conducts annual audits to ensure compliance with accounting standards [11][12]. - Regular checks and reconciliations are performed to confirm the consistency of investment records [12].