格林美: 境外发行证券与上市相关保密及档案管理工作制度

Core Viewpoint - The company has established a system to ensure the confidentiality and archival management of information during the process of issuing securities and listing abroad, in compliance with relevant Chinese laws and regulations [1][2]. Group 1: Regulatory Compliance - The system applies to the entire process of issuing securities and listing abroad, including application, review, and listing stages [1]. - The company and its subsidiaries must strictly adhere to national laws and regulations during the securities issuance process [1][2]. - Any documents involving state secrets or work secrets must be approved by the relevant authorities before disclosure [2][3]. Group 2: Confidentiality and Documentation - The company must provide written explanations regarding compliance with confidentiality regulations when sharing documents with securities firms [3]. - Securities service institutions are required to maintain confidentiality and manage documents according to national standards [3][4]. - Work papers generated within mainland China must be stored domestically, and any need to transfer them abroad requires legal approval [3][4]. Group 3: Oversight and Accountability - The company is responsible for conducting regular self-checks on confidentiality and archival management matters [5]. - Violations of the established system may lead to corrective measures, including reporting to government authorities for non-compliance [5]. - Any breaches of laws related to state secrets or archival management will result in legal accountability, potentially involving judicial authorities [5].