Zheng Quan Zhi Xing·2025-08-29 12:16General Principles - The document outlines the management measures for shares held by directors, senior management, and relevant employees of Guotai Junan Securities Co., Ltd. [1] - The regulations are based on various laws and rules, including the Company Law, Securities Law, and relevant stock exchange guidelines [1][2]. Scope of Application - The measures apply to the shares held by directors, senior management, and employees who may have access to insider information [2]. - It includes all shares registered in their names and those held through others' accounts [2]. Trading Restrictions - Directors and senior management are prohibited from transferring shares under specific circumstances, such as within one year of the stock's listing or within six months after leaving the company [3][4]. - They cannot trade shares during certain periods, including 15 days before the announcement of annual or semi-annual reports [6]. Notification of Trading - Directors and senior management must notify the board at least two trading days in advance before buying or selling shares [10]. - The company must maintain written records of these notifications and confirmations [17]. Disclosure Requirements - Directors and senior management must report any changes in their shareholdings within two trading days [15]. - The company is responsible for ensuring that all disclosures comply with relevant regulations and are timely [29]. Compliance and Enforcement - The board secretary is tasked with monitoring compliance with these regulations and reporting any violations to the relevant authorities [16]. - Any non-compliance must be documented and addressed promptly [17].