和林微纳: 境外发行证券及上市相关的保密和档案管理制度

Core Points - The company has established a system to ensure national economic security and protect public interests during the process of issuing securities and listing abroad [1][2] - The system applies to the entire process of overseas securities issuance and listing, including application, review, and listing stages [2][3] - The company and its securities service institutions must strictly adhere to relevant laws and regulations, enhancing awareness of confidentiality and archive management [3][4] Summary by Sections - Scope of Application - The system applies to the company, its subsidiaries, and the securities service institutions hired for overseas issuance and listing [2][3] - Confidentiality and Archive Management - The company must implement necessary measures to protect state secrets and public interests, ensuring that no confidential information is leaked [3][4] - Any documents or materials involving state secrets must be approved by the relevant authorities before disclosure [4][5] - Procedures for Disclosure - The company must follow strict procedures when providing documents that may affect national security or public interests [5][6] - A confidentiality agreement must be signed with securities service institutions regarding the handling of sensitive information [6][7] - Compliance and Monitoring - The company is responsible for self-checking compliance with confidentiality and archive management regulations and may require checks on securities service institutions [7][8] - Violations of confidentiality laws will result in legal consequences, and the company must also comply with laws in the listing jurisdiction [8][9] - Implementation and Effectiveness - The system will take effect upon approval by the company's board of directors and will be modified as necessary [9]