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石 头 科 技: 北京石头世纪科技股份有限公司境外发行证券及上市相关保密和档案管理工作制度
Zheng Quan Zhi Xing· 2025-06-06 10:37
Core Points - The document outlines the confidentiality and archival management system for Beijing Stone Century Technology Co., Ltd. regarding overseas securities issuance and listing [1][2] - The system aims to ensure national economic security, protect public interests, and maintain information security during the overseas issuance and listing process [1][2] Group 1: Overview of the System - The system applies to the entire process of overseas securities issuance and listing, including application, review, and listing stages [2] - It is applicable to the company and its subsidiaries, as well as the securities companies and service institutions hired for the overseas issuance and listing [2] Group 2: Compliance and Confidentiality - The company and its service providers must strictly adhere to relevant laws and regulations, enhancing awareness of confidentiality and archival management [3][4] - Any documents involving state secrets or sensitive information must be approved by the appropriate authorities before disclosure [3][4] Group 3: Document Handling and Reporting - The company must provide written explanations regarding the handling of sensitive documents to the securities companies and service institutions [4] - In case of any leaks of sensitive information, the company must take immediate remedial actions and report to relevant authorities [5] Group 4: Archival Management - Work papers generated by securities companies and service institutions must be stored within mainland China, with specific approval required for any documents to be taken abroad [5][6] - Regular self-checks on confidentiality and archival management must be conducted, with the possibility of inspections on service providers [6][7] Group 5: Legal Accountability - Violations of confidentiality laws and regulations will result in legal accountability, with potential criminal charges for serious offenses [7] - The system will be effective upon approval by the company's board of directors and will be modified as necessary [7][8]
国恩股份: 境外发行证券和上市相关保密和档案管理工作制度
Zheng Quan Zhi Xing· 2025-05-26 13:18
Core Viewpoint - The document outlines the confidentiality and archival management system for Qingdao Guo'en Technology Co., Ltd. regarding its overseas issuance of securities and listing activities, emphasizing compliance with relevant laws and regulations to protect national economic security and public interests [1][2]. Group 1: Scope and Applicability - The system applies to the entire process of overseas issuance of securities and listing, including preparation, application, review, listing, and post-listing activities [2]. - It is applicable to the company, its subsidiaries, and the securities companies and service institutions hired for overseas issuance and listing [2][3]. Group 2: Compliance and Responsibilities - The company and its securities service providers must adhere to Chinese laws, regulations, and the Hong Kong Listing Rules, enhancing awareness of confidentiality and archival management responsibilities [3][4]. - Any documents involving state secrets or sensitive information must be approved by relevant authorities before disclosure [3][4]. Group 3: Document Handling and Security - The company must ensure that any documents provided to securities companies or regulatory bodies are handled according to national confidentiality regulations [6][7]. - If sensitive documents are leaked or at risk of being leaked, immediate remedial actions must be taken, and relevant authorities must be notified [7][8]. Group 4: Archival Management - Work papers generated by securities companies and service institutions must be stored within mainland China, with strict procedures for any documents needing to exit the country [8][9]. - The company is responsible for regular self-checks on confidentiality and archival management, and may require checks on compliance from securities service providers [5][6]. Group 5: Legal Accountability - Violations of confidentiality laws and regulations will result in legal accountability, with potential criminal charges for serious offenses [8][9]. - The board of directors is responsible for interpreting and amending the system, which takes effect upon approval [9].
龙旗科技: 上海龙旗科技股份有限公司境外发行证券与上市相关保密和档案管理工作制度(2025年5月修订)
Zheng Quan Zhi Xing· 2025-05-21 12:09
Core Viewpoint - The document outlines the confidentiality and archive management system for Shanghai Longqi Technology Co., Ltd. regarding its overseas issuance of securities and listing, emphasizing the importance of safeguarding national economic security and public interests during the process [1][2]. Group 1: Legal Framework and Applicability - The system is established in accordance with various Chinese laws and regulations, including the Securities Law and the National Security Law, to ensure compliance during the overseas issuance and listing process [1][2]. - The system applies to the company and its consolidated financial statements, as well as to all securities service institutions hired for the overseas issuance and listing [2]. Group 2: Confidentiality and Document Management - The company and its securities service institutions must strictly adhere to legal requirements regarding confidentiality and document management, ensuring that national secrets and public interests are not compromised [2][3]. - Any documents involving national secrets must be approved by the relevant authorities before being disclosed to securities service institutions or overseas regulatory bodies [3][5]. Group 3: Procedures and Responsibilities - The company is required to take remedial actions if any documents that could harm national security or public interests are leaked, and must report such incidents to the relevant authorities [5][9]. - Securities service institutions must store and handle documents in compliance with national regulations, and any transfer of sensitive documents outside China requires prior approval [6][12]. Group 4: Compliance and Oversight - The company is responsible for conducting regular self-checks on confidentiality and archive management, and may require securities service institutions to comply with these checks [7]. - Violations of the established confidentiality laws may lead to legal consequences, including criminal charges if applicable [15]. Group 5: Implementation and Effectiveness - The system will take effect upon approval by the company's board of directors and will be subject to interpretation and modification by the board [18][19].