境外发行证券与上市
Search documents
佳都科技: 佳都科技境外发行证券与上市相关保密和档案管理工作制度(2025年9月制定)
Zheng Quan Zhi Xing· 2025-09-02 16:14
Core Points - The document outlines the confidentiality and archival management system for the overseas issuance of securities and listing by the company, aimed at ensuring national economic security and protecting public interests [1][2] - The system applies to the entire process of overseas issuance and listing, including application, review, filing, and listing stages [1][2] - The company must comply with various laws and regulations, including the Securities Law, the National Security Law, and the Hong Kong Listing Rules, among others [1][2][3] Summary by Sections - **Scope of Application**: The system applies to the company and its domestic subsidiaries or partnerships, as well as any securities service institutions hired for overseas issuance and listing [2] - **Definition of State Secrets**: State secrets are defined as matters related to national security and interests, known only to a limited number of personnel for a specified time [2][3] - **Disclosure Procedures**: Any documents or materials involving state secrets must be approved by the relevant authorities before being disclosed to securities service institutions or overseas regulatory bodies [3][4] - **Confidentiality Agreements**: The company must sign confidentiality agreements with securities service institutions to clarify their obligations and responsibilities regarding state secrets [5][6] - **Document Management**: Work papers and archives related to the securities services must be stored domestically, and any outbound transfer must follow national regulations [6][7] - **Self-Inspection and Compliance**: The company is required to conduct regular self-inspections regarding the management of state secrets and may check compliance with the system by securities service institutions [7][8] - **Legal Accountability**: Violations of the confidentiality laws and regulations may result in legal consequences, including criminal liability if applicable [7][8]
广州若羽臣科技股份有限公司
Shang Hai Zheng Quan Bao· 2025-08-19 20:52
Pricing Mechanism - The issuance price will be determined considering the interests of existing shareholders and international investors, along with market conditions and general valuation levels in the industry [1] Issuance Targets - The issuance will be conducted globally, targeting both Hong Kong public investors and international investors, including qualified domestic institutional investors (QDII) [3] Offering Principles - The offering will consist of a Hong Kong public offering and an international placement, with the allocation of shares based on the number of valid applications received [5] International Placement - The proportion of the international placement will be determined based on the public offering results, considering factors such as total order volume and investor quality [6] Listing Location - All publicly issued H-shares will be listed and traded on the main board of the Hong Kong Stock Exchange [8] Underwriting Method - The issuance will be underwritten by a lead underwriter, with specific methods determined by the board based on market conditions [11] Fundraising Cost Analysis - The estimated costs for the issuance include fees for sponsors, underwriters, legal advisors, auditors, and other intermediaries, with specific amounts yet to be determined [12] Selection of Intermediaries - Professional intermediaries required for the issuance include sponsors, underwriters, legal advisors, and auditors, selected through competitive negotiation [13] Authorization for Issuance Matters - The board is authorized to handle all matters related to the issuance, including determining the issuance scale, price, and allocation [33][34] Use of Proceeds - The funds raised will be used for product development, brand building, globalization, digitalization, and general corporate purposes [24][25] Appointment of Auditors - Tianjian International Accounting Firm will be appointed as the auditor for the issuance [29] Internal Governance Revisions - The company will revise its internal governance systems in accordance with legal requirements and the needs arising from the issuance [51][72]
露笑科技: 露笑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
Zheng Quan Zhi Xing· 2025-08-14 16:03
Core Points - The document outlines the confidentiality and archival management system for the overseas issuance and listing of securities by the company, aimed at safeguarding national economic security and public interests [1][2][3] - The system applies to all stages of the overseas issuance and listing process, including preparation, application, review, filing, and listing [1][2] - The company and its subsidiaries are required to comply with national laws and regulations regarding confidentiality and archival management during overseas activities [2][3] Summary by Sections - **Confidentiality Obligations**: The company and associated securities firms must strictly adhere to national laws and enhance awareness of confidentiality and archival management responsibilities [2][3] - **Approval Procedures**: Any documents involving state secrets must be approved by relevant authorities before disclosure to securities firms or regulatory bodies [2][3][4] - **Handling of Sensitive Information**: The company must take necessary measures to prevent the leakage of sensitive documents and report any potential breaches immediately [9][10] - **Archival Management**: Accounting records and related documents must be stored in compliance with national regulations, and any work papers must remain within the country unless proper procedures are followed [6][12] - **Self-Inspection and Compliance**: The company is required to conduct regular self-inspections regarding confidentiality and can request checks on the compliance of securities firms [7][8] - **Legal Accountability**: Any violations of confidentiality laws will result in legal consequences, and the company must cooperate with authorities in investigations [16][17]
芯碁微装: 境外发行证券与上市相关保密和档案管理工作制度
Zheng Quan Zhi Xing· 2025-08-13 11:11
Core Viewpoint - The document outlines the confidentiality and archival management system for Hefei Chip Microelectronics Equipment Co., Ltd. regarding the issuance and listing of securities abroad, emphasizing the importance of safeguarding national economic security and public interests [1][2]. Group 1: General Principles - The system aims to ensure the security of information during the process of issuing securities and listing abroad, in compliance with various Chinese laws and regulations [1][2]. - The system applies to the entire process of issuing securities and listing abroad, including application, review, and listing stages [2]. Group 2: Confidentiality and Archival Management - The company must strictly adhere to relevant laws and regulations during the issuance and listing process, enhancing awareness of confidentiality and archival management responsibilities [2][3]. - Any documents involving state secrets or work secrets must be approved by the appropriate authorities before disclosure [3][4]. - The company is required to sign confidentiality agreements with securities firms and service institutions to ensure the protection of sensitive information [4][5]. Group 3: Compliance and Monitoring - The company must conduct regular self-checks on confidentiality and archival management matters, and may require checks on the compliance of securities service institutions [6]. - If any violations of the system are found, the company must take corrective measures and may report non-compliance to government authorities [8]. Group 4: Legal Responsibility - Violations of confidentiality laws during the issuance and listing process may lead to legal consequences, including criminal liability if applicable [8].
中微半导: 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· 2025-07-22 16:16
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 issuance and listing, including preparation, application, review, and listing stages [1][2] - The company and its service providers must strictly adhere to relevant laws and regulations, enhancing awareness of confidentiality and archive management [2][3] Summary by Sections - **Scope of Application**: The system applies to the company, its subsidiaries, and the securities firms and service institutions hired for overseas issuance and listing [2][3] - **Confidentiality Measures**: The company must implement necessary measures to protect state secrets and ensure that no confidential information is disclosed without proper approval [3][4] - **Approval Procedures**: Any disclosure of documents involving state secrets must be approved by the relevant authorities and reported to the confidentiality management department [3][4] - **Data Security Compliance**: The company must assess whether the documents provided to securities firms and regulatory bodies comply with data security regulations [4][5] - **Remedial Actions**: If any confidential information is leaked, the company must take immediate remedial actions and report to the relevant authorities [6][7] - **Record Keeping**: Work papers and archives generated during the overseas issuance process must be stored domestically, with proper approval required for any documents to be taken abroad [6][7] - **Regular Inspections**: The company will conduct regular self-inspections regarding confidentiality and archive management, and may require checks on the compliance of service providers [7][8] - **Legal Accountability**: Violations of confidentiality laws will result in legal consequences, and serious offenses may be referred to judicial authorities [7][8]
星环科技: 境外发行证券与上市相关保密和档案管理工作制度(H股适用)
Zheng Quan Zhi Xing· 2025-07-17 16:14
Core Points - The document outlines the confidentiality and archive management system for the overseas issuance of securities and listing by the company, aiming to protect national economic security and public interests [1][2] - The system applies to the entire process of overseas issuance and listing, including application, review/filing, and listing stages [2] - The company is required to ensure compliance with relevant laws and regulations during the overseas issuance and listing process, enhancing awareness of confidentiality and archive management [4][5] Group 1: General Provisions - The system is established to safeguard the company's interests during the overseas issuance of securities and listing, in accordance with various Chinese laws and regulations [1] - The system applies to the company and its consolidated subsidiaries, as well as to the securities companies and service institutions engaged for the overseas issuance and listing activities [2] Group 2: Confidentiality and Archive Management - The company must strictly adhere to laws and regulations regarding confidentiality and archive management, ensuring that no state secrets or public interests are compromised [4][5] - Any documents or materials involving state secrets must be approved by the relevant authorities before being disclosed to securities companies or regulatory bodies [3][4] Group 3: Procedures and Responsibilities - The company must sign confidentiality agreements with securities companies and service institutions, clearly defining their obligations and responsibilities regarding the handling of sensitive information [5][6] - In case of any leaks of state secrets or sensitive information, the company is required to take immediate remedial actions and report to the relevant authorities [9][10] Group 4: Penalties - Any violations of the confidentiality and archive management system may result in corrective measures, including reprimands or reporting to government authorities [8][9] - Legal responsibilities will be pursued by government departments for violations of relevant laws, with potential criminal charges for serious offenses [8][9]
用友网络: 用友网络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
Zheng Quan Zhi Xing· 2025-06-24 18:40
Core Points - The article outlines the confidentiality and archival management system for the overseas issuance of securities and listing by Yonyou Network Technology Co., Ltd, emphasizing the importance of national economic security and public interest protection [1][2]. Group 1: Legal Framework - The system is established in accordance with various Chinese laws, including the Securities Law, the National Secret Law, and the Archives Law, ensuring compliance during the entire process of overseas securities issuance and listing [1][2]. - The company must enhance legal awareness regarding confidentiality and archival management, ensuring that all personnel are educated and managed accordingly [2][3]. Group 2: Confidentiality Measures - National secrets are defined as matters related to national security and interests, which are restricted to a limited number of personnel for a specified time [2][3]. - The company is required to determine the classification and confidentiality period of national secrets in accordance with the National Secret Law and must take necessary measures to protect such information [2][3]. Group 3: Disclosure Procedures - Any disclosure of documents involving national secrets or sensitive information must be approved by the relevant authorities and reported to the confidentiality management department [3][4]. - The company must sign confidentiality agreements with securities firms and service institutions to clarify their obligations and responsibilities regarding sensitive information [4][5]. Group 4: Compliance and Monitoring - The company is responsible for taking remedial actions if any sensitive information is leaked and must report such incidents to the relevant authorities [4][5]. - Regular self-inspections regarding confidentiality and archival management must be conducted to ensure compliance with the established system [5].
潮宏基: 境外发行证券与上市相关保密和档案管理工作制度
Zheng Quan Zhi Xing· 2025-06-09 11:19
Core Viewpoint - The document outlines the confidentiality and archival management system for Guangdong Chao Hong Ji Industrial Co., Ltd. regarding the issuance of securities and listing abroad, ensuring compliance with Chinese laws and protecting national economic security and public interests [1][2]. Group 1: Definition and Scope - The term "overseas issuance of securities and listing" refers to the direct or indirect issuance of securities or the listing of securities for trading in countries and regions outside of China [2]. - The system applies to the entire process of overseas issuance and listing, including preparation, application, review, and listing stages [2]. Group 2: Compliance and Responsibilities - The system is applicable to both domestic entities of Chao Hong Ji Group and the securities companies and service institutions hired for overseas issuance and listing [2][3]. - Chao Hong Ji Group and its service providers must strictly adhere to Chinese laws and the established system, enhancing awareness of confidentiality and archival management responsibilities [3][4]. Group 3: Approval and Disclosure Procedures - Any documents or materials involving state secrets must be approved by the relevant authorities before being disclosed to securities companies or regulatory bodies [3][5]. - If there is uncertainty regarding whether a document contains state secrets, it must be reported to the appropriate confidentiality administration for determination [3][5]. Group 4: Data Security and Archival Management - Documents related to state secrets must not be disclosed without proper approval and must comply with data security requirements as per Chinese laws [5][6]. - Work papers generated by service providers in China must be stored domestically and require approval for any outbound transfer [7]. Group 5: Monitoring and Compliance Checks - Chao Hong Ji Group is required to conduct regular self-checks on confidentiality and archival management during the overseas issuance and listing process [8][9]. - Any violations of confidentiality laws must be reported to the relevant authorities for legal accountability [9][10]. Group 6: Implementation and Effectiveness - The system will take effect upon approval by the company's board of directors and must be strictly followed by all entities included in the consolidated financial statements of Chao Hong Ji Group [17].
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].