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利欧股份: 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· 2025-09-07 09:14
Core Viewpoint - The document outlines the confidentiality and archival management system for the overseas issuance of securities and listing by Liou Group Co., Ltd, emphasizing the importance of safeguarding national economic security and public interests during the process [1]. Group 1: Scope and Applicability - The system applies to the company, its subsidiaries, and the securities service institutions hired for the overseas issuance and listing [2]. - It covers the entire process of overseas issuance and listing, including preparation, application, review/filing, and listing stages [1][2]. Group 2: Confidentiality and Archival Management - The company and its securities service institutions must strictly adhere to relevant laws and regulations, enhancing awareness of confidentiality and archival management responsibilities [4]. - Any documents or materials involving state secrets must be approved by the competent authority before disclosure [5][6]. Group 3: Procedures and Compliance - The company must take remedial actions if any state secrets or sensitive information are leaked and report to relevant authorities [6]. - Work papers generated by securities service institutions in China must be stored domestically and cannot be transferred abroad without proper approval [11]. Group 4: Inspections and Accountability - The company is required to conduct regular self-checks on confidentiality and archival management and may request checks on securities service institutions [13]. - Violations of the confidentiality laws will result in legal accountability, and serious cases may be referred to judicial authorities [15]. Group 5: Implementation and Amendments - The system will take effect upon approval by the company's board of directors and will be subject to interpretation and amendments by the board [18][19].
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
Zheng Quan Zhi Xing· 2025-09-01 13:08
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]
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
Zheng Quan Zhi Xing· 2025-08-24 16:13
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].
胜宏科技: 境外发行证券与上市相关保密和档案管理工作制度(2025年7月制定)
Zheng Quan Zhi Xing· 2025-07-29 16:43
Core Viewpoint - The document outlines the confidentiality and archival management system for the overseas issuance of securities and listing by Shenghong Technology (Huizhou) Co., Ltd, emphasizing the importance of protecting national security and public interests during the process [1][2]. Group 1: Definition and Scope - The term "overseas issuance of securities and listing" refers to the issuance and listing of securities by the company outside the mainland of the People's Republic of China [2]. - The system applies to the entire process of overseas issuance and listing, including preparation, application, review, filing, and listing stages [2]. - The system is applicable to the company and its consolidated subsidiaries or partnerships [2]. Group 2: Confidentiality Measures - National secrets and state agency work secrets must be protected according to relevant laws and regulations, and the company must establish a robust confidentiality and archival management system [3][4]. - The company must take necessary measures to ensure confidentiality and manage archives, preventing the disclosure of national secrets and state agency work secrets [3][4]. - Any documents or materials involving national secrets must be approved by the relevant authorities before being disclosed to securities companies or regulatory bodies [4][5]. Group 3: Compliance and Responsibilities - Securities companies and service institutions must adhere to Chinese laws and regulations regarding confidentiality and archival management during the overseas issuance process [6]. - A confidentiality agreement must be signed between the company and the securities service institutions when providing sensitive documents, clearly outlining the confidentiality obligations [6][7]. - The company must regularly self-check its confidentiality and archival management practices and may require securities companies to comply with these checks [9]. Group 4: Legal Framework and Enforcement - Any violations of the confidentiality laws may result in legal consequences, and serious offenses may be referred to judicial authorities for criminal prosecution [17]. - The system will take effect upon approval by the company's board of directors and will be subject to relevant laws and regulations [10].
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]