浙江越剑智能装备股份有限公司 防范控股股东、实际控制人及其关联方资金占用管理制度 浙江越剑智能装备股份有限公司 防范控股股东、实际控制人及其关联方资金占用 管理制度 （2025 年 9 月修订） 第一章 总则 第一条 为防止控股股东、实际控制人及其关联方（以下合称"占用方"） 占用浙江越剑智能装备股份有限公司（以下简称"公司"）资金行为，进一步维 护公司全体股东和债权人的合法权益，根据《中华人民共和国公司法》《上市公 司监管指引第 8 号——上市公司资金往来、对外担保的监管要求》等相关法律法 规及《浙江越剑智能装备股份有限公司章程》的规定，制订本制度。 第二条 本制度适用于公司及其控股子公司。 第三条 公司董事和高级管理人员对维护公司资金安全负有法定义务。 第四条 本制度所称资金占用包括但不限于：经营性资金占用和非经营性资 金占用。经营性资金占用是指占用方通过采购、销售等生产经营环节的关联交易 而产生的资金占用。非经营性资金占用是指公司合并范围内主体为占用方垫付的 工资、福利、保险、广告费用和其他支出；代占用方偿还债务而支付的资金；有 偿或无偿、直接或间接拆借给占用方的资金；为占用方承担担保责任而形成的债 权 ...

浙江华业塑料机械股份有限公司 防范控股股东、实际控制人及其关联方占用公司资金的制度 浙江华业塑料机械股份有限公司 防范控股股东、实际控制人及其关联方占用公司资金的制度 第一章 总则 第一条 为了建立防止控股股东、实际控制人及其关联方占用浙江华业塑料 机械股份有限公司（以下简称"公司"）资金的长效机制，杜绝控股股东、实际 控制人及其关联方占用公司资金行为的发生，根据《中华人民共和国公司法》 《中 华人民共和国证券法》《上市公司监管指引第 8 号——上市公司资金往来、对外 担保的监管要求》《会计监管风险提示第 9 号——上市公司控股股东资金占用及 其审计》等法律法规、部门规章和规范性文件以及浙江华业塑料机械股份有限公 司章程（以下简称"《公司章程》"）的有关规定，结合公司实际情况，特制定 本制度。 第二条 本制度适用于公司控股股东、实际控制人及其关联方与公司间的资 金管理。纳入公司合并会计报表范围的子公司适用本制度。公司控股股东、实际 控制人及其关联方与纳入合并会计报表范围的子公司之间的资金往来，参照本制 度执行。 第三条 本制度所称资金占用包括经营性资金占用和非经营性资金占用。 （一）经营性资金占用，是指公司控 ...

Core Points - The company aims to strengthen and standardize its fund management to prevent the controlling shareholder and related parties from occupying company funds [1][2] - The company establishes a long-term mechanism to protect the legitimate rights and interests of the company, shareholders, and other stakeholders [1][2] Group 1: Principles of Fund Management - The controlling shareholder must exercise their rights in accordance with the law and must not harm the interests of the company and public shareholders through fund occupation [2] - The company should continuously improve mechanisms to prevent fund occupation by controlling shareholders and related parties [2][3] - The company must strictly limit the occupation of operational funds in transactions with controlling shareholders and related parties [2][3] Group 2: Regulations on Related Transactions - Related transactions must be conducted according to the company's articles of association and related decision-making systems [3] - The company is prohibited from providing funds to controlling shareholders and related parties through various means, including loans and guarantees without real transaction backgrounds [3][4] Group 3: Responsibilities and Measures - The board of directors is responsible for managing the prevention of fund occupation by controlling shareholders and related parties [4] - A leadership group is established to supervise and manage the daily prevention of fund occupation [4][5] - Relevant responsible persons must monitor fund flows strictly to prevent non-operational occupation of funds by major shareholders and related parties [5][6] Group 4: Accountability and Penalties - Controlling shareholders and actual controllers who violate regulations and cause losses must bear compensation responsibilities [6][7] - The board of directors will take serious actions against those who assist or condone fund occupation by controlling shareholders [7] - The company will apply for judicial freezing of shares held by controlling shareholders if fund occupation is detected [7][8]

Core Viewpoint - The company establishes a long-term mechanism to prevent the controlling shareholder and its related parties from occupying funds, aiming to protect the legitimate rights and interests of all shareholders and creditors [2][3]. Group 1: Definition and Scope - The term "fund occupation" includes both operational and non-operational fund occupation, with operational occupation arising from related transactions and non-operational occupation involving various expenses and debts [2][3]. - The company must maintain independence from the controlling shareholder and its related parties in personnel, assets, and finances, ensuring clear ownership and responsibility [3][4]. Group 2: Financial Independence and Governance - The company is required to establish an independent financial accounting system and ensure that its board of directors and internal institutions operate independently [3][4]. - The company is prohibited from providing financial assistance to directors, senior management, or the controlling shareholder and its related parties [4][5]. Group 3: Transaction Regulations - Any operational transactions with the controlling shareholder must adhere to strict approval processes and disclosure obligations, with clear settlement deadlines [4][5]. - The company must verify the absence of fund occupation or illegal guarantees before purchasing projects or assets from the controlling shareholder or its related parties [4][5]. Group 4: Accountability and Enforcement - In cases of fund occupation, the company must issue a written notice demanding repayment within 10 working days, and if refused, the board must seek judicial freezing of the controlling shareholder's assets [5][6]. - The chairman is the primary responsible person for preventing fund occupation, with the general manager and financial director overseeing execution and supervision [6][7].

Core Viewpoint - The company has established a system to prevent the controlling shareholder, actual controller, and their related parties from occupying company funds, ensuring the protection of the rights and interests of all shareholders and creditors [1][2]. Summary by Sections Chapter 1: General Principles - The purpose of the system is to comply with relevant laws and regulations, including the Company Law and Securities Law of the People's Republic of China, to avoid fund occupation by controlling shareholders and related parties [1]. - Fund occupation is defined to include both operational and non-operational fund occupation [2]. Chapter 2: Principles for Preventing Fund Occupation - Operational fund transactions with controlling shareholders and related parties are strictly limited, prohibiting the company from providing funds for wages, benefits, and other expenses [4]. - Specific prohibited methods for providing funds include lending money, covering expenses without real transactions, and repaying debts for controlling shareholders [5][6]. Chapter 3: Responsibilities and Measures - The company must implement transactions with controlling shareholders according to the established agreements and minimize the time of operational fund occupation [4]. - The board of directors is responsible for establishing a verification system to regularly check the company's financial status and transactions with controlling shareholders [6]. - The audit committee is tasked with guiding internal audits and ensuring that any fund occupation is disclosed promptly [6][7]. Chapter 4: Accountability and Penalties - Directors and senior management are held accountable for facilitating or condoning fund occupation by controlling shareholders, with potential penalties for those responsible [8]. - The company will pursue legal responsibility for any losses caused to investors due to violations of this system [8]. Chapter 5: Miscellaneous - The system will be effective upon approval by the board of directors and will be interpreted by the board [9].