Core Points - The company has established a management system for external information reporting and usage to ensure fair disclosure and prevent insider trading [1][2][3] - The board of directors is the sole authority for information disclosure, and no department or individual may leak insider information without board approval [1][2] - All departments must follow a strict approval process before reporting any information externally, ensuring the accuracy and completeness of the information [2][3] Summary by Sections Information Definition and Reporting Process - The term "information" refers to any undisclosed information that could significantly impact the trading prices of the company's securities [2] - Departments must submit an approval form for external information reporting, which requires signatures from department heads and the board secretary [2][3] Confidentiality Obligations - Directors and senior management must maintain confidentiality regarding reports and major matters until officially disclosed [3][4] - The company must issue confidentiality notices and require external parties to sign confidentiality agreements when sharing undisclosed significant information [5][6] Insider Information Management - Any undisclosed significant information shared externally is considered insider information, and the company must maintain a registry of individuals who are privy to such information [4][5] - External parties must take measures to limit the dissemination of insider information and comply with confidentiality obligations [6][12] Legal Responsibilities and Consequences - If external parties improperly disclose the company's undisclosed information, they must notify the company immediately, and the company will report to the relevant authorities [6][8] - The company reserves the right to seek compensation for economic losses caused by the misuse of its undisclosed information [6][8]

Core Points - The article outlines the insider information management system of Guizhou Panjiang Coal and Electricity Co., Ltd, emphasizing the importance of confidentiality and compliance with relevant laws and regulations [1][2][3]. Group 1: Insider Information Management - The board of directors is responsible for managing insider information, with the chairman as the main responsible person and the board secretary handling the registration and reporting of insider information [1][2]. - Insider information is defined as non-public information that could significantly impact the company's operations, finances, or stock market price [3][4]. - The scope of insider information includes major changes in business strategy, significant asset transactions exceeding 30% of total assets, important contracts, major debts, and significant losses [4][5]. Group 2: Registration and Documentation - The company must maintain a record of insider information personnel, including their names, departments, positions, and the nature of the insider information they are aware of [5][6]. - Insider information personnel are required to confirm their awareness of insider information and submit documentation within two working days [5][6]. - The company must ensure that all relevant parties, including shareholders and service institutions, comply with the registration requirements for insider information [6][7]. Group 3: Confidentiality Obligations - All insider information personnel are obligated to maintain confidentiality and are prohibited from disclosing or trading based on insider information before it is publicly disclosed [10][11]. - The company must control the dissemination of insider information to a minimum number of individuals before public disclosure [10][11]. - Violations of confidentiality obligations may result in disciplinary actions or civil liability for the responsible individuals [25][26]. Group 4: Accountability and Compliance - The company is required to conduct self-inspections regarding insider trading and report any violations to regulatory authorities [9][12]. - The company retains the right to pursue accountability for any damages caused by violations of the insider information management system [25][26]. - The insider information management system is effective upon approval by the board of directors and is subject to revisions as necessary [30][31].

第三条 本制度所称资金占用包括 （但不限于其他方式）：经营性资 金占用（控股股东及关联方通过采购、销售等生产经营环节的关联交易产 生的资金占用）、非经营性资金占用（为控股股东及关联方垫付工资与福 利、保险、广告等费用和其他支出、为控股股东及关联方有偿或无偿直接 或间接拆借资金、代偿债务及其他在没有商品和劳务对价情况下提供给控 股股东及关联方使用的资金等）。 贵州盘江精煤股份有限公司 防范控股股东及关联方占用公司资金制度 第一章 总则 第一条 为了建立防止控股股东或实际控制人占用贵州盘江精煤股份 有限公司（以下简称"公司"）资金的长效机制，杜绝控股股东及关联方 资金占用行为的发生，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》等法律、法规及 规范性文件以及公司章程的有关规定，制定本制度。 第二条 公司董事和高级管理人员对维护公司资金安全有法定义务。 （六）中国证监会认定的其他方式。 第六条 公司按照监管部门对关联交易的相关规定实施公司与控股股 东及关联方通过采购、销售、生产经营等环节产生的关联交易行为。 公司及公司合并财务报表范围的所有子公司与公司控股股东、 ...

Core Points - The document outlines the management measures for the shareholding and changes of shareholders, directors, and senior management of Guizhou Panjiang Coal and Electricity Co., Ltd. [1] - It emphasizes the need for compliance with relevant laws, regulations, and company articles regarding shareholding changes [2] - The document specifies the procedures for reporting shareholding changes and the responsibilities of the board secretary [3][4] Summary by Sections General Principles - The purpose of the measures is to strengthen the declaration, disclosure, and supervision of shareholding changes by shareholders, directors, and senior management [1] - Shareholding includes all shares registered in their name and those held through others' accounts [1] Management of Shareholding Changes by Directors and Senior Management - Directors and senior management must notify the board secretary in writing before buying or selling shares [2] - They are required to submit personal information for disclosure within two trading days of any changes [2] Trading Prohibitions and Restrictions - There are specific circumstances under which directors and senior management cannot transfer their shares, such as within one year of the company's stock listing [4] - Shareholders holding more than 5% of the company's shares are also restricted from reducing their holdings under certain conditions [5] Additional Regulations - Directors and senior management can only reduce their holdings by a maximum of 25% of their total shares during their term and within six months after their term ends [6] - Any profits from buying and selling shares within six months must be returned to the company [7] Insider Trading and Confidentiality - Directors and senior management must ensure that their immediate family and related parties do not engage in insider trading [8] - The company must disclose any longer prohibitions or lower transfer ratios in its articles of association [8] Final Provisions - The measures will be executed according to national laws and regulations, and the board of directors is responsible for their interpretation [9]

Core Viewpoint - The company has established a system for accountability regarding significant errors in annual report disclosures to enhance the quality, transparency, and accuracy of financial reporting [1][2]. Group 1: Accountability System - The accountability system applies to directors, senior management, department heads, and other relevant personnel involved in annual report disclosures [2][3]. - Significant errors in annual report disclosures include major accounting errors, substantial omissions, and significant discrepancies in performance forecasts [3][4]. - The company will hold individuals accountable for significant errors due to negligence, misconduct, or other personal reasons [4][5]. Group 2: Compliance and Internal Controls - Company personnel must strictly adhere to accounting standards and internal control systems to ensure accurate financial reporting [5][6]. - The company will pursue accountability when annual report disclosures violate accounting laws or regulations, leading to significant errors [6][7]. Group 3: Principles of Accountability - The principles guiding the accountability process include objectivity, thorough investigation, and proportionality between fault and responsibility [7][8]. - The company will impose heavier penalties for severe violations, such as retaliating against whistleblowers or obstructing investigations [8][9]. Group 4: Mitigating Factors for Penalties - Factors that may lead to reduced penalties include proactive measures taken by responsible individuals to prevent negative outcomes or correct errors [9][10]. - The board must consider the opinions of those involved before making decisions regarding penalties [10][11]. Group 5: Reporting and Investigation Procedures - The board office is responsible for gathering information, investigating causes of errors, and proposing corrective actions [11][12]. - In cases of significant accounting errors, the company must disclose the impact on financial status and the results of any re-audits [12][13]. Group 6: Enforcement of Penalties - Penalties for responsible individuals may include reprimands, demotions, or even termination, depending on the severity of the error [13][14]. - Individuals may appeal the board's decisions within ten days, but this does not suspend the enforcement of penalties [14][15]. Group 7: Implementation and Review - The board is responsible for revising and interpreting the accountability system, which takes effect upon approval [15][16].

作指引》《上海证券交易所股票上市规则》《上海证券交易所上市公司自律 监管指引第 1 号——规范运作》 《公司章程》及其他有关法律、法规和规定， 结合公司实际情况，制定本制度。 第二条 投资者关系管理是指公司通过便利股东权利行使、信息披露、 互动交流和诉求处理等工作，加强与投资者及潜在投资者之间的沟通，增 进投资者对公司的了解和认同，以提升公司治理水平和企业整体价值，实 现尊重投资者、回报投资者、保护投资者目的的相关活动。 贵州盘江精煤股份有限公司 投资者关系管理制度 第一章 总则 第一条 为了规范贵州盘江精煤股份有限公司（以下简称"公司"）投资 者关系管理工作，加强公司与投资者之间的有效沟通，促进公司完善治理， 提高公司质量，切实保护投资者特别是中小投资者合法权益，根据《公司 法》 《证券法》 《上市公司信息披露管理办法》 《上市公司投资者关系管理工 第二章 投资者关系管理基本原则及目的 第三条 投资者关系管理的基本原则： （一）合规性原则。公司投资者关系管理应当在依法履行信息披露义 务的基础上开展，符合法律、法规、规章及规范性文件、行业规范和自律 规则、公司内部规章制度，以及行业普遍遵守的道德规范和行为准则 ...

（三）公司本部各部门以及各分公司、控股子公司、全资子公司（以 下简称"各子公司"）的负责人； （四）公司控股股东、实际控制人和持股 5%以上的股东； 贵州盘江精煤股份有限公司 信息披露事务管理制度 第一章 总则 第一条 为规范贵州盘江精煤股份有限公司（以下简称"公司"）及 相关信息披露义务人的信息披露行为，加强公司信息披露事务管理，明确 公司内部（含控股子公司）和有关人员的信息披露职责范围和保密责任， 提高信息披露质量，保护公司和投资者的合法权益。根据《中华人民共和 国公司法》《中华人民共和国证券法》《上市公司信息披露管理办法》《上 市公司信息披露暂缓与豁免管理规定》《上海证券交易所股票上市规则》 （以下简称"《上市规则》"）和《上海证券交易所上市公司自律监管指 引第 2 号——信息披露事务管理》等法律、行政法规、规范性文件以及《贵 州盘江精煤股份有限公司章程》（以下简称"《公司章程》"），制定本 制度。 第二条 本制度所称"信息披露"是指将所有可能对公司证券及其 衍生品种交易价格产生重大影响的、投资者尚未得知的信息和证券监管部 门要求披露的信息，在规定时间内，通过上海证券交易所网站（以下简称 "上交所"）和 ...

贵州盘江精煤股份有限公司 独立董事工作制度 第一章 总则 第一条 为进一步完善贵州盘江精煤股份有限公司（以下简称"公司" 或"本公司"）法人治理结构，促进公司独立董事履职尽责和公司规范运作， 维护公司整体利益，保障全体股东特别是中小股东的合法权益不受损害， 根据《公司法》 《上市公司治理准则》 第二条 独立董事是指不在公司担任除董事外的其他职务，并与公司 及其主要股东、实际控制人不存在直接或者间接利害关系，或者其他可能 影响其进行独立客观判断关系的董事。 独立董事应当独立履行职责，不受公司及其主要股东、实际控制人等 单位或者个人的影响。 第三条 独立董事对公司及全体股东负有忠实与勤勉义务。独立董事 应当按照相关法律法规、 《上市公司独立董事管理办法》和公司章程的要求， 认真履行职责，在董事会中发挥参与决策、监督制衡、专业咨询作用，维 护公司整体利益，保护中小股东合法权益。 第四条 公司设独立董事，人数不少于公司董事会成员总数的 1/3，其 中至少包括 1 名会计专业人士。公司董事会下设薪酬与考核、审计、提名、 战略与投资、合规与风险管理等专门委员会，独立董事应当在审计委员会、 提名委员会、薪酬与考核委员会成员 ...

Core Viewpoint - The internal reporting system for significant information at Guizhou Panjiang Coal and Electricity Co., Ltd. is established to ensure timely, accurate, and complete disclosure of information that may significantly impact the trading prices of the company's stocks and derivatives, thereby protecting the rights of shareholders and stakeholders [1][2]. Group 1: Internal Reporting Obligations - The reporting obligations include shareholders holding more than 5% of shares, board members, senior management, and department heads, among others [2][3]. - The board of directors is responsible for managing significant information, with the board secretary overseeing the collection and management of such information [2][3]. - Reporters must ensure the authenticity, accuracy, and completeness of the information they provide and are responsible for any false or misleading statements [2][3]. Group 2: Definition of Significant Information - Significant information includes matters to be submitted for board or shareholder meetings, transactions exceeding 10% of total assets or net assets, and related party transactions above specified thresholds [3][4]. - Performance forecasts indicating significant changes, such as a net profit loss or a 50% change in net profit compared to the previous year, must also be reported [4][5]. Group 3: Reporting Procedures - Reporters must notify the board secretary immediately upon awareness of significant information, ensuring timely submission of relevant materials [7][8]. - Internal review procedures must be followed before submitting significant information, requiring approval from relevant department heads or authorized personnel [7][8]. Group 4: Confidentiality and Accountability - Reporters and other informed personnel are obligated to maintain confidentiality regarding significant information and must not engage in insider trading [9]. - Violations of reporting obligations may result in disciplinary actions, including warnings, demotions, or termination, and may also lead to civil liability or criminal prosecution if laws are breached [9][10].

Core Points - The company establishes a Compliance and Risk Management Committee to enhance governance structure and risk management systems [1][2] - The committee is responsible for organizing and coordinating compliance and risk management activities [2][3] Group 1: General Provisions - The purpose of compliance management is to effectively prevent compliance risks through organized activities such as system formulation, risk identification, and compliance training [1] - Comprehensive risk management aims to achieve overall business objectives by executing risk management across all operational aspects [1] Group 2: Composition of the Committee - The Compliance and Risk Management Committee consists of three directors, including at least one legal professional [2] - The committee is chaired by the company chairman and has a term aligned with the board of directors [2] Group 3: Responsibilities and Authority - The committee's main responsibilities include leading compliance and risk management efforts, guiding and evaluating these activities, and providing advice to the board [2][3] - The legal affairs department handles the daily operations and communications of the committee [2] Group 4: Meeting Rules - The committee holds regular and special meetings, requiring at least two-thirds of members to be present for decisions [3][4] - Decisions are made through voting, and members must attend in person unless authorized to delegate their vote [4][5] Group 5: Confidentiality and Record Keeping - Members are obligated to maintain confidentiality regarding meeting discussions and decisions [5] - Meeting records must be kept for a minimum of 10 years, and the board office is responsible for their preservation [5]