浙江华友钴业股份有限公司 第一章 总则 第一条 为规范浙江华友钴业股份有限公司（以下简称"公司"或"本公 司"） 及控股子公司的证券投资、期货和衍生品交易行为，防范投资风险，强 化风险控制，保证公司资金、财产的安全，维护公司及股东利益，根据《上市 公司信息披露管理办法》《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 5 号——交易与关联交易》等法律法规、业务规则以 及《浙江华友钴业股份有限公司章程》（以下简称"公司章程"）的规定，结 合公司实际情况，特制定本制度。 第二条 本制度所称证券投资，是指新股配售或者申购、证券回购、股票及 存托凭证投资、债券投资以及上海证券交易所认定的其他投资行为。 本制度所称期货交易是指以期货合约或者标准化期权合约为交易标的的交 易活动。本制度所称衍生品交易是指期货交易以外的，以互换合约、远期合约 和非标准化期权合约及其组合为交易标的的交易活动。期货和衍生品的基础资 产既可以是证券、指数、利率、汇率、货币、商品等标的，也可以是上述标的 的组合。 第三条 公司开展证券投资、期货和衍生品交易的基本原则 第四条 公司控股子公司进行证券投资、期货和衍生品交易适用本制 ...

北汽福田汽车股份有限公司 期货和衍生品交易管理制度 第一章 总则 第一条 为规范北汽福田汽车股份有限公司（以下简称"公司"）期货和衍生品交易行为，有效控制风 险，维护公司及股东利益，依据《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 5 号—交易与关联交易》等相关法律法规、规范性文件及《北汽福田汽车股份有限公司章程》 （以下简称 "《公司章程》"）有关规定，结合公司实际情况，制定本制度。 第二条 本制度所称期货交易是指以期货合约或者标准化期权合约为交易标的的交易活动。本制度所 称 衍生品交易是指期货交易以外的，以互换合约、远期合约和非标准化期权合约及其组合为交易标的的交 易 活动。期货和衍生品的基础资产既可以是证券、指数、利率、汇率、货币、商品等标的，也可以是上述 标 的的组合。 （2023 年 12 月制定，2025 年 8 月第一次修订） 第三条 本制度适用于公司及下属各级全资、控股子公司，但以期货和衍生品交易为主营业务的控股 子 公司除外。 第四条 公司开展期货和衍生品交易的原则： （一）公司参与期货和衍生品交易应当遵循合法合规、审慎稳健、安全有效的原则； （二）公司利用期货市 ...

Core Points - The document outlines the management system for futures and derivatives trading at Jiangxi Hongbai New Materials Co., Ltd, aiming to standardize trading behavior, prevent investment risks, and protect the interests of the company and its shareholders [1][2] - The company must adhere to principles of legality, prudence, safety, and effectiveness in its trading activities, ensuring a robust internal control system and risk management [1][2] - The company is prohibited from using raised funds for futures and derivatives trading, emphasizing the importance of focusing on its main business [2] Section Summaries General Principles - Futures trading refers to transactions involving futures contracts or standardized options, while derivatives trading includes swaps, forwards, and non-standardized options [1] - The company must analyze the feasibility and necessity of investments, establish strict decision-making procedures, and define specific requirements for authorization and information disclosure [1][2] Approval Authority - A feasibility analysis report must be prepared and submitted to the board of directors for review before engaging in futures and derivatives trading [4] - Certain trading scenarios require shareholder approval if they exceed specified thresholds related to net profit and net assets [4] Professional Management - The company will establish a leadership group responsible for organizing and overseeing futures and derivatives trading, ensuring compliance with approved plans [9] - Different departments are designated for managing trading operations, market analysis, and financial management, ensuring a structured approach to trading activities [6][12] Risk Control - Strict separation of duties is mandated to prevent conflicts of interest among trading, finance, and audit personnel [14] - The company must implement stop-loss limits and regularly assess market risks, reporting findings to the leadership group and board of directors [8] Information Disclosure - The company must disclose significant losses or gains related to futures and derivatives trading that meet specified thresholds [19] - Information regarding the purpose, types, and expected financial commitments of proposed trading activities must be disclosed to ensure transparency [20] Confidentiality - All personnel involved in trading must adhere to confidentiality protocols, preventing unauthorized disclosure of sensitive trading information [22][10] Miscellaneous - The management system will be revised as necessary to comply with relevant laws and regulations, and it will take effect upon approval by the board of directors [24][25]