Oriental Guosen (300166): China Galaxy Securities Co., Ltd.’s training report on the continuous supervision of Beijing Oriental Guosen Technology Co., Ltd. in 2023 – CFi.CN China Finance Network

Original title: Oriental Guosen: China Galaxy Securities Co., Ltd.’s training report on the continuous supervision of Beijing Oriental Guosen Technology Co., Ltd. in 2023

China Galaxy Securities Co., Ltd.
About Beijing Oriental Guoxin Technology Co., Ltd.
Training report on continuous supervision in 2023

According to the “Shenzhen Stock Exchange Self-Regulatory Supervision Guidelines for Listed Companies No. 13 – Sponsorship Business”, “Shenzhen Stock Exchange GEM Stock Listing Rules (Revised in August 2023)” and “Shenzhen Stock Exchange Self-Regulatory Supervision Guidelines for Listed Companies No. 2″ ——Standardized Operation of GEM Listed Companies (Revised in 2023)” and other relevant regulations, members of the project team of China Galaxy Securities Co., Ltd. (hereinafter referred to as “Galaxy Securities”) reported on Beijing Oriental Guoxin Technology Co., Ltd. on April 3, 2024 (hereinafter referred to as “Oriental Guoxin” or the “Company”)’s directors, supervisors, senior managers, middle-level managers and above, as well as the company’s controlling shareholders, actual controllers and other relevant personnel received special training and distributed relevant training materials to supervise them. Study the training content carefully. The details of this training are as follows:
1. Training time
April 3, 2024
2. Training location and format
Training location: Conference Room, Oriental Guoxin Building, Building 1, No. 1, Chuangda 3rd Road, Chaoyang District, Beijing Training format: On-site training
Participants: Company directors, supervisors, senior managers, middle-level managers and above, as well as the company’s controlling shareholders and actual controllers
For relevant personnel who were unable to participate in the training for some reason, the sponsoring agency has provided them with relevant materials for this training and requested the company to supervise their self-study. If you have any questions during the learning process, you can contact the training personnel of Galaxy Securities at any time.

3. Training content
Introducing the current establishment and operation of China’s multi-level capital market, and in accordance with the “Shenzhen Stock Exchange Self-Regulatory Guidelines for Listed Companies No. 13 – Sponsorship Business” and the Shenzhen Stock Exchange GEM Stock Listing Rules (revised in August 2023 )” and “Shenzhen Stock Exchange Self-Regulatory Guidelines for Listed Companies No. 2 – Standardized Operations of GEM Listed Companies (Revised in 2023)” and other relevant regulations, which regulate corporate governance and standardized operations, and behavioral norms for directors, supervisors, and senior managers. , controlling shareholders, actual controllers’ behavioral norms, information disclosure, raised funds management, investor relations management, related transactions, shareholding reduction policies, etc. are explained.

4. Training effect
During this training process, Oriental Guosen provided active cooperation. Galaxy Securities combines the interpretation of relevant laws and regulations with the case analysis of the securities market and the specific situation of Oriental Guoxin, so that the company’s directors, supervisors, senior managers, middle-level and above managers, controlling shareholders and actual controllers and other relevant personnel can understand the standards of listed companies. The company has a deeper understanding of relevant regulations such as operations, fund-raising management, information disclosure, and codes of conduct for directors, supervisors, and senior managers, which further enhances the company’s relevant personnel’s awareness of the standardized operations of listed companies, and achieves the expected training effect.

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(This page has no text, but is the signature and seal page of “China Galaxy Securities Co., Ltd.’s Training Report on the Continuous Supervision of Beijing Oriental Guoxin Technology Co., Ltd. in 2023”)

Signature of sponsor representative:
Wang Fei Zhang Yue

China Galaxy Securities Co., Ltd.

April 19, 2024

China Finance Network