1. The purpose of accounting firms and due diligence institutions (hereinafter referred to as audit institutions) employed by securities companies to inquire about current accounts between securities companies and the Company shall be governed by this Notice.
2. The securities company or the audit institution hired by it shall fill in the specific inquiry information in accordance with the format of the inquiry letter for business dealings formulated by the company (see annex). If there are any other matters other than the pre-printed matters in the confirmation letter format, please fill them in the "Other Matters" column.
3. Handwritten inquiry information should be avoided. If you add, delete or modify information by hand, please affix the official seal of the company at the adjustment place.
4. If the audit institution makes a written confirmation, it shall affix the official seal of the securities company on the enterprise confirmation letter and mail it to the company; Where an audit institution appoints an agent to handle on-site inquiry, it shall indicate the specific information of the agent in the enterprise inquiry letter.
Legal basis:
People's Republic of China (PRC) Securities Law
Article 22 The the State Council Securities Regulatory Authority or the department authorized by the State Council shall, within three months from the date of accepting the application documents for securities issuance, make a decision on whether to register them according to legal conditions and procedures, and the time for the issuer to supplement or modify the application documents for securities issuance shall not be counted. If the registration is not granted, the reasons shall be explained.
Article 23 After the application for registration of securities issuance, the issuer shall, in accordance with the provisions of laws and administrative regulations, announce the public offering documents before the public offering of securities, and place the public offering documents in designated places for public inspection.
Before the securities issuance information is made public according to law, no insider may disclose or divulge the information.
An issuer may not issue securities before the public offering documents are announced.
Article 24 If the securities regulatory authority in the State Council or the department authorized by the State Council finds that the decision on securities issuance and registration does not meet the statutory conditions or procedures, and the securities have not been issued, it shall be revoked and the issuance shall be stopped. If it has been issued but not listed, the issuance registration decision shall be revoked, and the issuer shall return it to the securities holder at the issue price plus the interest of the bank deposit for the same period; The controlling shareholder, actual controller and sponsor of the issuer shall be jointly and severally liable with the issuer, unless they can prove that they are not at fault.
If a stock issuer conceals important facts or fabricates major false contents in the prospectus and other securities issuance documents, and the stock has been issued and listed, the the State Council securities regulatory authority may order the issuer to buy back the securities, or order the responsible controlling shareholder or actual controller to buy back the securities.
Article 25 After a stock is issued according to law, the issuer shall be responsible for the changes in its operation and income. Investors should be responsible for the investment risks caused by this change.
Article 26 Where the securities issued by the issuer to unspecified objects should be underwritten by a securities company according to laws and administrative regulations, the issuer shall sign an underwriting agreement with the securities company. Securities underwriting business adopts the mode of consignment or underwriting.
Securities consignment refers to the underwriting method in which securities companies sell securities on behalf of issuers and return all unsold securities to issuers at the end of the underwriting period.
Securities underwriting refers to the underwriting method in which a securities company purchases all the securities of the issuer according to the agreement or purchases all the remaining securities after selling by itself at the end of the underwriting period.