1. Self-inspection report on employees' internal control compliance
According to the deployment and requirements of the superior bank on the comprehensive internal control evaluation of grass-roots branches in 2xx, Minghu Branch of ICBC evaluated the internal control management status of the branch objectively, fairly and truly, further promoted the improvement of the internal control system, raised the level of internal control management, and adopted three powerful measures to ensure that the internal control evaluation work was carried out with high efficiency and high quality.
first, strengthen organizational leadership and strengthen the implementation of responsibilities.
in order to put all the work of internal control evaluation of 2xx into place, a leading group for internal control evaluation of the bank was quickly established, and an office was set up under the Risk Department. While strengthening the organization and leadership, the Bank also strengthened the implementation of the responsibilities of all departments, offices and outlets: the internal control evaluation leading group is specifically responsible for, organizing and coordinating the internal control evaluation related matters and work of the sub-branch; As the lead department, the Risk Department is responsible for the request and communication between the sub-branch and the internal control management department of the superior bank, unifying the understanding, standards and progress, making overall arrangements and dispatching the internal control evaluation work of all departments, offices and outlets in place, and ensuring the smooth progress of the internal control evaluation and self-evaluation.
second, strengthen the study and training of internal evaluation documents, and correctly understand and master the evaluation standards, evaluation points, evaluation basis and evaluation methods of various evaluation indicators.
the heads of the organization department, business outlets and relevant personnel of the internal control evaluation leading group of the Bank carefully studied the detailed rules for the implementation of internal control evaluation of grass-roots banks (2xx edition) and the operating manual of internal control evaluation of grass-roots banks (2xx edition) and other document systems, thoroughly understood the spirit, mastered the evaluation methods and improved the quality of self-evaluation.
third, strengthen the quantitative decomposition of process evaluation indicators to ensure the integrity and operability of the bank's self-evaluation of internal control.
The internal control evaluation of grass-roots banks is mainly process evaluation. The bank quantifies and decomposes the evaluation contents, standards, key points, bases and methods of process evaluation indicators according to the actual situation of the bank's operation and management, and determines the evaluated departments, offices, outlets, specific items and operation methods.
fourth, strengthen and improve the basic management of internal control evaluation and self-assessment, and realize the institutionalization of daily management behavior of internal control evaluation.
the purpose of internal control evaluation is not only to improve the internal control management system and measures, but more importantly, to institutionalize the internal control management behaviors formed and improved in the process of internal control evaluation, and truly implement them consciously in the daily management of all levels and departments. In view of the defects or problems found in the internal control during the evaluation, the Bank has revised and supplemented the relevant daily operating procedures and detailed rules for the implementation of management assessment on the basis of fully making up for the improvement and rectification, and strived to institutionalize the daily management behavior of internal control evaluation in combination with the construction of execution.
5. Strengthen information exchange and communication in evaluation work, and give full play to the role of functional departments.
the contents and methods of internal control evaluation are different due to different operating and management conditions among grass-roots banks, departments and offices, and outlets. In order to ensure the quality and progress of sub-branches' self-evaluation, the Risk Department, as the lead department of sub-branches, gives full play to the positive role of functional departments, absorbs and draws lessons from the advanced experience of other branches on the basis of earnestly studying, understanding and mastering the spirit and requirements of higher-level branches, and strengthens the information exchange and communication of evaluation work among sub-branches and outlets, so that all self-evaluation work can be completed on time with high quality.
Through the 2xx annual internal control evaluation and self-assessment, the employees fully realize the importance of strengthening internal control management, and are constantly improving the construction of internal control system, strengthening the implementation of internal control management, improving management level and promoting the steady operation of various businesses.
2. Self-inspection report on employees' internal control compliance
In order to further promote the implementation of internal control systems such as rotation of posts, household change management and compulsory leave, the Bank received the Notice of Self-inspection on the Implementation of Internal Control Systems such as Rotation of Posts, Household Change Management and Compulsory Leave from the Bank's Party Committee Office (document 2xx13), and the leadership of the county bank attached great importance to it. First, it held a special meeting, at which it carefully studied relevant issues. After the meeting, we conducted a self-examination on the internal control system of the Bank, such as job rotation, household change management and compulsory leave. Now we report the self-examination as follows:
1. Strengthen organizational leadership to ensure the smooth development of the self-examination work.
after receiving the notice, the party branch of the county bank immediately convened an executive meeting to study the requirements of the documents in all directions. The president personally went into battle and set up a leading group for self-inspection of internal control systems such as rotation of important posts, household change management, and compulsory vacation. The president personally served as the team leader, two vice presidents served as deputy heads, and the director of the second department and one office served as members. It has laid a good start for the smooth implementation of self-inspection of internal control systems such as rotation of important posts, household change management and compulsory leave. In order to do a good job of self-inspection, the county bank, in conjunction with the ongoing "Year of Implementation of Banking Internal Control and Case Prevention System", launched a more detailed and in-depth self-inspection work, implemented a "two-pronged" work policy, found out the reasons for the problems, and ensured that the self-inspection work of internal control systems such as post rotation, household change management and compulsory vacation was implemented.
second, self-examination.
(1) rotation of posts and compulsory leave in important positions and sensitive links. The Bank has always adhered to the job rotation system for important posts and sensitive links, which is carried out once every three years, providing a guarantee for effectively promoting the development of various businesses and comprehensively improving the safety of important posts and sensitive links. With regard to compulsory leave, according to the provisions of the documents of the superior bank, the Bank requires that the leave time of the leave personnel must reach 5-1 working days, and during the leave period, the management personnel are arranged to take the place of the leave personnel, thus ensuring the normal work. Since the beginning of this year, there have been two people on leave in our bank.
(2) members of the leading bodies of county banks. According to the spirit of the Interim Provisions on the Exchange of Cadres of China Agricultural Development Bank, the bank's vice presidents belong to different places, and the county bank's president has been in the bank for less than three years and is under 5 years of age. The two vice presidents of the county bank are under 45 years old, and the president of our bank has not served in the local area for five years.
(3) management of household change and customer management. In the management of loan customers, our bank adheres to the working system of more than two account managers and implements the management of changing accounts every two years. Since the beginning of this year, the account manager of our bank should change the number of account managers by three and three times. It ensures the effective development of household change management and lays a firm foundation for improving service quality and work efficiency.
fengqiu county Sub-branch of Agricultural Development Bank can be strict and conscientious in the self-inspection work of "Implementation of Internal Control System for Post Rotation, Household Change Management, Compulsory Vacation, etc.", and insist on combining with practical work to supervise the implementation of "Internal Control System for Post Rotation, Household Change Management, Compulsory Vacation, etc.", and insist on combining highlighting key points with comprehensive self-inspection. While inspecting key business areas such as credit, finance and accounting, We have fully understood the progress of the implementation of internal control system such as rotation of important posts, household change management and compulsory leave. After self-examination, there are no problems in the implementation of internal control system such as rotation of important posts, household change management and compulsory leave.
3. Self-inspection report on employees' internal control and compliance
Since the company went public, the board of directors has been focusing on improving and perfecting the corporate governance structure in strict accordance with the relevant regulations of China Securities Regulatory Commission and Shenzhen Stock Exchange. He has taken the lead in introducing four independent directors who meet the relevant conditions and have strong professional ability within the jurisdiction of Zhejiang Supervision Bureau; The proportion of the number of people is more than one third of the total number of people on the board of directors of the company; And set up four professional committees of the board of directors earlier, which can carry out activities normally according to relevant regulations every year; Provide a mechanism and working platform for actively playing the role of independent directors.
During the reporting period, in order to strengthen and improve the corporate governance structure and the establishment and perfection of the internal control system, the company mainly did the following work:
1. A leading group for corporate governance special activities, headed by Chairman Nie Zhonghai, was established, and the spirit of relevant documents was carefully studied; Formulate detailed implementation plans for special work; Self-inspection was carried out according to the current situation of corporate governance, and the self-inspection report and rectification plan of the company's "Special Activities on Strengthening the Governance of Listed Companies" was formed, which was reviewed and approved at the 13th meeting of the xx Board of Directors of the company and published on Juchao Information Network on June 16, 27. At the same time, a special telephone, fax and network platform was set up and announced to listen to the opinions and suggestions of investors and the public.
2. According to the self-inspection items in the Guidelines for Internal Control of Listed Companies issued by Shenzhen Stock Exchange, the Notice of China Securities Regulatory Commission on Matters Related to Strengthening the Governance of Listed Companies, and the Basic Norms of Internal Control System issued by the company, The Company's Information Disclosure Management System, Management Measures for Expatriated Directors and Supervisors, Management Measures for Holding (Share-holding) Companies, Basic Norms for Internal Control System, Management System for Funds Raised by the Company, Internal Audit System of the Company, Implementation Rules for Internal Audit System of the Company, Implementation Rules for Cumulative Voting of the Company and Implementation Rules for Online Voting of the Company's Shareholders' General Meeting have been revised and formulated.
3. At the same time, the company also specified the responsible person led by the director for each item to be rectified in the "Self-inspection Report and Rectification Plan on Strengthening the Governance of Listed Companies". A few days ago, the internal control systems that have been formulated or are being formulated include: Work Rules of Audit Committee of Board of Directors, Work System of Annual Report of Independent Directors, Work System of General Manager, Financial Budget Management of Company, Duty Authorization System, Crisis Management and Risk Prevention System, etc. The formulation of these systems will provide a good foundation for establishing and perfecting the internal audit and internal control system and ensuring normal operation.
4. The Company has always followed the principles of fairness, openness and fairness, and the Administrative Measures for Related Party Transactions of the Company has made detailed provisions on the principles of related party transactions, related parties and related relationships, decision-making procedures for related party transactions, and information disclosure of related party transactions. The daily related party transactions of the Company every year shall be announced in strict accordance with the Management Measures for Related Party Transactions of the Company, and shall be implemented after being reviewed and approved by the annual general meeting of shareholders of the Company.
5. The articles of association also clearly stipulate the basic principles, procedures for submission and review, announcement and disclosure of external guarantees. During the reporting period, the company had no external guarantees other than its holding subsidiaries. The company strictly abides by and performs the corresponding approval and authorization procedures for the guarantee of its subsidiaries. According to the relevant provisions of the Internal Control Guidelines of Shenzhen Stock Exchange, the company strictly controls and reviews the external guarantees, and there has never been any violation of the Internal Control Guidelines. The company's financial treatment follows the principle of prudence. Zhejiang Dongfang Certified Public Accountants and Shanghai PricewaterhouseCoopers, which are responsible for auditing the company's financial accounting reports, have issued unqualified audit reports for many years.
6. the company has established an evaluation, incentive and restraint mechanism for senior executives, which is based on the annual salary evaluation plan for senior executives of the company and takes the company's business responsibility objectives as the main content. The relevant reward system was established from the beginning of listing and has been continuously revised and improved according to the actual situation, and has been implemented so far. During the reporting period, the Company's Second Board of Directors of xx session deliberated and adopted the "Appraisal Scheme for Annual Salary of Company Executives" (revised in 27), in which the specific appraisal indicators were revised, further clarifying the binding mechanism between the responsibilities, rights and remuneration of company executives.
7. the second board of directors of xx session voted to pass the proposal of "improving and perfecting internal audit institutions" put forward by the audit Committee of the board of directors. the main contents are as follows: (1) the internal audit institutions of the company are directly responsible to the board of directors and report their work to the board of directors; (2) The company's internal audit institutions carry out specific work under the guidance of the audit committee of the board of directors within the scope authorized by the board of directors; (3) The internal audit institution of the company is attached to the department and temporarily hangs the office of the board of directors, and will be established as an independent department when the basic conditions are ripe; (4) The company's internal audit institution is equipped with a person in charge, and the rank is recommended to be the company level. The staff of the internal audit institution shall be no less than three, and shall be basically in place before the end of 27; (5) The Company's Board of Supervisors shall effectively supervise the organization setup and staffing of the Company's internal audit function and the implementation of the Company's Internal Audit System and Detailed Rules for the Implementation of the Company's Internal Audit.
8. On September 14th, 27, the relevant leaders of the Supervision Department of Zhejiang Securities Regulatory Bureau came to the company for a site visit and inspection on the "Special Activities on Corporate Governance", and put forward opinions and requirements for the company to further deepen corporate governance. Zhejiang Securities Regulatory Listing Zi [27] No.172 "Notice on Comprehensive Evaluation and Rectification Suggestions for the Governance of Hangzhou Steam Turbine Company" fully affirmed our company's corporate governance structure, three-party decision-making system, internal control system, accounting and information disclosure since its listing, but at the same time pointed out that the company should further improve the personnel composition and functions of the internal audit department and give full play to its role.
at present, the senior management of the company has basically implemented the rectification according to the opinions and requirements of "improving and perfecting the internal audit institution" put forward by the regulatory authorities and the audit committee of the board of directors. At the end of the first quarter of 28, an internal audit institution under the leadership of the board of directors was established according to the relevant regulations, with full-time staff, which basically has the functions of carrying out relatively independent internal audit work and implementing the supervision of the company's internal control.
Self-evaluation of the company's internal control:
1. The company has basically established a corporate governance structure and internal organizational structure that meet the requirements of modern management, and the formed decision-making mechanism, execution mechanism and supervision mechanism can basically ensure the realization of the company's management objectives, the truthfulness, accuracy, completeness and fairness of the company's information disclosure, and the implementation of relevant national laws and regulations and the company's internal control system.
2. The risk control system established by the company is basically sound and effective, which can basically ensure the healthy operation of various business activities of the company.
3. The company's internal control system (including internal audit system) can basically achieve the goals of plugging loopholes, eliminating hidden dangers, preventing and timely discovering and correcting various errors, and protecting the safety and integrity of the company's property.
4. Employee internal control compliance self-inspection report
According to the relevant provisions of the Internal Control Guidelines of Shenzhen Stock Exchange, the company's internal control work basically meets the relevant requirements of China Securities Regulatory Commission and Shenzhen Stock Exchange. The Code of Conduct for Employees, the Provisions on Prohibiting Employees' Behaviors and the Provisions on Handling Employees' Violations issued by the Head Office of Industry and Commerce have constructed a complete set of codes of conduct for employees. As a front-line employee, I have made a profound self-analysis and self-examination:
1. In terms of professional ethics
I keep in mind the seven requirements put forward in the professional ethics outline of the Code of Conduct for Employees. Perform duties and repay the society; Be open-minded