(1) Whether the company operates independently; Whether the shareholders' meeting, the board of directors and the board of supervisors are effectively balanced; Whether the directors and supervisors perform their duties in accordance with relevant laws and regulations and the Articles of Association, especially whether the independent directors express their opinions independently, objectively and impartially; Whether the company's original meeting minutes and relevant meeting minutes are true, accurate and complete, and whether they are filed as required.

(2) Construction and implementation of fair trade system (1 item). Check the method of fair trade analysis and its effectiveness, whether there is any violation of fair trade; Whether the capital accounts of different natures managed by the company follow the principle of fair trade.

(3) Implementation of major related party transactions (2 items). Check whether the fund manager uses the fund property to buy and sell the securities issued by the fund manager, fund custodian, its controlling shareholder, actual controller or other companies with significant interests or the securities underwritten during the underwriting period, whether it engages in other major related transactions, whether it follows the principle of giving priority to the interests of fund share holders, whether there is interest transfer, whether it fulfills the obligation of information disclosure, etc.

(4) Whether the management system of employees of the company, especially investors, researchers, their spouses and interested parties, is sound and effective, and whether there is any situation of using undisclosed information of the fund to obtain benefits (3 items).

(5) Whether the basis of the fund company's investment decision violates the company's regulations and investment decision-making process (4 items). For example, according to the regulations, the authority of the fund manager of each fund company has certain authorization. In practice, whether the authorization of the fund manager has been broken and whether the transaction of the fund manager has broken through the management of the stock pool.

(6) Whether the risk management system covers different risk control links; Whether it covers all kinds of risk management of all kinds of products and businesses; Whether it covers the main business risks of fund operation and daily management of the company, especially investment risks, background operation risks and information technology system risks; Whether an effective subsidiary business risk management system, parent-subsidiary business firewall system and related party transaction system have been established to prevent possible risk transmission, interest conflict and interest transmission.