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投资银行类业务廉洁从业风险防控
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海兰信: 国泰海通证券股份有限公司关于本次交易符合《关于加强证券公司在投资银行类业务中聘请第三方等廉洁从业风险防控的意见》相关规定的核查意见
Zheng Quan Zhi Xing· 2025-08-12 16:25
国泰海通证券股份有限公司 关于本次交易符合《关于加强证券公司在投资银行类业务中聘请第 三方等廉洁从业风险防控的意见》相关规定的核查意见 北京海兰信数据科技股份有限公司(以下简称"公司"、"上市公司")拟通 过发行股份及支付现金的方式向海南省信息产业投资集团有限公司、温州申合信 创业投资合伙企业(有限合伙)等 17 名交易对方购买海南海兰寰宇海洋信息科 "标的公司")100%的股权,并向不超过 35 技有限公司(以下简称"海兰寰宇"、 名特定投资者发行股份募集配套资金(以下简称"本次交易")。 国泰海通证券股份有限公司(以下简称"独立财务顾问")作为上市公司本 次交易的独立财务顾问,根据《关于加强证券公司在投资银行类业务中聘请第三 方等廉洁从业风险防控的意见》 (证监会公告〔2018〕22 号)的有关规定,就独 立财务顾问及上市公司在本次交易中聘请第三方机构或个人的行为进行核查并 发表如下意见: 一、独立财务顾问有偿聘请第三方行为的核查 本次交易中,独立财务顾问不存在直接或间接有偿聘请第三方机构或个人的 行为。 二、上市公司有偿聘请第三方行为的核查 本次交易中,上市公司聘请国泰海通证券股份有限公司作为本次交易的 ...
安源煤业: 中信证券股份有限公司关于本次交易符合《关于加强证券公司在投资银行类业务中聘请第三方等廉洁从业风险防控的意见》的相关规定之核查意见
Zheng Quan Zhi Xing· 2025-06-27 16:47
Group 1 - The transaction involves the exchange of coal-related assets and liabilities held by Anyuan Coal Industry Group Co., Ltd. with 85.5 million shares (57% stake) of Ganzhou Jinhui Magnetic Selection Technology Equipment Co., Ltd. held by Jiangxi Jiangtong Holdings Development Co., Ltd. The cash difference will be settled between the parties [1][2] - The independent financial advisor, CITIC Securities Co., Ltd., confirmed that there were no direct or indirect paid engagements of third-party institutions or individuals in this transaction [1][2] - The independent financial advisor conducted a thorough review of the hiring of third-party institutions by the listed company and found that the hiring of the asset evaluation institutions was legal and compliant with the relevant regulations of the China Securities Regulatory Commission [2]
*ST宝实: 招商证券股份有限公司关于宝塔实业股份有限公司本次交易符合《关于加强证券公司在投资银行类业务中聘请第三方等廉洁从业风险防控的意见》的相关规定之核查意见
Zheng Quan Zhi Xing· 2025-06-06 14:27
Group 1 - The independent financial advisor,招商证券, confirms that there are no direct or indirect paid engagements with third parties in the transaction involving宝塔实业 [1][2] - The listed company,宝塔实业, has legally engaged招商证券 and other firms for advisory, legal, auditing, and evaluation services, with no other third-party engagements [1][2] - The actions taken by both the independent financial advisor and the listed company comply with the regulations set forth by the China Securities Regulatory Commission regarding risk prevention in investment banking [2]