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投资银行类业务廉洁从业风险防控
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中成股份: 中国银河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》的相关规定的核查意见
Zheng Quan Zhi Xing· 2025-09-03 16:21
Core Viewpoint - The independent financial advisor, China Galaxy Securities, confirms that both the advisor and the listed company have complied with the relevant regulations regarding the hiring of third parties in the transaction [1][2]. Summary by Sections Independent Financial Advisor's Review - The independent financial advisor has not engaged in any direct or indirect paid hiring of third parties in this transaction [2]. - The listed company has only hired third parties for specific purposes, such as feasibility study reports, and has not engaged in any other direct or indirect paid hiring of third parties [1][2]. Compliance with Regulations - The actions taken by both the independent financial advisor and the listed company are deemed legal and compliant with the China Securities Regulatory Commission's guidelines on risk prevention in investment banking activities [2].
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
Group 1 - The company, Beijing Hailanxin Data Technology Co., Ltd., plans to acquire 100% equity of Hainan Hailan Universe Marine Information Technology Co., Ltd. through a combination of issuing shares and cash payment to 17 counterparties [1][2] - The independent financial advisor, Guotai Junan 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 company has engaged several service providers for this transaction, including Guotai Junan Securities as the independent financial advisor, Beijing DeHeng Law Offices as the legal advisor, Tianjian Certified Public Accountants as the auditing firm, and WalkerSon (Beijing) International Asset Appraisal Co., Ltd. for asset evaluation [2] Group 2 - The company also hired Gibson, Dunn & Crutcher LLP and rt Steuer + Recht GmbH for overseas legal services, and Shangpu Consulting Group Ltd. for consulting on the fundraising investment projects [2] - The hiring of these third-party institutions is deemed legal and compliant with the relevant regulations set forth by the China Securities Regulatory Commission regarding the engagement of third parties in investment banking activities [2]
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]