Caitong Securities Co.Ltd(601108)
Verification opinions on the compliance of this transaction with the relevant provisions of the opinions on strengthening the risk prevention and control of honest practitioners such as securities companies hiring a third party in investment banking business
Anhui Wanwei Updated High-Tech Material Industry Co.Ltd(600063) (hereinafter referred to as “listed company” and ” Anhui Wanwei Updated High-Tech Material Industry Co.Ltd(600063) “) plans to purchase 100% equity of Anhui wanwei Fusheng New Material Co., Ltd. and raise supporting funds and related party transactions (hereinafter referred to as “this transaction” and “this reorganization”) by issuing shares.
Caitong Securities Co.Ltd(601108) (hereinafter referred to as “the independent financial adviser” and ” Caitong Securities Co.Ltd(601108) “) as the independent financial adviser of the listed company for this asset restructuring, in accordance with the opinions on strengthening the risk prevention and control of honest practitioners such as securities companies hiring a third party in investment banking business (CSRC announcement [2018] No. 22), The independent financial consultant and the listed company shall check the behavior of employing a third party institution or individual (hereinafter referred to as the “third party”) in this transaction and express the following opinions:
1、 Verification of honest practitioners such as the third party employed in this transaction
In this transaction, the independent financial advisor does not engage a third party directly or indirectly.
2、 Verification of paid employment of a third party by a listed company
According to the description of the listed company, the intermediaries employed by the listed company in this transaction are as follows:
1. The listed company hired Caitong Securities Co.Ltd(601108) as the independent financial advisor of this transaction;
2. The listed company employs Shanghai Tongli law firm as the legal adviser of this transaction;
3. The listed company employs Rongcheng Certified Public Accountants (special general partnership) as the accounting firm of this transaction;
4. The listed company hired Anhui Zhonglian Guoxin Asset Appraisal Co., Ltd. as the asset appraisal institution of this transaction.
The above intermediaries are securities service institutions that need to be hired according to law in this transaction, and the hiring behavior is legal and compliant. In addition to the above hiring behavior, the listed company does not directly or indirectly hire other third parties for compensation in this transaction.
3、 Concluding observations of the independent financial adviser
In conclusion, after verification, the independent financial advisor believes that: in this transaction, the independent financial advisor does not directly or indirectly hire other third parties with compensation; The listed company’s engagement of independent financial consultants, law firms, accounting firms and asset appraisal institutions is legal and compliant, and complies with the relevant provisions of the opinions on strengthening the risk prevention and control of honest practitioners such as securities companies engaging third parties in investment banking business.
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