Citic Securities Company Limited(600030)
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
Citic Securities Company Limited(600030) (hereinafter referred to as ” Citic Securities Company Limited(600030) ” or “independent financial consultant”) as the independent financial consultant of Jiangxi Jovo Energy Co.Ltd(605090) (hereinafter referred to as ” Jiangxi Jovo Energy Co.Ltd(605090) ” or “listed company”) to issue shares, convertible corporate bonds, pay cash to purchase assets and raise supporting funds (hereinafter referred to as “this transaction” or “this project”), In accordance with the 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, the independent financial adviser checked the behavior of paying a third party institution or individual (hereinafter referred to as the “third party”) in this transaction, and expressed the following opinions:
1、 Verification of paid employment of a third party and other related acts in this transaction
In order to control the financial risks of the project and strengthen the due diligence on the financial matters of the project, Citic Securities Company Limited(600030) has hired Daxin accounting firm (special general partnership) (hereinafter referred to as “Daxin club”) as the securities firm accountant of the independent financial consultant of the project. Daxin club holds the practice license of accounting firm with the unified social credit code of 91110108590611484c. Daxin Club agrees to accept the entrustment of the independent financial consultant to provide financial verification services to the independent financial consultant in the project. The services mainly include: assisting the independent financial consultant to complete the financial verification of the project, assisting the independent financial consultant to collect, sort out and prepare the working papers related to the project, etc Citic Securities Company Limited(600030) the cost of engaging a securities firm accountant for the project shall be determined by both parties through negotiation, and Citic Securities Company Limited(600030) shall pay it to Daxin with its own funds. As of the date of issuance of this verification opinion, Citic Securities Company Limited(600030) has not actually paid the accountant’s fees. In addition, the independent financial advisor of this transaction does not directly or indirectly hire other third parties with compensation.
According to the relevant employment agreement provided by the listed company, the listed company legally employs Citic Securities Company Limited(600030) as the independent financial adviser of the project, Beijing Guofeng law firm as the domestic legal adviser of the project, and Beijing Guofeng (Hong Kong) law firm as the overseas legal adviser of the project Rongcheng Certified Public Accountants (special general partnership) and Zhitong Certified Public Accountants (special general partnership) are employed as the audit institution of the project, and Zhonglian asset appraisal group Co., Ltd. is employed as the asset appraisal institution of the project to provide relevant professional services for the project. As of the date of issuance of this verification opinion, except for the above institutions, the listed company has not engaged other third parties directly or indirectly.
2、 Internal audit procedure of independent financial adviser
In order to clarify the contents and requirements of Citic Securities Company Limited(600030) employing securities firm accountants to provide financial verification services, Citic Securities Company Limited(600030) compliance department has formulated the format contract of securities firm accountants’ employment agreement for different project types, and clearly agreed on the service contents, charging arrangements and the rights and obligations of both parties. The project team of the project comprehensively evaluates the accounting firm from the aspects of business qualification, project experience, resource allocation, market reputation and charging standard, and selects the accounting firm that meets the project requirements as the securities firm accountant. After the project team drafts the employment agreement of securities firm accountants in the format contract formulated by the compliance department, it is approved by the heads of Citic Securities Company Limited(600030) compliance department, legal department, planning and finance department, project team and the management of investment bank management committee, and Citic Securities Company Limited(600030) compliance department conducts compliance review on relevant employment matters and issues compliance review opinions, and Citic Securities Company Limited(600030) and securities firm accountants formally sign the employment agreement.
3、 Concluding observations of the independent financial adviser
After verification, as of the date of issuance of this verification opinion, Citic Securities Company Limited(600030) engaged Daxin club in this transaction and the listed company engaged Citic Securities Company Limited(600030) , Beijing Guofeng law firm, Beijing Guofeng (Hong Kong) law firm, Rongcheng Certified Public Accountants (special general partnership), Zhitong Certified Public Accountants (special general partnership) and Zhonglian asset appraisal group Co., Ltd. in compliance with laws and regulations, Comply 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.
(there is no text on this page, which is the signature page of Citic Securities Company Limited(600030) the verification opinion 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)
Financial advisor sponsor: Hong Tao, Yang Bin
Zhao Wei, Zhang Tianliang
Citic Securities Company Limited(600030) mm / DD / yyyy
