000407SZSE

Verification Opinion on Compliance with Regulations Regarding Third-Party Engagement in Investment Banking Activities

Victory Co., Ltd.··3p

✨ AI Summary

Zhongtai Securities Co., Ltd. conducted a verification to ensure compliance with regulations on engaging third parties in investment banking activities. The company established independent financial guidelines and confirmed that its third-party engagements are legally compliant. Notably, Zhongtai Securities confirmed no direct transactions with third parties or individuals in this specific transaction. The verification concluded that the company adheres to all relevant regulations.

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Full Translation

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Zhongtai Securities Co., Ltd. (hereinafter referred to as "the Company") or "Zhongtai" has conducted a verification regarding compliance with the "Opinions on Strengthening Securities Companies' Engagement of Third Parties in Investment Banking Activities to Prevent Corruption Risks."

  1. Verification of the Company's Engagement of Third Parties

  2. The Company has established independent financial guidelines for engaging third parties in this transaction.

  3. The legal basis for the engagement of third parties is in accordance with the relevant legal provisions.

  4. The Company has conducted a review of the evaluation institutions involved in this transaction.

  5. Verification of Independent Financial Guidelines

Zhongtai Securities Co., Ltd. recognizes that in this transaction, there are no direct transactions with third parties or individuals.

In conclusion, the independent financial guidelines confirm that in this transaction, the Company does not engage in direct transactions with third parties or individuals. Therefore, the Company complies with the regulations regarding the engagement of third parties in investment banking activities.

Financial Responsible Persons:

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Zhongtai Securities Co., Ltd.
April 29, 2026

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