Guohai Securities Co., Ltd.
Regarding Chongqing Shunbo Aluminum Co., Ltd.'s Private Placement of Shares
Issuance and Underwriting Letter
SEALAND SECURITIES
No. 13 Fuxing Road, Guilin City, Guangxi Zhuang Autonomous Region
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SHUNBO
顺博
国海证券
广西壮族自治区桂林市辅星路13号
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Chongqing Shunbo Aluminum Co., Ltd.
Underwriting Letter
Statement of the Underwriter
Guohai Securities Co., Ltd. and its designated two underwriters, in accordance with the "Company Law of the People's Republic of China" (hereinafter referred to as the "Company Law"), the "Securities Law of the People's Republic of China" (hereinafter referred to as the "Securities Law"), the "Administrative Measures for the Registration of Issuance of Securities by Listed Companies" (hereinafter referred to as the "Registration Measures") and other relevant laws, regulations, and the relevant regulations of the China Securities Regulatory Commission, have acted with honesty, trustworthiness, diligence, and responsibility, strictly in accordance with the business rules, industry practice, and ethical standards formulated according to law, to issue this underwriting letter, and guarantee the truthfulness, accuracy, and completeness of this underwriting letter.
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Table of Contents
Section 1 Basic Information on this Securities Issuance
I. Information on the Underwriters
II. Project Assistants and Other Project Team Members
III. Basic Information of the Issuer
IV. Description of the Relationship between the Issuer and the Underwriter
V. Internal Review Procedures and Review Opinions of the Underwriter
Undertakings of the Underwriter
Section 3 Recommendation Opinion on this Securities Issuance
I. Conclusion of Recommendation on this Securities Issuance
II. The Issuance Has Followed Statutory Decision-Making Procedures
III. The Issuance Complies with the Relevant Conditions of the "Company Law"
IV. The Issuance Complies with the Relevant Conditions of the "Securities Law"
V. The Issuance Complies with the Relevant Conditions of the "Registration Measures"
VI. Verification of Whether Third Parties Were Directly or Indirectly Hired for Remuneration in this Issuance
VII. Review Opinion on the Issuer's Implementation of the "Guiding Opinions on Issues Concerning the Dilution of Immediate Returns from Initial Public Offerings, Refinancing, and Major Asset Restructuring"
VIII. Major Risks and Development Prospects Faced by the Issuer
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