中信证券股份有限公司

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1、中信证券股份有限公司关于北京安达维尔科技股份有限公司首次公开发行股票并在创业板上市之发行保荐工作报告（广东省深圳市福田区中心三路8号卓越时代广场（二期）北座）二〇一七年八月目录目录················································································································1声明·······················································

2、·························································2释义················································································································3第一节项目运作流程··············································································

3、·············4一、保荐机构项目审核流程··········································································4二、项目立项审核主要过程··········································································7三、项目执行主要过程······························································

4、··················7四、内部审核主要过程··············································································17第二节项目存在问题及其解决情况·······································································18一、立项评估决策·······················································

5、·····························18二、尽职调查过程中发现的主要问题及处理情况·············································18三、内部核查部门关注的主要问题·······························································24四、内核小组会议关注的主要问题·······························································59五

6、、对发行人利润分配政策和未来分红回报规划的核查意见······························61六、对相关责任主体所作承诺的核查意见······················································61七、对其他证券服务机构出具的专业意见核查情况··········································613-1-2-1声明中信证券股份有限公司接受北京安达维尔科技股份有限公司的委托，担任北京安达维尔科技股份有限公司首次公开发行股票

7、并在创业板上市的保荐机构，为本次发行出具发行保荐工作报告。保荐机构及指定的保荐代表人根据《中华人民共和国公司法》（以下简称“《公司法》”）、《中华人民共和国证券法》（以下简称“《证券法》”）、《首次公开发行股票并在创业板上市管理办法》（以下简称“《创业板首发管理办法》”）、《证券发行上市保荐业务管理办法》等有关法律、法规和中国证券监督管理委员会（以下简称“中国证监会”）的有关规定，诚实守信，勤勉尽责，严格按照依法制订的业务规则、行业执业规范和道德准则出具发行保荐工作报告，并保证所出具文件的真实性、准确性、完整性和及

8、时性。若因保荐机构为发行人首次公开发行制作、出具的文件有虚假记载、误导性陈述或者重大遗漏，给投资者造成损失的，保荐机构将依法赔偿投资者损失。3-1-2-2释义本发行保荐工作报告中，除非文义另有所指，有关术语的释义内容与招股说明书一致。3-1-2-3第一节项目运作流程一、保荐机构项目审核流程本机构根据中国证监会《证券公司内部控制指引》（证监机构字[2003]2