在证券业务领域，孚道与有关政府部门、监管机构保持着良好的沟通和交流，具有及时通畅的信息渠道，并与众多知名证券公司、投资银行、投资管理公司、会计师事 务所、评估公司、律师行保持有良好的业务合作和联络关系。孚道律师开展尽职调查，对公司股份制改造、如何符合发行和上市条件提出法律意见和建议，出具法律 意见书。我们还协助撰写及验证招股说明书及其它信息披露文件，协助公司完成股票发行、上市及相关证券事务。

【业务范围】

●对公司股份制改造提供法律咨询服务，为企业提供股份制改造一揽子解决方案；

● 担任发行人律师，为公司在境内沪深证券交易所首次公开发行股票（含A股、B股）并挂牌上市出具法律意见书；

● 为已上市公司或非上市公司发行公司债券、可转换为股票的债券，以及其他大型企业发行企业债券提供法律审查，出具法律意见书；

●在场外市场股权融资（如新三板）业务中，为融资方挂牌交易提供法律咨询服务；

●在中小企业私募债券的发行业务中，为发行人或承销商提供法律咨询服务；

● 为发起设立证券投资基金（含封闭式基金和开放式基金）以及养老基金的规范、改造、扩募和续期出具法律意见书；

● 代理证券民事赔偿纠纷的诉讼，以及国债回购、证券交易等与证券有关的诉讼类业务；

● 担任证券主承销商的法律顾问，对承销商推荐发行公司并对承销证券进行法律审查；

●为证券公司IPO网下配售提供法律见证服务。

Ⅶ. Securities

FORD has maintained good communication with relevant governmentdepartments and regulatory bodies

in the securities business, and obtained smooth and timely information channels. FORD also established

good business cooperation and liaison relationships with many well-known securities companies,

investment banks, investment management firms, accounting firms, asset appraisal companies, and

other law firms. FORD lawyers can conduct due diligence, provide legal advice and suggestions to the

company on company joint-stockreform and the requirements for going public and issuingstocks, and

give legal opinions. We also help writing and verifying the prospectus and other disclosure documents,

assisting the company with the stock issuance, going public and securities matters.

Our Expertise

* Legal consultant service and solutions on company joint-stock reform;

* Legal opinions for the initial public offer (IPO) (including A shares, B shares) and listing in Shanghai

or Shenzhen Stock Exchange as the issuer's counsel;

* Legal review on issuing corporate bonds or convertible-bonds for listed

companies and non-listed companies, or issuing enterprise bond for other large enterprises, giving

legal opinions;

* In the over-the-counter market equity financing business (such as the New Third Board), providing legal

advisory services for financiers which become listed companies;

* Providing legal consultant service to issuer and underwriter in the private placement bonds issuing

transaction by micro, small and medium-sized enterprises;

* Providing legal opinions on the initial establishment of securities investment funds (including closed-end

funds and open-end funds), and the specification of the pension fund reform, expansion and renewal;

* Representing the clients as the agent to participate in the litigation arising out of or relating to the

disputes of securities, such as civil compensation, bond repurchase and securities trading;

* Recommending issuers and offer legal review on the securities underwriting as the legal counsel of the

lead underwriter;

* Providing legal witness service for the securities companies on the off-line allotment in IPO.