转债发行合同协议书范本.docx

转债发行合同协议书范本文章正文开始：*中文版本*一、甲方：_证券有限公司（以下简称“甲方”）二、乙方：_有限公司（以下简称“乙方”）鉴于：1.甲方为拟发行“*某某*股份有限公司（以下简称“公司”）可转换公司债券（以下简称“本期债券”）所进行的合规性审核和信贷评级的评估有效期，依照相关法律法规规定经有权批准的决议，本期债券规模不超过人民币*某某*亿元，估计发行规模约为人民币*某某*亿元，发行份数不超过123,456,789份，每份面值约为100元，并确定本期债券的信用级别为*某某*，中诚信国际信用评级有限公司对公司为整体进行的评级不得低于“*某级*”。2.乙方(*某某*)为*某某*证券有限公司（以下简称“*某某*”）的全部关联子公司，被*某某*控股股东*某某*持有，控制关系清晰，为*某某*进行证券承销、再融资等相关业务等大宗证券业务的专门化承办方，具有合法的证券业务经营资格和丰富的承办大宗证券业务的经验。3.甲、乙双方依据中华人民共和国公司法、证券法、公司债券管理办法、关于推动公司证券化发展的意见（修订稿）、证券业务规范性文件等有关规定的规定，为明确双方的权利和义务，有关本期债券的销售承承办业务的相关事宜，通过协商，双方达成如下协议：第一条 业务合作基础1. 乙方在本期债券发行活动中负责作为甲方的投资顾问。甲方依照乙方所提供的相关法律法规、内幕信息、会议交流资料、发行文件和其他所需信息，向相关主管部门报备办理有关程序及审批手续；2. 甲方与乙方全资持有或参股的相关业务存续期间内未发生重大违约或违法事件，未受过任何监管处罚决定，乙方具有持续业务资质且证券业务执业人员证书持续有效；3. 乙方具有丰富的可转债及再融资等相关大宗证券业务实践和业务经验，能够依法合规地提供本期债券发行所需要的法律意见和保荐等专业性意见；4. 双方都应按有关法律法规的要求全面履行自己的职责，保护双方和金融机构的合法权益。第二条 业务合作范围1. 乙方应综合诊断并提出公司可转债发行准备的情况，包括公司的披露信息完整性、公司治理结构、风险控制水平和发行计划等；2. 乙方应协助甲方在发行本期债券时提供相关的法律意见，并对本期债券的发行过程中其他方面提出专业建议，共同促进本期债券的顺利发行；3. 双方应密切协作，及时准确地传递信息，保证信任、合作和友好的工作氛围。第三条 业务合作费用1. 甲方应按照乙方提供的服务付给乙方有关本期债券发行的费用。具体费用支付金额约为人民币*某某*元；2. 乙方应于本协议签署之日起10个工作日内开具受理和缴税的专业服务费发票，并协助甲方会计、财务部门做好后续税务处理。第四条 业务终止1. 本协议一经签署即生效，履行期限是本期债券发行期间。若有需要，本协议可延长至本期债券发行成功后的缴费事项结束之日；2. 业务终止时发行业务的所有相关文件均属于最终结案备案文件的范围，乙方应协助甲方归档整理、终结结案。第五条 其他1. 本协议经甲、乙双方授权代表签字确认后生效，本协议原件一式二份，双方各执一份；2. 本协议未尽事宜，由双方协商解决；3. 本协议一式二份，自双方完全签字之日起生效。*英文版本*Party A: _ Securities Co., Ltd. (hereinafter referred to as Party A)Party B: _ Co., Ltd. (hereinafter referred to as Party B)Whereas:1. Party A is responsible for the compliance review and credit rating assessment of the proposed issuance of convertible corporate bonds (this bond) of *XYZ* Co., Ltd. (hereinafter referred to as the Company), the scale of this bond does not exceed RMB *xyz* billion, with an estimated issuance size of approximately RMB *xyz* billion, and the number of subscriptions does not exceed 123,456,789 shares, with each share having a face value of approximately 100 yuan. The credit rating of this bond is *xyz*, and China Chengxin International Credit Rating Co., Ltd. should rate the company as not lower than at ABC level.2. Party B (*XYZ*) is a wholly-owned subsidiary of *XYZ* Securities Co., Ltd. (hereinafter referred to as *XYZ*), held by *XYZ*s controlling shareholder *XYZ*. The control relationship is clear, and *XYZ* is a specialized handling party for large-scale securities business such as underwriting and refinancing undertaken by *XYZ*. It has a legal qualification to operate in securities and rich experience in handling large-scale securities business.3. According to the relevant provisions of the Company Law of the Peoples Republic of China, the Securities Law, the Regulations on Corporate Bond Management, the Opinions on Promoting the Development of Company Securitization (revised draft), and normative documents on securities business, Party A and Party B have agreed through negotiation to clarify the rights and obligations of both parties and related matters of handling the sales proceeds of this bond.Article 1 Basis of Business Cooperation1. Party B is responsible for serving as an investment advisor to Party A in this bond issuance activity. Party A is responsible for submitting relevant legal regulations, insider information, conference materials, issuance documents, and other necessary information provided by Party B to the relevant authorities for approval and authorization.2. During the existence of related businesses wholly owned or held by Party B, there have been no major defaults or violations of the law, no regulatory penalty decisions have been received, and Party B has a continuous business qualification and the qualifications of securities practitioners of the securities industry personnel certificates are continuously valid.3. Party B has rich practical experience and business experience in convertible bonds and other related large-scale securities businesses such as refinancing, and can provide legal opinions and underwriting professional opinions required for the issuance of this bond in accordance with laws and regulations.4. Both parties shall fulfill their duties in accordance with the requirements of relevant laws and regulations to protect the legitimate rights and interests of both parties and financial institutions.Article 2 Scope of Business Cooperation1. Party B is responsible for diagnosing and reporting the companys convertible bonds issuance preparation, including the completeness of the companys disclosure information, corporate governance structure, risk control level, and issuance plans.2. Party B shall assist Party A in providing legal advice on the issuance of this bond and give professional suggestions on other aspects of the bond issuance process to promote the smooth issuance of this bond.3. Both parties shall cooperate closely, promptly and accurately convey information, and ensure a working atmosphere of trust, cooperation, and friendliness.Article 3 Business Cooperation Fees1. Party A shall pay Party B the fees related to the issuance of this bond according to the services provided by Party B. The specific fee payment amount is approximately RMB *xyz*.2. Party B shall issue a professional service fee invoice for acceptance and payment within 10 working days from the date of signing this agreement and assist Party As accounting and financial departments in subsequent tax handling.Article 4 Termination of Business1. This agreement shall come into effect upon signing and the period of performance is during the period of issuance of this bond. If necessary, this agreement can be extended until the payment matters after the successful issuance of this bond are completed.2. All relevant documents related to the issuance business at the time of business termination belong to the scope of the final case filing documents, and Party B shall assist Party A in filing, organizing, and closing the case.Article 5 Other1. This agreement shall come into effect after being signed and confirmed by the authorized representatives of both Party A and Party B, with two originals, each party holding one.2. Matters not covered in this agreement shall be resolved through consultation between the parties.3. This agreement shall be valid from the date on which both parties sign it in full.