SEC Filing Document

Company: Synergy CHC Corp.
Ticker: SNYR
CIK: 1562733
Filing Type: S-1/A
Document Type: EX-1.1
Date Filed: 2024-08-28
Accession Number: 0001213900-24-073419
Exchange: Nasdaq
SIC Code: 2833
SIC Description: Medicinal Chemicals & Botanical Products
URL: https://www.sec.gov/Archives/edgar/data/1562733/000121390024073419/ea020832406ex1-1_synergy.htm

Chunk 5 of 15
Word Count: 1443
Character Count: 9067

Document Content:

of the Company and its subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the money laundering statutes of all jurisdictions, the rules and regulations thereunder and any related or similar rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity (collectively, the “Money Laundering Laws”); and no action, suit or proceeding by or before any Governmental Entity involving the Company or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the knowledge of the Company, threatened. “Governmental Entity” shall be defined as any arbitrator, court, governmental body, regulatory body, administrative agency or other authority, body or agency (whether foreign or domestic) having jurisdiction over the Company or any of its subsidiaries or any of their respective properties, assets or operations.

(xix) Foreign
Corrupt Practices Act. Neither the Company nor, any of its subsidiaries, or any director or officer of the Company or any subsidiary,
nor, to the knowledge of the Company, any employee, representative, agent, affiliate of the Company or any of its subsidiaries or any
other person acting on behalf of the Company or any of its subsidiaries, is aware of or has taken any action, directly or indirectly,
that would result in a violation by such persons of the Foreign Corrupt Practices Act of 1977, as amended, and the rules and regulations
thereunder (the “FCPA”), including, without limitation, making use of the mails or any means or instrumentality of
interstate commerce corruptly in furtherance of an offer, payment, promise to pay or authorization of the payment of any money, or other
property, gift, promise to give, or authorization of the giving of anything of value to any “foreign official” (as such term
is defined in the FCPA) or any foreign political party or official thereof or any candidate for foreign political office, in contravention
of the FCPA and the Company and, to the knowledge of the Company, its affiliates have conducted their businesses in compliance with the
FCPA and have instituted and maintain policies and procedures designed to ensure, and which are reasonably expected to continue to ensure,
continued compliance therewith.

(xx) OFAC.
Neither the Company nor any of its subsidiaries or any director or officer of the Company or any subsidiary, nor, to the knowledge of
the Company, any employee, representative, agent or affiliate of the Company or any of its subsidiaries or any other person acting on
behalf of the Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets
Control of the U.S. Treasury Department (“OFAC”); and the Company will not directly or indirectly use the proceeds
of the offering of the Shares contemplated hereby, or lend, contribute or otherwise make available such proceeds to any person or entity,
for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC.

(xxi) Insurance.
The Company, on a consolidated basis with each of its subsidiaries carries, or is covered by, insurance in such amounts and covering
such risks as is adequate for the conduct of its business and the value of its properties and as is customary for companies engaged in
similar businesses in similar industries.

(xxii) Books
and Records. The minute books of the Company and each of its subsidiaries have been made available to the Underwriters and counsel
for the Underwriters, and such books (i) contain a complete summary of all meetings and actions of the board of directors (including
each board committee) and stockholders of the Company (or analogous governing bodies and interest holders, as applicable), and each of
its subsidiaries since the time of its respective incorporation or organization through the date of the latest meeting and action, and
(ii) accurately in all material respects reflect all transactions referred to in such minutes.

(xxiii) No
Undisclosed Contracts. There is no Contract or document required by the Securities Act or by the Rules and Regulations to be described
in the Registration Statement, the Time of Sale Disclosure Package or in the Final Prospectus or to be filed as an exhibit to the Registration
Statements which is not so described or filed therein as required; and all descriptions of any such Contracts or documents contained
in the Registration Statement, the Time of Sale Disclosure Package and in the Final Prospectus are accurate and complete descriptions
of such documents in all material respects. Other than as described in the Registration Statement, the Time of Sale Disclosure Package
and the Final Prospectus, no such Contract has been suspended or terminated for convenience or default by the Company or any subsidiary
party thereto or any of the other parties thereto, and neither the Company nor any of its subsidiaries has received notice, and the Company
has no knowledge, of any such pending or threatened suspension or termination, except for suspensions or terminations that are not reasonably
likely to result in a Material Adverse Effect.

(xxiv) No
Undisclosed Relationships. No relationship, direct or indirect, exists between or among the Company or any of its subsidiaries on
the one hand, and the directors, officers, stockholders (or analogous interest holders), customers or suppliers of the Company or any
of its subsidiaries on the other hand, which is required to be described in the Registration Statement, the Time of Sale Disclosure Package
or the Final Prospectus and which is not so described.

(xxv) Insider
Transactions. There are no outstanding loans, advances (except normal advances for business expenses in the ordinary course of business)
or guarantees of indebtedness by the Company or any of its subsidiaries to or for the benefit of any of the officers or directors of
the Company, any of its subsidiaries or any of their respective family members, except as disclosed in the Registration Statement, the
Time of Sale Disclosure Package and the Final Prospectus. All transactions by the Company with office holders or control persons of the
Company have been duly approved by the board of directors of the Company, or duly appointed committees or officers thereof, if and to
the extent required under applicable law.

(xxvi) No
Registration Rights. No person or entity has the right to require registration of Common Shares or other securities of the Company
or any of its subsidiaries within 180 days of the date hereof because of the filing or effectiveness of the Registration Statement or
otherwise, except for persons and entities who have expressly waived such right in writing or who have been given timely and proper written
notice and have failed to exercise such right within the time or times required under the terms and conditions of such right. Except
as described in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, there are no persons with registration
rights or similar rights to have any securities registered by the Company or any of its subsidiaries under the Securities Act.

(xxvii) Continued
Business. No supplier, customer, distributor or sales agent of the Company or any subsidiary has notified the Company or
any subsidiary that it intends to discontinue or decrease the rate of business done with the Company or any subsidiary,
except where such discontinuation or decrease has not resulted in and could not reasonably be expected to result in a Material Adverse
Effect.

(xxviii) No
Finder’s Fee. There are no claims, payments, issuances, arrangements or understandings for services in the nature of a finder’s,
consulting or origination fee with respect to the introduction of the Company to any Underwriter or the sale of the Shares hereunder
or any other arrangements, agreements, understandings, payments or issuances with respect to the Company that may affect the Underwriters’
compensation, as determined by FINRA.

(xxix) No
Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities
or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital
for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person
or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date
on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.

(xxx)
Proceeds. None of the net proceeds of the offering will be paid by the Company to any participating FINRA member or any affiliate
or associate of any participating FINRA member, except as specifically authorized herein.