尽职调查清单_(英文版).doc

Documentation Request List for Legal Due Diligence尽职调查文件清单Instructions指引This Documents Request List (the “Request”) has been prepared for the purpose of conducting legal due diligence on X (the “Company”).Subsidiaries of the Company with an independent legal person status are not included in the Request. If necessary, a separate request for the subsidiary may be provided. Branches, departments, offices and other entities of the Company without an independent legal person status are included in the Request.Documents asked for implies copies of such documents, unless otherwise specified. For each item below, it should be assumed that all documents that satisfy the criteria stated are requested, even though “all” may not be explicitly stated.For each item below, if all relevant documents have been provided, please check the box to the right to indicate that the item of request has been satisfied.If information or materials asked for is: (i) not applicable to the Company, (ii) applicable, but not expected to be available, or (iii) will be provided at a later date, please provide a separate response or explanation as appropriate.If, prior to the closing of the transaction, any event occurs or you obtain any additional facts that have a material effect on the information provided in response to the Request, please inform us immediately.“Official documents” refers to approvals, certificates, licenses, contracts, formal applications, etc.A government authority includes its local or subordinate organs.“Recent” or “recent years” means the past X years, unless otherwise specified.“Material amount” refers to X.“Affiliate” refers to:1) The parent company of the Company;2) The subsidiaries of the Company;3) Other companies under the control of a same parent company of the Company;4) The investors having joint control over the Company;5) The investors having significant influence on the Company;6) The joint ventures of the Company;7) The associated companies of the Company;8) The principal individual investors and the close family members of such individuals. “Principal individual investors” refers to an individual investor who can control or jointly control a company, or has significant influence on a company;9) The key managers of the Company or of its parent company and their close family members. “Key managers” refer to the managers who have the authority and responsibility for planning, directing and controlling the activities of the Company. The close family members of a principal individual investor or of a key manager refer to the family members who may influence, or be influenced by, that individual in dealing with transactions with the Company.10) Other companies which are controlled or jointly controlled by the principal individual investors, or key managers, or the close family members of such individuals, or on which the principal individual investors, or key managers, or the close family members of such individuals have significant influence .本尽职调查文件清单（“清单”）是为对【X】（“公司”）进行法律尽职调查而准备。公司具有独立法人资格的子公司的相关文件并不在本清单之列。如有必要，我们将为子公司准备单独的尽职调查文件清单。对公司不具有独立法人资格的分支机构应提供文件的相关要求已包含于本清单中。除非另有说明，本清单中所要求文件均为复印件。对以下每一项，尽管并非每一项都明确标明提供“所有”文件，但应假设所有满足本清单中所设定标准的文件均应提供。对于以下每一项，如果所有相关文件均已提供，请在右侧方框中打勾表明该项文件已提供完毕。如果所要求提供的信息或资料（i）并不适用于公司，（ii）适用于公司，但在本次调查中不可提供，或（iii）需要稍晚提供，请向我们提供一份单独的回复或做必要说明。如果在交易结束前，发生了任何事件或您获得任何额外的信息，且该等事件或信息会对您根据本清单回复的文件信息产生影响，请立即通知我们。“官方文件”指批准、证书、许可、合同、正式申请等。政府部门包括其地方派出机构或下属机构。“最近”或“近年”指过去【X】年，除非另有说明。“重大数额”指【￥X】。“关联方”指：（一）公司的母公司。（二）公司的子公司。（三）与公司受同一母公司控制的其他企业。（四）对公司实施共同控制的投资方。（五）对公司施加重大影响的投资方。（六）公司的合营企业。（七）公司的联营企业。（八）公司的主要投资者个人及与其关系密切的家庭成员。主要投资者个人，是指能够控制、共同控制一个企业或者对一个企业施加重大影响的个人投资者。（九）公司或其母公司的关键管理人员及与其关系密切的家庭成员。关键管理人员，是指有权力并负责计划、指挥和控制企业活动的人员。与主要投资者个人或关键管理人员关系密切的家庭成员，是指在处理与企业的交易时可能影响该个人或受该个人影响的家庭成员。（十）该企业主要投资者个人、关键管理人员或与其关系密切的家庭成员控制、共同控制或施加重大影响的其他企业。Practitioners Notes/提示This document request list is adapted for privately-owned limited companies in the PRC. However, appropriate revisions should be made for each target company.本尽职调查文件清单适用于中国的私营有限责任公司。但是，针对每一个目标公司进行调查时应当对清单做出适当的调整。For example, it should not be used without substantial revisions for state-owned companies, agricultural enterprises, listed companies or companies that issue securities.如，本清单在未进行必要改动之前不应适用于国有企业、农业生产企业、上市公司或发行其他证券产品的公司。PLEASE PROVIDE THE FOLLOWING:请提供下列文件1 Basic Information1 基本信息Provided/已提供Practitioners Notes/提示Give an introduction to the Company.公司介绍1.1 Current business license, showing latest annual inspection1.1 最新的营业执照（正副本），显示最近一次的年检记录信息1.2 If the Company is part of a group, the shareholding structure of such group in a chart showing all important relationships and connections between the group companies (including holding of shares in trust), as well as each companys country of incorporation1.2 如果公司为集团的一部分，集团的股权结构图，说明集团组成公司之间的重要关系（包括信托持股关系），以及每个公司的成立地1.3 Internal organization chart and other information showing departments and authority of officers1.3 内部组织结构图以及其他信息，说明公司内部部门组成以及部门主管的权力和职责1.4 A list of cities and countries where the Companys assets (tangible and intangible) and employees are located1.4 公司资产（有形和无形）以及员工所在城市和国家列表1.5 List of current directors, supervisors and senior officers of the Company and their letters of appointment1.5 公司目前的董事、监事以及高级管理人员名单以及其任命函1.6 Authorizations given by the board or by directors to specially-appointed agents to deal with some particular matter1.6 董事会或董事授权特别指定代理人处理某项特殊事务的授权书1.7 Reports recently prepared by the Company regarding business and important matters facing the Company1.7 公司最近有关业务及重要事项的报告2 Historical Changes2 历史变更Provided/已提供Practitioners Notes/提示Show that the Company was duly established and lawfully exists.表明公司依法成立并合法存续。Highlight major historical changes to the Company.突出公司的重要历史变更。2.1 Prior to the establishment of the Company:2.1 公司成立以前：(1) resolutions & minutes of meeting of promoters(1) 发起人会议的决议和会议记录(2) agreements entered into by the promoters(2) 发起人之间达成的协议2.2 At the Companys establishment or during major change to the Company:2.2 公司成立期间或公司进行重大变更期间：(1) feasibility study reports, project proposals and other applications submitted to government authorities for the purpose of approving the intended business activities of the Company(1) 为取得公司拟开办业务有关批准而提交予政府部门的可行性研究报告、项目建议书或其他申请文件(2) official documents from or to government authorities relating to the above, including if applicable approvals from government regulators for certain industries or classes of companies (such as approval from MIIT for telecommunications companies, or for a project encouraged by the state, a certificate to that effect)(2) 与上述有关的政府部门复函或给政府部门的函件，包括相关行业主管部门或相应级别的主管部门的批准（如工业和信息化部对电讯公司的批准，或国家对鼓励项目的批准等等）(3) SASAC approval if state-owned assets are involved(3) 如涉及国有资产，国有资产监督管理部门的批准文件2.3 Since the establishment of the Company until the present2.3 公司自成立至今(1) business licenses, including any amendments and showing all annual inspection passed(1) 营业执照，包括变更的营业执照和所有年检纪录(2) amendments to information registered with AIC(2) 工商局的变更登记证明(3) AOA, including any amendments(3) 章程，包括所有章程修正案(4) JV contracts (if applicable), including any amendments(4) 合资合同（如适用），包括任何合资合同的修订或补充(5) capital verification reports; asset appraisal reports for in-kind contributions (5) 验资报告；以非现金出资的资产评估报告(6) MOFCOM approvals for FIE establishment, including any amendments and showing all annual inspection passed(6) 商务部门批准外商投资企业成立的批准，包括任何变更或年检记录(7) organizational code certificates, including any amendments and showing all annual inspection passed(7) 组织机构代码证，包括任何变更和年检记录2.4 For all changes to the AIC registered information (such as amendment of AOA, amendment of JV contracts, increase of capital, change of directors, change of business scope, acquisition, merger, divestiture, restructuring, etc.)2.4 工商变更登记信息（如章程修改、合资合同修改，增资，变更董事、经营范围变更、收购、吸收、合并、分立、重组等等）(1) shareholder and board resolutions of the Company(1) 公司股东会及董事会决议(2) contracts relating to such change or transaction(2) 该等变更或交易的相关合同(3) shareholder and board resolutions of other parties to such transaction(3) 交易相对方的股东会决议和董事会决议3 Shareholders3 股东Provided/已提供Practitioners Notes/提示Allow a potential investor to assess other shareholders and their potential impact on the value or activities of the Company.使潜在投资者能够对其他股东情况以及他们可能对公司的价值或行动造成的影响进行评估。3.1 General information regarding the shareholders (including whether any are state-owned enterprises or FIE) and historical dealings / interactions among them3.1 股东的基本信息（包括是否国有企业或中外投资企业）以及股东之间的关系3.2 Business license or personal identification card of shareholders3.2 营业执照或个人身份证明3.3 Any agreements among some or all shareholders regarding the Company3.3 部分或全部股东关于公司的任何合同、协议4 Financing4 融资Provided/已提供Practitioners Notes/提示Provide information on the extent of the Companys debt obligations (including guarantees of debts).提供有关公司的债务信息（包括所提供的担保）。Assess whether such debts are in compliance with the law, such as foreign exchange laws.评估该等债务是否合法，比如是否符合有关外汇管理的法律。Discover anything that may cause default on the debts.发现有可能造成债务履行违约的其他情况。4.1 SAFE official documents, such as foreign exchange registration certificate, foreign debt registration certificate and foreign debt repayment approvals, including any amendments and showing all annual inspection passed4.1 外汇管理部门文件，如外汇登记证，外债登记证和外债偿还核准，包括任何变更和年检记录4.2 MOF official documents, such as the financial registration certificate, including any amendments and showing all annual inspection passed4.2 财政部门文件，如财政登记证，包括任何变更和年检记录4.3 Contracts relating to all debt, financing or guarantees, including those relating to security interests (mortgages, pledges, liens, etc.) and credit facilities 4.3 所有与借款、融资或保证有关的合同，包括与担保权益有关的合同（抵押、质押、留置等）和信用贷款合同4.4 Information and documents relating to the performance of the above contracts, including:4.4 有关前述合同履行情况的信息和文件，包括：(1) whether all reporting and registration requirements have been complied with(1) 是否全部报告及登记要求均已得到遵守(2) whether all material covenants including financial covenants/ratios have been complied with(2) 是否全部重大承诺包括财务承诺/比率均已得到遵守(3) whether any event of default has occurred(3) 是否发生任何违约行为(4) whether any notice or demand has been served on the Company in relation to default or non-compliance with any of the provisions of loan or security documentation(4) 与违反或未遵守贷款或担保文件的任何规定相关的任何通知或要求是否已送达公司(5) any further action taken by lenders to enforce any security interests (e.g. appointment of receivers, commencement of winding up proceedings etc.)(5) 贷款人为强制执行任何担保权益采取的任何进一步行动（如指定接管人、开始清算程序等）4.5 Receipts or documents from the bank showing payments made on debt4.5 银行关于收到还款的收据或其他文件4.6 Information and documents relating to bank accounts (of all types) of the Company4.6 银行账户（所有类型）的信息和文件4.7 Information and documents relating to other financial arrangement other than banking loan with the Company, including cash advances, financial lease, deferred payment arrangements, sale and leaseback, swaps, hedges and similar risk management arrangements, debentures, bonds, notes or similar debt instrument issued by the Company4.7 除银行贷款以外公司的其他融资安排的相关信息和文件，包括现金预付款、融资租赁、延期付款安排、售后回租、掉期交易、套头交易及类似的风险管理安排、公司发行的债券、公债、票据或类似债务文件4.8 Potential factors that may cause the Company to default on its debts or other payables4.8 可能导致公司违反还款义务和偿还其他应付款义务的潜在因素4.9 Audited annual financial reports for recent years, semi-annual reports and quarterly financial reports for year-to-date4.9 近三年度的年度审计报告、半年度报告和季度报告4.10 Current and future financial plans and budgets4.10 目前和将来的融资计划和预算5 Investments, Loans and Security Interests5 投资、贷款和担保权益Provided/已提供Practitioners Notes/提示Provide information on the equity and debt relationships between the Company and its affiliates.提供有关公司与其关联方之间的股权及债权关系信息。Assess whether such investments, loans and security interests are in compliance with the law.评估该等投资、贷款和担保权益是否合法。Assess the value and risk of such investments, loans and security interests.评估该等投资、贷款和担保权益的价值和风险。5.1 Information on shares of other companies owned by the Company, including:5.1 公司拥有的其他公司股权的信息，包括(1) share certificates(1) 股权证(2) AIC registration of the subsidiary showing the Company as a shareholder(2) 证明公司是该等公司股东的工商登记证明(3) contracts entered into in relation to the purchase or establishment of such companies, such as share purchase agreement or JV contract(3) 购买或成立该等公司的相关合同，如股权转让协议或合资合同(4) shareholder and board resolutions relating to the purchase or establishment of such companies(4) 与购买或成立该等公司有关的股东会或董事会决议(5) documents indicating any pledge on the shares(5) 股权质押的文件(6) if any government approval is required for the Company to hold such shares (such as an offshore investment), the relevant approval(6) 政府部门关于公司拥有该等公司股权的批准文件（如境外投资）5.2 Information on debts owing to the Company (directly or indirectly), including:5.2 他人欠付公司债务（直接或间接）的相关信息，包括：(1) contracts with the Company as the lender, including those relating to mortgages and security interests(1) 公司作为出借人的合同，包括与抵押和其他担保权益有关的合同(2) shareholder and board resolutions relating to provision of such loans(2) 股东会或董事会关于批准该等借款的决议(3) receipts or documents from the bank showing payments made on such loans(3) 银行出具的关于偿还该等贷款的收据或文件(4) anything that may indicate the debt is difficult to collect(4) 任何显示债务难以收回的文件或信息(5) contracts relating to a security interest in favor of a third party on debt owing to the Company(5) 公司为出借人，而担保权益受益人为第三方的相关合同5.3 Information on security interests owned by the Company (e.g. mortgages, pledges, liens, etc.), including:5.3 公司享有的担保权益信息（如抵押、质押、留置等）(1) contracts(1) 合同(2) registration documents from government authorities(2) 政府部门的登记文件(3) documents indicating the seniority of such security interests(3) 显示担保权益优先顺序的文件(4) information on the value of the underlying collateral(4) 押品价值的信息6 Tax6 税务Provided/已提供Practitioners Notes/提示Assess whether the Company has any outstanding tax obligations.评估公司是否存在任何未履行的赋税义务。Assess whether the Company is in compliance with tax regulations.评估公司是否按照相关税法的规定行事。6.1 Official documents from or to the state tax authority, local tax authority and customs of recent years, including:6.1 近三年的国家税务局、地方税务局或海关的文件，以及公司向该等部门发出的函件，包括：(1) state and local tax registration certificate, including any amendments and showing all annual inspection passed(1) 国家和地方税务登记证，包括任何变更和年检记录(2) tax filings provided to and payment verification issued by all tax authorities, including for income tax, value-added tax, business tax, etc.(2) 纳税申报表以及税务部门出具的纳税证明，包括所得税，增值税，营业税等(3) approval letters regarding exemptions, preferential treatment, tax holidays, etc.(3) 关于税收豁免、税收优惠、免税期等的政府文件(4) those relating to expected, ongoing or recent audits, investigations or duty disputes (include any statements from the Company)(4) 与预期的、正在进行的和近三年的税务审计、调查或税收争议的文件（包括公司的任何陈述）(5) levy and exemption certificate for import / export(5) 进出口货物征免税证明6.2 A statement of taxes currently payable and its calculation6.2 最近的应付税款或其计算方法的说明7 Employment7 雇员Provided/已提供Practitioners Notes/提示Give information on the Companys human resources system.提供有关公司人力资源系统的信息。Assess the risk of non-compliance with employment, immigration or social insurance laws.评估公司是否存在未符合相关劳动法、移民法或社会保险法的风险。7.1 Information regarding the human resources of the Company7.1 公司人力资源的信息(1) total number of personnel in each department or grade (management, labor, etc.)(1) 各部门各级别的人员总数（包括管理层、员工等）(2) employees handbook and other internal rules & regulations, including a description of how they are formulated, revised and publicized(2) 员工手册和其他内部规章制度，包括对这些规章制度是如何制定、修改和发布的描述(3) overtime policy, including whether the Company arranges for alternative rest periods or for overtime payment and whether such policy is adhered to(3) 加班政策，包括公司是否安排补休或支付加班费以及这些政策是否得到遵守(4) actual numbers of overtime hours worked by each employee(4) 每个员工的实际加班时间(5) stock options for employees and other benefits(5) 员工股票期权计划和其他福利7.2 Relevant contracts, such as:7.2 相关合同，如：(1) Employment contracts and contracts for training, confidentiality, non-disclosure and non-competition between the Company and senior management and key technical personnel(1) 高级管理人员和关键技术人员的劳动合同培训合同、保密协议、非竞争协议(2) Employment form contract(s) used by the Company, including full-time, part-time and foreign employees(2) 公司采用的劳动合同范本，包括全职、兼职和聘用外劳的合同(3) Form contracts for training, confidentiality, non-disclosure and non-competition(3) 培训合同、保密协议、非竞争协议范本(4) Form contracts with independent contractors, such as interns and retirees(4) 劳务合同范本，如实习生和退休人员(5) Labor dispatch agreement and service outsourcing agreement(5) 劳务派遣协议及劳务外包协议7.3 Work permits and residence permits for foreign employees7.3 外籍员工的工作许可证和居留证7.4 Documents relating to social insurance and housing fund compliance:7.4 社会保险文件和住房公积金文件(1) social insurance registration certificate and housing fund account establishment certificate(1) 社会保险登记证和住房公积金开户证明(2) proof that the Company has fully paid social insurance and housing fund for all its employees(2) 公司已为其全部员工足额缴付社会保险费和住房公积金的证明(3) proof of payment for unions and workplace health compensation(3) 支付工会费和职业健康补偿的证明7.5 Proof of employees income tax withholding during the last 3 months7.5 最近三个月代扣员工个人所得税的证明7.6 Information and documents relating to labor unions that the Companys workers belong to7.6 公司员工所属工会的信息和文件7.7 Information and documents relating to any potential, ongoing or recent employment / labor disputes7.7 任何潜在、正在进行