尽职调查所需资料目录(中英对照)

1、尽职调查所需资料日录（LJ英对照）Table of Contents for Due DiligenceA公司法定成立文件(Incorporation Documents of the Company)1公司历史背景的解释（包括任何股东变更、资产抛售、公司分立等）Explanation on the historical background of the Company (including e.g. whetherthere were any change of shareholders, major disposal of assets or spin-oft thecompany)2公

2、刊设立的完整文件，包括可行性报告、向审批机构递交的中请、审批机构的批复、行业主管部门的前置审批许可、项日核准以及其他政府机构出具的批准或鸶记文件Complete set of incorporation documents of the Company, including feasibility studyreport, applications submitted to and official replies from the relevant examination andapproval authorities, preliminary examination and approva

3、l from competent authorityfor relevant industry, project approval and approvals or registration certificates issuedby other governmental authorities3。政府机构就外商投资鼓励类项日出具的确认书（如有）Confirmation letter issued by governmental authorities for encouragedforeign-invested project(if any)4股东协议（或合资合同）及其修改文件Shareho

4、lder's agreement (or joint venture contract), including any amendment.5章程、其修改文件及相关的董事会和或股东会决议Articles of association including any amendment, and relevant resolutions passed bythe board of directors and/or shareholdrs' meeting of the Company6。原审批构就股东协议（或合资合同）、章程、营业执照及其他批准证书的修改或变更所出具的批复以及相关髓记

5、文件Approvals of any amendment or modification to shareholdr's agreement (or jointventure contract), articles of association, business license and other approvalcertificates from the original examination and approval authorities, together withregistration certificates relevant thereto7最新的营业执照及年检证明

6、Most recent business license together with all annual inspection certificates8除营业执照外，经营日前公司业务所需的所有有效的许可证书或批准文件及年榆证明Apart from the business license, all valid permits, approvals required for th operationof Company's current business and all relevant annual inspection certificates9所有注册脊记文件，包括外i1：畿

7、记证、外贸经营权证明、海关畿记证明、税务畿记证明、财政登记证明、组织机构登记证明、统计登记证明等All registration certificates, including foreign exchange registration certificate, foreigntrade right registration certificate, customs registration certificate, tax registrationcertificate, financial registration certificate, organization identity co

8、de certificate,statistics registration certificate, etc.10.公司注册地址的细节，如果注册地址与其主要经营场所不同，则还应提供主要经营场所的细节Details of the Company's registered address, if different from the principal place ofbusiness, please also provide details of the principal place of businessB。公司资本结构( Capital Structure)1会计师事务所就股东出

9、资情况出具的验资报告Capital verification reports issued by an accounting firm regarding the capitacontribution of the Shareholders2资产评估机构就股东实物投资出具的评估报告，以及国有资产管理部门对评估报告的确认义件（如适用）Asset valuation reports on shareholders' capital contribution in kind issued by acompetent asset valuation institution, and ratif

10、ication thereof issued by thestate-owned assets administration authorities(if applicable)3公司结构变动（如增资、股权转让、合并、分立等）的完整文件，包括相关合同、董事会决议、股东会决议、向审批机构递交的中请及审批机构的回复等Complete set of documents for any change of the Company's structure (e.g. capitalincrease, equity transfer, merger, division or split, etc.

11、), including all relevant contracts,board resolutions, resolutions of shareholders' meeting, applications submitted to andapprovals obtained from the relevant examination and approval authorities for suchchange, etc.4。会股东转让公司股权的有关转让协议、向其他股东发出的转让通知、其他股东的同意书Agreement relating to any previous trans

12、fer of equity interest in the Company, transfernotices issued to the remaining shareholders by the transferring shareholder, and theremaining shareholders' consent letter on the transfer5。股东名册及公司向股东出具的出资证明书The Company's register of shareholders and capital contribution certificates issued to

13、the shareholders by the Company6公司股东信息，包括其名称、地址、联系方式（电话及传真）及持股比例Information of all shareholders of the Company, including their full names, addresses,contacts (telephone and fax number) and their respective shareholding ratio in theCompany7公司控制实体（或实际控制人）的名称、营业执照或其他注册登记文件（或身份证明义件）Name, business licen

14、se or other registration certificates (or identity certificate) of thecontrolling entity (or actual controller) of the Company8公司与股东或控制实体（或实际控制人）在过去两年中签订的全部协议及其他相关文件All agreements entered into between the Company and shareholders or thecontrolling entitr (or the actual controller) over the last two

15、years, and otherdocuments relevant thereto9。公司建立的任何分公司、办事处或其他经济组织的清单、注册文件及主管经理人员的名称与完整的地址Lists and registration documents of any branch, liaison office, or other businessorganization established by the Company, including full names and completeaddresses of the managers in charge thereof10.公司与其子公司签订的

16、全部协议（如管理合同、控制协议、利润及损失转移协议等）及其他相关义件All agreements between the Company and its subsidiaries (e.g. management contract,control agreement, profit and loss transfer agreement, etc.) and other documentsrelevant thereto11.关于同公司或其子公司有关的兼并、合并、雨组或贫立的合同或意向声明Contracts, statements of intent regarding merger, con

17、solidation, restructuring ordivision relating to the Company or any of its subsidiaries12.公司持有股权的实体的清单及各实体的营业执照、公司在各实体中的持股比例的说明及证明持股比例的文件（如验资报告或工商畿汜文件）、与公司股权投资相关的政府批准或登记文件A list of entities in which the Company has an equity interest, business licenses ofsuch entities, explanations and documents (e.

18、g. capital verification reports orregistration certificates files with the competent Administration for Industry andCommerceC公司管理及内部控制(Management and Control of the Company)1所有经理、董事、监事的清单、任命书及相关信息，包括姓名、住址、职位、任期和其同公刮交易的细节Lists of all managers, directors and supervisors, their appointment letters and

19、otherrelevant information including their full names, addresses, positions, duration ofappointment and details of transactions with the Company2过去两年中股东、管理层、董事会、监事会的决议和会议记录（列明出席人士）Resolutions and minutes of shareholders' meetings, management meetings, boardmeetings and supervisory board meetings

20、(citing persons present) during the past twoyears3特别授权委托书的持有人、全权授权委托书的持有人、般代理人的清单，以及所有相关授权委托书Lists of holders of special power of attorney and unlimited power of attorney, lists ofgeneral agents, and power of attorney relevant thereto4顾问人士的清单，包括在过去两年中雇请的律师、财务顾问、税务顾问、商业顾问A list of consultants, includ

21、ing legal advisors, financial advisors, tax advisors andbusiness consultants engaged over the last two yearsD资产(Assets)1小动产资产( Real Properties)1.1公司拥有所有权的小动产(Real Properties Owned by the Company)a)所有公司土地和房屋的清单及细节Lists and details of allland and premises owned by the Companyb)土地使用权证Land use right cer

22、tificatesc)房屋所有权证Premise ownership certificatesd)士地使用权出让或转让合同和已支付土地出让金和土地使用费的证明Land use right grant or transfer contracts, and documents evidencing th payment ofassignment fee and land use feee)其他为土地使用权与政府或任何第三方达成的协议或相关政府批复，如与规划、租赁、征用、补偿、补贴等相关的文件Other agreement entered into by the Company with relev

23、ant government or any thirdparty for the purpose of obtaining the land use right and relevant approvals fromgovernment authorities, such as documents relating to allocation, leasing,confiscation, compensation, subsidy, etc.f)通过招标、拍卖、挂牌等方式获得土地的相关文件Relevant documents on obtaining the land by means of

24、invitation to bid, auction,public bidding and so ong)相关土地和建设工程的批准文件（包括但小限于：建设用地规划正、建设工程规划许可证、建设工程施工许可证）及竣工验收证明Relevant approvals on lands and construction projects (including but not limited to:land planning permits, planning permits for construction project, execution permit),and inspection and acc

25、eptance on completion certificateh)土地“红线图”与“四全”描述Red Line Map' of the land and description of 'Four Boundaries'i)土地公司在建工程、土地、房屋等不动产抵押或其他权利负担的相关合同及登庀描述Relevant contracts of mortgage and other encumbrances on such real properties asthe project under construction, land, promises, etc. and a

26、ny proof of registrationthereofj)不动产被查封、冻结的相关文件Relevant documents regarding the seal up and freeze status of the real propertyk)向他人出租公司小动产的租赁合同及租赁登记证Agreements on leasing the Company's real properties to the other party, and relevantlease registration certificatesI)其他人对公司4i动产的权益的说明（如有）Specificat

27、ion of other parties' interests in the Company's real properties(if any)m)建设合同及未迟延支付相关款项的确认Construction contracts, and confirmation as to the timely payment of relevant amountn)虏屋转让或销售合同Premises transfer contracts or sales contracts1.2公司租赁的小动产(Real Properties Leased to the Company)a)所有租用的土地和

28、房屋的清单及细节Lists and details of allland and premises leased to the Companyb1租赁、预租合同Lease contracts and pre-lease contractsc)租赁髓记证Lease registration certificatesd)租用房产的土地使用权证Land use right certificate of the real property under leasee1租用房产的房屋所有权证Premise ownership certificate of the real property under l

29、easef)公司租赁的小动产的抵押、冻结等情况Information in respect of status as mortgage, freeze, etc. on the real property leasedto the Company1.3其他彳i动产( Other Real Properties)a)公司所使用或占有的其他彳i动产的清单及细节（包括公刊对此等小动产上的权益及使用细节）以及相关的产权文件、规划许可、施工许可、租赁协议、占用许可及其相关文件Lists and details of other real properties used or occupied by th

30、e Company (includingdetails of the Company's interests in any such real property and status of the use ofsuch real property), and relevant title documents, planning permits, constructionpermits, lease agreements, occupation permits and other documents relevant theretob)公司享有其权益但未山其使用或占有的任何彳i动产的清单

31、及细节，包括对于此等彳i动产的用途及其占有人的说明Lists and details of any real properties, in which the Company has an interest, but isnot used or occupied by the Company, including a representation on the usage andthe occupier of such real property2。动产资产( Movable Assets)2.1公刊所有动产的清单（包括机器设备、车船及价值在人民币三千元以上的办公设备）及标明所有权关系的文件（

32、如有），包括合同、发票和报关单据Lists of all movable assets of the Company (including machinery, equipment, vehiclesand any office equipment with a value of more than CNY3,000), and relevant titledocuments(if any), including contracts, invoices, and customs declaration documents2.2公司租用（包括融资租赁）或jF在使用的他人的动产的清单及细节List

33、s and details of movable assets of other parties, which are leased to (includingby financing lease) or used by the Company2.3证在使用的计算机软件的清单及购买和或受许可使用上述软件A list of all computer software being used, and relevant documents evidencing thepurchase by and/or license to the Company of such software2.4公司其他资产

34、的清单，如存货（包括原材料、半成品和成品）A list of other assets of the Company, such as the inventory (including raw material,semi-finished products and finished products)2.5动产的质押、抵押、留置或其他权利负担的情况及相关文件Information of pledge, mortgage, lien and other encumbrances over movable assets,together with relevant documents2.6在海关监

35、管期内的资产清单及日前的使周状况A list of assets under the supervision and control of the customs authorities,accompanied by details of current status of use of such assets2.7动产被查封、冻结等状况Seal up, freeze status over the movable assets2.8向他人出租的动产的清单及相关合同或其他文件A list of movable assets leased to others, accompanied by re

36、levant contracts3公司债权(Debts owed to the Company)3.1未在账册内反应的公司拥有的债权情况，包括现任和前任公司董事、经理、股东所欠钱款，并附欠期超过三个月的所有债务人的清单Details of all debts owed to the Company not having been disclosed in the accounts,including any debt of any current or former director, manager or shareholder of theCompany owed to the Compa

37、ny, accompanied by a list of all debtors who has anoverdue debt for more than three months3.2未在账册内反映但按照中国会计准则应记录的公刊坏账的具体内容Details of any bad debts not having been disclosed in the accounts, which howevershall be recorded in accordance with PRC Accounting Policies3.3金司就其债权获得的任何担保、履约保证或其他类似文件Any secur

38、ity, performance guarantee or other similar arrangement for securing thedebts owed by the Company4其他( Miscellaneous)4.1国有资产髓记证、评估报告、资产评估备案表以及国有资产转让完成的证明文件（如交割单）State-owned assets registration certificates, valuation reports, assets valuation filingform and documents evidencing the completion of tran

39、sfer of state-owned assets (e.g.transaction closing receipt)4.2任何对外投资的相关文件，如委托理蚶、信托、股票、债券、金融衍生工具等投资Any documents regarding external investment, such as authorized wealthmanagement, trust, stock, bond, financial derivative instrument and other investmentE负债(lndebtedness)1未在账册中反映的所有公司所欠债务（包括集团内债务）的细节，

40、包括对公司任何董事、经理或股东的欠款Details of all debts owed by the Company (including inter-group debts) not havingbeen disclosed in the accounts, including any indebtedness owed to any director,manager or shareholder of the Company2通过非正常商业途径有公司成员所造成或协定的负债的细节Details of any debt caused or agreed by any member of the

41、 Company, which isotherwise the in the ordinary course of business3公司开设账户的所有的银行名称和账号（国内和国外）Names of all banks (domestic and overseas) at which the Company has an account,and alist of all relevant account numbers4同银行或其他机构商定的关于公刊的所有融资安排的细节，包括所有银行贷款、透支和公司可用的其他信用额度，及任何担保条款的细节，请特别提供以下文件：Details of all fi

42、nancing arrangements agreed by the Company with banks or otherinstitutions, including all bank loans, overdrafts and other credit facilities available tothe Company, together with details of any security terms. Please provide the followingdocuments in particular:4.1育担保抵押或无担保抵押的人民币贷款文件Documentation f

43、or CNY loans with or without a guarantee/ mortgage4.2有担保抵押或无担保抵押的外i1：贷款文件Documentation for foreign currency loans with or without a guarantee/ mortgage4.3国家外i1：管理局及其他政府部门签发的对于每一项贷款的批准义件及静记证明Approval and relevant registration certificates for each loan issued by the StateAdministration of Foreign Exc

44、hange and other government authorities4.4其他信用安排文件（例如授信合同）Other credit arrangement documents (e.g. Credit Contract)4.5内部融资集团贷款文件Internal financing/group loan documents4.6偾券或其他类似安排的文件Bonds or other documents with similar arrangement4.7任何其他贷款或商业信用文件Any other loan documents or trade credit documents4.8按

45、照贷款凭证管理规定签发的贷款凭证Loan Certificate issued subject to loan certificate administration rules4.9银行保函、进出口押i1：合同及与银行签订的类似合同Bank's letter of guarantee, inward/outward documentary credit bills, and other similarcontracts entered into with banks4.10与银行或其他金融机构的任何信用销售安排Any sales agreement with special credi

46、t support executed with banks or financiainstitutions5对公刊有重大影响的票据等短期融资Shorl-term financing such as negotiable instruments, which have a significant impacton the Company6除了第4段提及的银行信用外，向公司给予了超过或达到人民币一万元的贷款或信用便利的债权人的清单，注明还款条件和期间（包括欠款金额、利率、还款l I期）并附所有贷款协议、欠款凭证或其他创设此等负债的文件Other than the bank's credit

47、 stated in article 4 above,a list of creditors who providethe Company with a loan or credit with an amount of over CNY10,000, indicating theconditions and term of repayment (including outstanding amount, interest rate andrepayment date), accompanied by all loan agreements, evidence documents of such

48、debt or other documents creating such debt7。对于向公刊提供的任何信贷安排，请提供以下内容：Please provide following documents relating to any loan facitility made available to theCompany:7.1确认未发生与此等信贷相关的违约Confirmation that there is no default relating to such facilities7.2所有与签订所有贷款和其他安排协议有关所必须的同意和批准All approvals and permit

49、s necessary for the execution and performance of all loanfacility agreements7.3所有此等信贷安排协议下所未偿付的本金金额，其下的预估应付利息，及还款II期列表Total outstanding principal amount under such loan facility agreement, the predictedamount of payable interests, and a schedule of repayment8。公刊为自身或第三方债务向债权人提供的所有担保、履约保证或公到的其他或有负债的细节

50、及相关文件Details of all securities or performance guarantees that the Company made to thecreditors for its own debt of any third party or all contingent liabilities of the Company,together with the relevant documents9他人为公刊所负的债务向债权人提供的所有担保、履约保证或其他类似安排的细节及相关文件Details of all securities, performance guarant

51、ees or other similar documents grantedby third parties to creditors for the debt of the Company, together with the relevantDocumentsF账册(Accounts)1公刊审计师的名称和地址，公刊及其子公刊最近两个财务年度的的审计报告、财务报表及相关董事会决议或报告Names and addresses of the Company's auditors, audit reports and financialstatements of the Company a

52、nd its subsidiaries together with the relevant resolutionsor reports of the Board of Directors during the last two fiscal yearsG同关联方的交易(Transactions with Affiliates)1公刊与关联方签订的合同Contracts entered into by the Company with its affiliates2公刊向关联方提供的，或关联方向公司提供的贷款或担保细节Details of any loan provided or any se

53、curity granted by the Company to its affiliates orvice versa3公刊与关联方在过去两年中的所有资产或小动产转让的细节Details of all assets or real properties transferred within the last two years betweenthe Company and its affiliates(茌本G部分中，“关联方”应包括但小限于：(a)持有公刊5%以上股权的实体或个人；(b)与公司受共同母公司控制的实体；(C)公司的实际控制人；(d)公司的董事与高级管理人员：(e)上述人士担任职

54、务或持有股权的公司；以及(f)上述人士的配偶、父母、兄弟或子女）(Under this article G, 'Aftiliates' shall include but not limited to: (a) an entity or personholding more than 5% of the total equity interest of the Company; (b) an entity underthe control of the same parent company as that of the Company; (c) an actualcontro

55、ller of the Company; (d)directors and senior management personnel of theCompany; (e)a company in which the said personnel holds a position or has anequity interest; and(f)any spouse, parent, brother or child of the said persons)H，代理协议(Agency Agreements)1公刊签订的所有代理协议，无论公司作为委托人或代理人All agency agreements

56、 executed by the Company, whether the Company as aprincipal or an agent2.-份标明所有代理协议失效II期，注明公司有权选择续展的协议或管理层认为1i应当续展的协议的清单A list specifying the expiry date of all agency agreements, indicating the agreementsthat the Company has the right, at its own discretion, to renew or the agreements thatthe manag

57、ement department of the Company deems inappropriate to renew3公司同其任何委托人根据代理协议产生的未解决纠纷的细节Details of any unsettled dispute arising from or in relation to the agency agreementsexecuted between the Company and any of its principals4任何山委托人发出的表明其终止代理协议或变更任何此等代理协议条款的通知或意向，任何委托人对公司控股发生变化后可能产生的反应的描述Details of any notice or intention issued by the principal to terminate the agencyagreements or var3r the terms of any of these agency agreements.A statementshowing the conceivable reaction of any principal to achange of co