尽调清单中英文

1、-. z. . .可修编. .-. z.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 * (the pany).Subsidiaries of the pany with an independent legal person status are not included

2、in the Request. If necessary, a separate request for the subsidiary may be provided. Branches, departments, offices and other entities of the pany without an independent legal person status are included in the Request.Documents asked for implies copies of such documents, unless otherwise specified.

3、For each item below, it should be assumed that all documents that satisfy the criteria stated are requested, even though all may not be e*plicitly stated.For each item below, if all relevant documents have been provided, please check the bo* to the right to indicate that the item of request has been

4、 satisfied.If information or materials asked for is: (i) not applicable to the pany, (ii) applicable, but not e*pected to be available, or (iii) will be provided at a later date, please provide a separate response or e*planation as appropriate.If, prior to the closing of the transaction, any event o

5、ccurs 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 s

6、ubordinate organs.Recent or recent years means the past * years, unless otherwise specified.Material amount refers to *.Affiliate refers to:The parent pany of the pany;The subsidiaries of the pany;Other panies under the control of a same parent pany of the pany;The investors having joint control ove

7、r the pany;The investors having significant influence on the pany;The joint ventures of the pany;The associated panies of the pany;The principal individual investors and the close family members of such individuals. Principal individual investors refers to an individual investor who can control or j

8、ointly control a pany, or has significant influence on a pany;The key managers of the pany or of its parent pany 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 pany. The close

9、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 pany.Other panies which are controlled or jointly controlled by the principal individual investors, or key m

10、anagers, 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【*】公司进展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

11、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说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。如果在交易完毕前，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

12、括其地方派出机构或下属机构。最近或近年指过去【*】年，除非另有说明。重大数额指【￥*】。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，是指有权力并负责方案、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

13、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 panies in the PRC. However, appropriate revisions should be made for each target pany.本尽职调查文件清单适用于中国的私营*公司。但是，针对每一个目标公司进展调查时应当对清单做出适当的调整。For e*ample

14、, it should not be used without substantial revisions for state-owned panies, agricultural enterprises, listed panies or panies that issue securities.如，本清单在未进展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:请提供以下文件Basic Information根本信息Provided/已提供Practitioners Notes/提示Give an in

15、troduction to the pany.公司介绍Current business license, showing latest annual inspection最新的营业执照正副本，显示最近一次的年检记录信息If the pany is part of a group, the shareholding structure of such group in a chart showing all important relationships and connections between the group panies (including holding of shares i

16、n trust), as well as each panys country of incorporation如果公司为集团的一局部，集团的股权构造图，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Internal organization chart and other information showing departments and authority of officers内部组织构造图以及其他信息，说明公司内部部门组成以及部门主管的权力和职责A list of cities and countries where the panys assets (tan

17、gible and intangible) and employees are located公司资产有形和无形以及员工所在城市和国家列表List of current directors, supervisors and senior officers of the pany and their letters of appointment公司目前的董事、监事以及高级管理人员以及其任命函Authorizations given by the board or by directors to specially-appointed agents to deal with some partic

18、ular matter董事会或董事授权特别指定代理人处理*项特殊事务的授权书Reports recently prepared by the pany regarding business and important matters facing the pany公司最近有关业务及重要事项的报告Historical Changes历史变更Provided/已提供Practitioners Notes/提示Show that the pany was duly established and lawfully e*ists.说明公司依法成立并合法存续。Highlight major histor

19、ical changes to the pany.突出公司的重要历史变更。Prior to the establishment of the pany:公司成立以前：resolutions & minutes of meeting of promoters发起人会议的决议和会议记录agreements entered into by the promoters发起人之间达成的协议At the panys establishment or during major change to the pany:公司成立期间或公司进展重大变更期间：feasibility study reports, pr

20、oject proposals and other applications submitted to government authorities for the purpose of approving the intended business activities of the pany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、工程建议书或其他申请文件official documents from or to government authorities relating to the above, including if applicable approvals

21、 from government regulators for certain industries or classes of panies (such as approval from MIIT for telemunications panies, or for a project encouraged by the state, a certificate to that effect)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，或国家对鼓励工程的批准等等SASAC approval if state-ow

22、ned assets are involved如涉及国有资产，国有资产监视管理部门的批准文件Since the establishment of the pany until the present公司自成立至今business licenses, including any amendments and showing all annual inspection passed营业执照，包括变更的营业执照和所有年检纪录amendments to information registered with AIC工商局的变更登记证明AOA, including any amendments章程，包括

23、所有章程修正案JV contracts (if applicable), including any amendments合资合同如适用，包括任何合资合同的修订或补充capital verification reports; asset appraisal reports for in-kind contributions 验资报告；以非现金出资的资产评估报告MOF approvals for FIE establishment, including any amendments and showing all annual inspection passed商务部门批准外商投资企业成立的批准

24、，包括任何变更或年检记录organizational code certificates, including any amendments and showing all annual inspection passed组织机构代码证，包括任何变更和年检记录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

25、, acquisition, merger, divestiture, restructuring, etc.)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*围变更、收购、吸收、合并、分立、重组等等shareholder and board resolutions of the pany公司股东会及董事会决议contracts relating to such change or transaction该等变更或交易的相关合同shareholder and board resolutions of other parties to such transaction交易相对方的

26、股东会决议和董事会决议Shareholders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 pany.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展评估。General information regarding the shareholders (including whether any are state

27、-owned enterprises or FIE) and historical dealings / interactions among them股东的根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Business license or personal identification card of shareholders营业执照或个人*明Any agreements among some or all shareholders regarding the pany局部或全部股东关于公司的任何合同、协议Financing融资Provided/已提供Practitioners

28、Notes/提示Provide information on the e*tent of the panys 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 pliance with the law, such as foreign e*change laws.评估该等债务是否合法，比方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

29、行违约的其他情况。SAFE official documents, such as foreign e*change registration certificate, foreign debt registration certificate and foreign debt repayment approvals, including any amendments and showing all annual inspection passed外汇管理部门文件，如外汇登记证，外债登记证和外债归还核准，包括任何变更和年检记录MOF official documents, such as th

30、e financial registration certificate, including any amendments and showing all annual inspection passed财政部门文件，如财政登记证，包括任何变更和年检记录Contracts relating to all debt, financing or guarantees, including those relating to security interests (mortgages, pledges, liens, etc.) and credit facilities 所有与借款、融资或保证有

31、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Information and documents relating to the performance of the above contracts, including:有关前述合同履行情况的信息和文件，包括：whether all reporting and registration requirements have been plied with是否全部报告及登记要求均已得到遵守whether all material covenants including financial covenants/ratios ha

32、ve been plied with是否全部重大承诺包括财务承诺/比率均已得到遵守whether any event of default has occurred是否发生任何违约行为whether any notice or demand has been served on the pany in relation to default or non-pliance with any of the provisions of loan or security documentation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any further actio

33、n taken by lenders to enforce any security interests (e.g. appointment of receivers, mencement of winding up proceedings etc.)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收人、开场清算程序等Receipts or documents from the bank showing payments made on debt银行关于收到还款的收据或其他文件Information and documents relating to bank accounts (of

34、 all types) of the pany银行账户所有类型的信息和文件Information and documents relating to other financial arrangement other than banking loan with the pany, including cash advances, financial lease, deferred payment arrangements, sale and leaseback, swaps, hedges and similar risk management arrangements, debenture

35、s, bonds, notes or similar debt instrument issued by the pany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Potential factors that may cause the pany to default on its debts or other payables可能导致公司违反还款义务和归还其他应付款义务的潜在因素Audited annual financial reports for re

36、cent years, semi-annual reports and quarterly financial reports for year-to-date近三年度的年度审计报告、半年度报告和季度报告Current and future financial plans and budgets目前和将来的融资方案和预算Investments, Loans and Security Interests投资、贷款和担保权益Provided/已提供Practitioners Notes/提示Provide information on the equity and debt relationshi

37、ps between the pany 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 pliance 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。Information on shares of other

38、panies owned by the pany, including:公司拥有的其他公司股权的信息，包括share certificates股权证AIC registration of the subsidiary showing the pany as a shareholder证明公司是该等公司股东的工商登记证明contracts entered into in relation to the purchase or establishment of such panies, such as share purchase agreement or JV contract购置或成立该等公司

39、的相关合同，如股权转让协议或合资合同shareholder and board resolutions relating to the purchase or establishment of such panies与购置或成立该等公司有关的股东会或董事会决议documents indicating any pledge on the shares股权质押的文件if any government approval is required for the pany to hold such shares (such as an offshore investment), the relevant

40、 approval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Information on debts owing to the pany (directly or indirectly), including:他人欠付公司债务直接或间接的相关信息，包括：contracts with the pany as the lender, including those relating to mortgages and security interests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shareholder and board resolutions relatin

41、g to provision of such loans股东会或董事会关于批准该等借款的决议receipts or documents from the bank showing payments made on such loans银行出具的关于归还该等贷款的收据或文件anything that may indicate the debt is difficult to collect任何显示债务难以收回的文件或信息contracts relating to a security interest in favor of a third party on debt owing to the

42、pany公司为出借人，而担保权益受益人为第三方的相关合同Information on security interests owned by the pany (e.g. mortgages, pledges, liens, etc.), including:公司享有的担保权益信息如抵押、质押、留置等contracts合同registration documents from government authorities政府部门的登记文件documents indicating the seniority of such security interests显示担保权益优先顺序的文件infor

43、mation on the value of the underlying collateral押品价值的信息Ta*税务Provided/已提供Practitioners Notes/提示Assess whether the pany has any outstanding ta* obligations.评估公司是否存在任何未履行的赋税义务。Assess whether the pany is in pliance with ta* regulations.评估公司是否按照相关税法的规定行事。Official documents from or to the state ta* author

44、ity, local ta* authority and customs of recent years, including: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：state and local ta* registration certificate, including any amendments and showing all annual inspection passed国家和地方税务登记证，包括任何变更和年检记录ta* filings provided to and payment verification issued by all

45、ta* authorities, including for ine ta*, value-added ta*, business ta*, etc.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approval letters regarding e*emptions, preferential treatment, ta* holidays, etc.关于税收豁免、税收优惠、免税期等的政府文件those relating to e*pected, ongoing or recent audits, investigations or duty disputes (inc

46、lude any statements from the pany)与预期的、正在进展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levy and e*emption certificate for import / e*port进出口货物征免税证明A statement of ta*es currently payable and its calculation最近的应付税款或其计算方法的说明Employment雇员Provided/已提供Practitioners Notes/提示Give information on the panys human resources s

47、ystem.提供有关公司人力资源系统的信息。Assess the risk of non-pliance 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。Information regarding the human resources of the pany公司人力资源的信息total number of personnel in each department or grade (management, labor, etc.)各部门各级别的人员总数包括管理层、员工等em

48、ployees handbook and other internal rules & regulations, including a description of how they are formulated, revised and publicized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overtime policy, including whether the pany arranges for alternative rest periods or for overtime payment and whether such policy is

49、 adhered to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actual numbers of overtime hours worked by each employee每个员工的实际加班时间stock options for employees and other benefits员工股票期权方案和其他福利Relevant contracts, such as:相关合同，如：Employment contracts and contracts for training, confidentiality, non-disclosure and non-petiti

50、on between the pany and senior management and key technical personnel高级管理人员和关键技术人员的劳动合同培训合同、*协议、非竞争协议Employment form contract(s) used by the pany, including full-time, part-time and foreign employees公司采用的劳动合同*本，包括全职、兼职和聘用外劳的合同Form contracts for training, confidentiality, non-disclosure and non-petit

51、ion培训合同、*协议、非竞争协议*本Form contracts with independent contractors, such as interns and retirees劳务合同*本，如实习生和退休人员Labor dispatch agreement and service outsourcing agreement劳务派遣协议及劳务外包协议Work permits and residence permits for foreign employees外籍员工的工作许可证和居留证Documents relating to social insurance and housing

52、fund pliance:社会保险文件和住房公积金文件social insurance registration certificate and housing fund account establishment certificate社会保险登记证和住房公积金开户证明proof that the pany has fully paid social insurance and housing fund for all its employees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proof of payment for unions and workplace healt

53、h pensation支付工会费和职业安康补偿的证明Proof of employees ine ta* withholding during the last 3 months最近三个月代扣员工个人所得税的证明Information and documents relating to labor unions that the panys workers belong to公司员工所属工会的信息和文件Information and documents relating to any potential, ongoing or recent employment / labor dispute

54、s任何潜在、正在进展或近三年的雇佣或劳动争议的信息和文件Environment环境保护Provided/已提供Practitioners Notes/提示Provide information about activities of the pany that may be regulated under environmental laws.提供有关公司所从事的任何有可能受环保法律规制的活动的信息。Assess any risk of non-pliance with environmental laws.评估任何可能违反环保法律的风险。Official documents from or

55、to environmental authorities or those having some jurisdiction over environmental matters, including:有管辖权的环保部门对环境问题出具的文件，以及向该等部门发出的函件environmental licenses, registrations, assessments许可证、登记、评估等permits and approvals relating to urban planning, water, air quality, solid waste disposal, oil and gas tra

56、nsport and storage与城市规划、用水、空气质量、固体废物处理、石油、煤气和天然气运输和储存相关的许可证和批准Information about environmentally sensitive activities that are or may be regulated, including:受管制或将受管制的环境敏感活动的信息，包括information and documents regarding hazardous, contaminating or polluting materials owned, used, deposited or otherwise ha

57、ndled by the pany与公司拥有、使用、储存或以其他方式处置的危险、污染原料有关的信息和文件internal environmental policy and whether such policy is adhered to; for e*ample, the permitted amount of waste water to be discharged, the discharge standards and the penalty rate for e*cess discharge所有须遵守的内部环境政策；例如，可排放废水量、排放标准以及超额排放的处分标准any major

58、 policy changes or physical additions / changes made in recent years to ply with environmental laws and those e*pected to be made in the near future近三年，为符合环保法律法规而进展的重大政策修订或事实上的变更，以及打算要做出的修订Information and documents relating to any potential, ongoing or recent investigations, penalties or disputes wi

59、th the government or third party regarding environmental issues与政府部门或第三方在环境方面的任何潜在、正在进展的或近三年的调查、处分或争议Material Contracts重大合同Provided/已提供Practitioners Notes/提示Obtain disclosure of contracts whose performance is vital to the survival or success of the pany or contain terms or have counterparties that m

60、ay create risk for the pany.取得对公司的生存或成功经营具有重大意义的合同信息或披露任何所包含条款或相对方可能使公司面对风险的合同信息。The practitioner should define and e*plain the technical terms below to the pany so that they can provide the proper documents.尽职调查方应当告知公司以下技术性条款的定义或解释以便公司能够提供适宜的文件。Information and documents relating to contracts (not o