法律尽职调查清单中英文

法律尽职调查清单中英文DocumentationRequestListforLegalDueDiligence尽职调查文件清单Instructions指引ThisDocumentsRequestList(the“Request”)hasbeenprepared本尽职调查文件清单（“清单）是为对【X“公司）进行法律尽职调forthepurposeofconductinglegalduediligenceon[X](the查而准备。“Company”).SubsidiariesoftheCompanywithanindependentlegalpersonstatusarenotincludedintheRequest.Ifnecessary,aseparaterequestforthesubsidiarymaybeprovided.Branches,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。departments,officesandotherentitiesoftheCompanywithoutanindependentlegalpersonstatusareincludedintheRequest.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Documentsaskedforimpliescopiesofsuchdocuments,unless定标准的文件均应提供。otherwisespecified.Foreachitembelow,itshouldbeassumedthatalldocumentsthatsatisfythecriteriastatedare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requested,eventhough“all”maynotbeexplicitlystated.该项文件已提供完毕。Foreachitembelow,ifallrelevantdocumentshavebeenprovided,pleasechecktheboxtotherighttoindicatethattheitemofrequesthasbeensatisfied.如果所要求提供的信息或资料（iii）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。Ifinformationormaterialsaskedforis:(i)notapplicableto-2-theCompany,(ii)applicable,butnotexpectedtobeavailable,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or(iii)willbeprovidedatalaterdate,pleaseprovidea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。separateresponseorexplanationasappropriate.“官方文件”指批准、证书、许可、合同、正式申请等。If,priortotheclosingofthetransaction,anyeventoccursoryouobtainanyadditionalfactsthathaveamaterialeffectontheinformationprovidedinresponsetotheRequest,please政府部门包括其地方派出机构或下属机构。informusimmediately.“最近”或“近年”指过去【X】年，除非另有说明。“Officialdocuments”referstoapprovals,certificates,licenses,contracts,formalapplications,etc.“重大数额”指【￥XAgovernmentauthorityincludesitslocalorsubordinateorgans.“关联方”指：“Recent”or“recentyears”meansthepast[X]years,unlessotherwisespecified.（一）公司的母公司。“Materialamount”refersto[¥X].（二）公司的子公司。（三）与公司受同一母公司控制的其他企业。“Affiliate”refersto:（四）对公司实施共同控制的投资方。1)TheparentcompanyoftheCompany;（五）对公司施加重大影响的投资方。（六）公司的合营企业。2)ThesubsidiariesoftheCompany;（七）公司的联营企业。3)OthercompaniesunderthecontrolofasameparentcompanyoftheCompany;（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。4)TheinvestorshavingjointcontrolovertheCompany;（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5)TheinvestorshavingsignificantinfluenceontheCompany;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-3-6)ThejointventuresoftheCompany;易时可能影响该个人或受该个人影响的家庭成员。7)TheassociatedcompaniesoftheCompany;（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。8)Theprincipalindividualinvestorsandtheclosefamilymembersofsuchindividuals.“Principalindividualinvestors”referstoanindividualinvestorwhocancontrolorjointlycontrolacompany,orhassignificantinfluenceonacompany;9)ThekeymanagersoftheCompanyorofitsparentcompanyandtheirclosefamilymembers.“Keymanagers”refertothemanagerswhohavetheauthorityandresponsibilityforplanning,directingandcontrollingtheactivitiesoftheCompany.Theclosefamilymembersofaprincipalindividualinvestororofakeymanagerrefertothefamilymemberswhomayinfluence,orbeinfluencedby,thatindividualindealingwithtransactionswiththeCompany.10)Othercompanieswhicharecontrolledorjointlycontrolledbytheprincipalindividualinvestors,orkeymanagers,ortheclosefamilymembersofsuchindividuals,oronwhichtheprincipalindividualinvestors,orkeymanagers,ortheclosefamilymembersofsuchindividualshavesignificantinfluence.-4-Practitioner’sNotes/提示Thisdocumentrequestlistisadaptedforprivately-ownedlimitedcompaniesinthePRC.However,appropriaterevisionsshouldbemadeforeachtargetcompany.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。Forexample,itshouldnotbeusedwithoutsubstantialrevisionsforstate-ownedcompanies,agriculturalenterprises,listedcompaniesorcompaniesthatissuesecurities.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。-5-PLEASEPROVIDETHEFOLLOWING:请提供下列文件1BasicInformation1基本信息Provided/已提供Practitioner’sNotes/提示GiveanintroductiontotheCompany.公司介绍1.1Currentbusinesslicense,showinglatestannual1.1□inspection1.2IftheCompanyispartofagroup,theshareholding□1.2如果公司为集团的一部分，集团的股权结构图，说明集团structureofsuchgroupinachartshowingallimportantrelationshipsandconnectionsbetweenthe公司的成立地groupcompanies(includingholdingofsharesintrust),aswellaseachcompany’scountryofincorporation1.3Internalorganizationchartandotherinformation□1.3内部组织结构图以及其他信息，说明公司内部部门组成以showingdepartmentsandauthorityofofficers及部门主管的权力和职责1.4AlistofcitiesandcountrieswheretheCompany’s1.4公司资产（有形和无形）以及员工所在城市和国家列表□assets(tangibleandintangible)andemployeesarelocated-6-1.5Listofcurrentdirectors,supervisorsandsenior□1.5公司目前的董事、监事以及高级管理人员名单以及其任命officersoftheCompanyandtheirlettersof函appointment1.6Authorizationsgivenbytheboardorbydirectors□1.6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tospecially-appointedagentstodealwithsome权书particularmatter1.7ReportsrecentlypreparedbytheCompanyregarding1.7公司最近有关业务及重要事项的报告□businessandimportantmattersfacingtheCompany2HistoricalChanges2历史变更Provided/已提供Practitioner’sNotes/提示ShowthattheCompanywasdulyestablishedandlawfullyexists.表明公司依法成立并合法存续。HighlightmajorhistoricalchangestotheCompany.突出公司的重要历史变更。2.1PriortotheestablishmentoftheCompany:2.1公司成立以前：□(1)resolutions&minutesofmeetingofpromoters(1)发起人会议的决议和会议记录□-7-(2)agreementsenteredintobythepromoters(2)发起人之间达成的协议□2.2AttheCompany’sestablishmentorduringmajor2.2公司成立期间或公司进行重大变更期间：□changetotheCompany:(1)feasibilitystudyreports,projectproposalsand□(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otherapplicationssubmittedtogovernment性研究报告、项目建议书或其他申请文件authoritiesforthepurposeofapprovingtheintendedbusinessactivitiesoftheCompany(2)officialdocumentsfromortogovernment□(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authoritiesrelatingtotheabove,includingif关行业主管部门或相应级别的主管部门的批准（如工业和applicableapprovalsfromgovernmentregulatorsfor信息化部对电讯公司的批准，或国家对鼓励项目的批准等certainindustriesorclassesofcompanies(suchas等）approvalfromMIITfortelecommunicationscompanies,orforaprojectencouragedbythestate,acertificatetothateffect)(3)SASACapprovalifstate-ownedassetsareinvolved(3)如涉及国有资产，国有资产监督管理部门的批准文件□2.3SincetheestablishmentoftheCompanyuntilthe2.3公司自成立至今□present(1)businesslicenses,includinganyamendmentsand(1)营业执照，包括变更的营业执照和所有年检纪录□showingallannualinspectionpassed(2)amendmentstoinformationregisteredwithAIC(2)工商局的变更登记证明□(3)AOA,includinganyamendments(3)章程，包括所有章程修正案□(4)JVcontracts(ifapplicable),includingany(4)□-8-amendments(5)capitalverificationreports;assetappraisal(5)验资报告；以非现金出资的资产评估报告□reportsforin-kindcontributions(6)MOFCOMapprovalsforFIEestablishment,including□(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anyamendmentsandshowingallannualinspection年检记录passed(7)organizationalcodecertificates,includingany(7)组织机构代码证，包括任何变更和年检记录□amendmentsandshowingallannualinspectionpassed2.4ForallchangestotheAICregisteredinformation□2.4工商变更登记信息（如章程修改、合资合同修改，增资，(suchasamendmentofAOA,amendmentofJV变更董事、经营范围变更、收购、吸收、合并、分立、重contracts,increaseofcapital,changeof组等等）directors,changeofbusinessscope,acquisition,merger,divestiture,restructuring,etc.)(1)shareholderandboardresolutionsoftheCompany(1)公司股东会及董事会决议□(2)contractsrelatingtosuchchangeortransaction(2)该等变更或交易的相关合同□(3)shareholderandboardresolutionsofotherparties(3)交易相对方的股东会决议和董事会决议□tosuchtransaction3Shareholders3股东Provided/已提供-9-Practitioner’sNotes/提示AllowapotentialinvestortoassessothershareholdersandtheirpotentialimpactonthevalueoractivitiesoftheCompany.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。3.1Generalinformationregardingtheshareholders□3.1股东的基本信息（包括是否国有企业或中外投资企业）以(includingwhetheranyarestate-ownedenterprises及股东之间的关系orFIE)andhistoricaldealings/interactionsamongthem3.2Businesslicenseorpersonalidentificationcardof3.2营业执照或个人身份证明□shareholders3.3Anyagreementsamongsomeorallshareholders3.3部分或全部股东关于公司的任何合同、协议□regardingtheCompany4Financing4融资Provided/已提供-10-Practitioner’sNotes/提示ProvideinformationontheextentoftheCompany’sdebtobligations(includingguaranteesofdebts).Assesswhethersuchdebtsareincompliancewiththelaw,suchasforeignexchangelaws.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。Discoveranythingthatmaycausedefaultonthedebts.发现有可能造成债务履行违约的其他情况。4.1SAFEofficialdocuments,suchasforeignexchange□4.1外汇管理部门文件，如外汇登记证，外债登记证和外债偿registrationcertificate,foreigndebtregistration还核准，包括任何变更和年检记录certificateandforeigndebtrepaymentapprovals,includinganyamendmentsandshowingallannualinspectionpassed4.2MOFofficialdocuments,suchasthefinancial4.2财政部门文件，如财政登记证，包括任何变更和年检记录□registrationcertificate,includinganyamendmentsandshowingallannualinspectionpassed4.3Contractsrelatingtoalldebt,financingor□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guarantees,includingthoserelatingtosecurity关的合同（抵押、质押、留置等）和信用贷款合同interests(mortgages,pledges,liens,etc.)andcreditfacilities4.4Informationanddocumentsrelatingtothe4.4有关前述合同履行情况的信息和文件，包括：□-11-performanceoftheabovecontracts,including:(1)whetherallreportingandregistrationrequirements(1)是否全部报告及登记要求均已得到遵守□havebeencompliedwith(2)whetherallmaterialcovenantsincludingfinancial(2)是否全部重大承诺包括财务承诺/比率均已得到遵守□covenants/ratioshavebeencompliedwith(3)whetheranyeventofdefaulthasoccurred(3)是否发生任何违约行为□(4)whetheranynoticeordemandhasbeenservedonthe□(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Companyinrelationtodefaultornon-compliance知或要求是否已送达公司withanyoftheprovisionsofloanorsecuritydocumentation(5)anyfurtheractiontakenbylenderstoenforceany□(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securityinterests(e.g.appointmentofreceivers,（如指定接管人、开始清算程序等）commencementofwindingupproceedingsetc.)4.5Receiptsordocumentsfromthebankshowing4.5银行关于收到还款的收据或其他文件□paymentsmadeondebt4.6Informationanddocumentsrelatingtobankaccounts4.6银行账户（所有类型）的信息和文件□(ofalltypes)oftheCompany4.7Informationanddocumentsrelatingtoother□4.7除银行贷款以外公司的其他融资安排的相关信息和文件，financialarrangementotherthanbankingloanwith包括现金预付款、融资租赁、延期付款安排、售后回租、theCompany,includingcashadvances,financial掉期交易、套头交易及类似的风险管理安排、公司发行的lease,deferredpaymentarrangements,saleand债券、公债、票据或类似债务文件leaseback,swaps,hedgesandsimilarrisk-12-managementarrangements,debentures,bonds,notesorsimilardebtinstrumentissuedbytheCompany4.8PotentialfactorsthatmaycausetheCompanyto□4.8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defaultonitsdebtsorotherpayables因素4.9Auditedannualfinancialreportsforrecentyears,4.9近三年度的年度审计报告、半年度报告和季度报告□semi-annualreportsandquarterlyfinancialreportsforyear-to-date4.10Currentandfuturefinancialplansandbudgets4.10目前和将来的融资计划和预算□5Investments,LoansandSecurityInterests5投资、贷款和担保权益Provided/已提供Practitioner’sNotes/提示ProvideinformationontheequityanddebtrelationshipsbetweentheCompanyanditsaffiliates.提供有关公司与其关联方之间的股权及债权关系信息。Assesswhethersuchinvestments,loansandsecurityinterestsareincompliancewiththelaw.评估该等投资、贷款和担保权益是否合法。Assessthevalueandriskofsuchinvestments,loansandsecurityinterests.评估该等投资、贷款和担保权益的价值和风险。-13-5.1Informationonsharesofothercompaniesownedby5.1公司拥有的其他公司股权的信息，包括□theCompany,including:(1)sharecertificates(1)股权证□(2)AICregistrationofthesubsidiaryshowingthe(2)证明公司是该等公司股东的工商登记证明□Companyasashareholder(3)contractsenteredintoinrelationtothepurchase□(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orestablishmentofsuchcompanies,suchasshare合同purchaseagreementorJVcontract(4)shareholderandboardresolutionsrelatingtothe(4)与购买或成立该等公司有关的股东会或董事会决议□purchaseorestablishmentofsuchcompanies(5)documentsindicatinganypledgeontheshares(5)股权质押的文件□(6)ifanygovernmentapprovalisrequiredforthe□(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Companytoholdsuchshares(suchasanoffshore投资）investment),therelevantapproval5.2InformationondebtsowingtotheCompany(directly5.2他人欠付公司债务（直接或间接）的相关信息，包括：□orindirectly),including:(1)contractswiththeCompanyasthelender,including□(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thoserelatingtomortgagesandsecurityinterests的合同(2)shareholderandboardresolutionsrelatingto(2)股东会或董事会关于批准该等借款的决议□provisionofsuchloans-14-(3)receiptsordocumentsfromthebankshowing(3)银行出具的关于偿还该等贷款的收据或文件□paymentsmadeonsuchloans(4)anythingthatmayindicatethedebtisdifficultto(4)任何显示债务难以收回的文件或信息□collect(5)contractsrelatingtoasecurityinterestinfavor(5)公司为出借人，而担保权益受益人为第三方的相关合同□ofathirdpartyondebtowingtotheCompany5.3Informationonsecurityinterestsownedbythe5.3公司享有的担保权益信息（如抵押、质押、留置等）□Company(e.g.mortgages,pledges,liens,etc.),including:(1)contracts(1)合同□(2)registrationdocumentsfromgovernmentauthorities(2)政府部门的登记文件□(3)documentsindicatingtheseniorityofsuchsecurity(3)显示担保权益优先顺序的文件□interests(4)informationonthevalueoftheunderlying(4)押品价值的信息□collateral6Tax6税务Provided/已提供-15-Practitioner’sNotes/提示AssesswhethertheCompanyhasanyoutstandingtaxobligations.评估公司是否存在任何未履行的赋税义务。AssesswhethertheCompanyisincompliancewithtaxregulations.评估公司是否按照相关税法的规定行事。6.1Officialdocumentsfromortothestatetax□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authority,localtaxauthorityandcustomsof司向该等部门发出的函件，包括：recentyears,including:(1)stateandlocaltaxregistrationcertificate,(1)国家和地方税务登记证，包括任何变更和年检记录□includinganyamendmentsandshowingallannualinspectionpassed(2)taxfilingsprovidedtoandpaymentverification□(2)纳税申报表以及税务部门出具的纳税证明，包括所得税，issuedbyalltaxauthorities,includingforincome增值税，营业税等tax,value-addedtax,businesstax,etc.(3)approvallettersregardingexemptions,preferential(3)关于税收豁免、税收优惠、免税期等的政府文件□treatment,taxholidays,etc.(4)thoserelatingtoexpected,ongoingorrecent□(4)与预期的、正在进行的和近三年的税务审计、调查或税收audits,investigationsordutydisputes(include争议的文件（包括公司的任何陈述）anystatementsfromtheCompany)(5)levyandexemptioncertificateforimport/export(5)进出口货物征免税证明□-16-6.2Astatementoftaxescurrentlypayableandits6.2最近的应付税款或其计算方法的说明□calculation7Employment7雇员Provided/已提供Practitioner’sNotes/提示GiveinformationontheCompany’shumanresourcessystem.提供有关公司人力资源系统的信息。Assesstheriskofnon-compliancewithemployment,immigrationorsocialinsurancelaws.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。7.1Informationregardingthehumanresourcesofthe7.1公司人力资源的信息□Company(1)totalnumberofpersonnelineachdepartmentor(1)各部门各级别的人员总数（包括管理层、员工等）□grade(management,labor,etc.)(2)employee’shandbookandotherinternalrules&□(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regulations,includingadescriptionofhowthey何制定、修改和发布的描述areformulated,revisedandpublicized(3)overtimepolicy,includingwhethertheCompany(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□-17-arrangesforalternativerestperiodsorfor政策是否得到遵守overtimepaymentandwhethersuchpolicyisadheredto(4)actualnumbersofovertimehoursworkedbyeach(4)每个员工的实际加班时间□employee(5)stockoptionsforemployeesandotherbenefits(5)员工股票期权计划和其他福利□7.2Relevantcontracts,suchas:7.2相关合同，如：□(1)Employmentcontractsandcontractsfortraining,□(1)高级管理人员和关键技术人员的劳动合同\培训合同、保confidentiality,non-disclosureandnon-competition密协议、非竞争协议betweentheCompanyandseniormanagementandkeytechnicalpersonnel(2)Employmentformcontract(s)usedbytheCompany,□(2)公司采用的劳动合同范本，包括全职、兼职和聘用外劳的includingfull-time,part-timeandforeign合同employees(3)Formcontractsfortraining,confidentiality,non-(3)培训合同、保密协议、非竞争协议范本□disclosureandnon-competition(4)Formcontractswithindependentcontractors,such(4)劳务合同范本，如实习生和退休人员□asinternsandretirees(5)Labordispatchagreementandserviceoutsourcing(5)劳务派遣协议及劳务外包协议□agreement7.3Workpermitsandresidencepermitsforforeign7.3外籍员工的工作许可证和居留证□-18-employees7.4Documentsrelatingtosocialinsuranceandhousing7.4社会保险文件和住房公积金文件□fundcompliance:(1)socialinsuranceregistrationcertificateand(1)社会保险登记证和住房公积金开户证明□housingfundaccountestablishmentcertificate(2)proofthattheCompanyhasfullypaidsocial□(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insuranceandhousingfundforallitsemployees证明(3)proofofpaymentforunionsandworkplacehealth(3)支付工会费和职业健康补偿的证明□compensation7.5Proofofemployee’sincometaxwithholdingduring7.5最近三个月代扣员工个人所得税的证明□thelast3months7.6Informationanddocumentsrelatingtolaborunions7.6公司员工所属工会的信息和文件□thattheCompany’sworkersbelongto7.7Informationanddocumentsrelatingtoany□7.7任何潜在、正在进行或近三年的雇佣或劳动争议的信息和potential,ongoingorrecentemployment/labor文件disputes8Environment8环境保护Provided/已提供-19-Practitioner’sNotes/提示ProvideinformationaboutactivitiesoftheCompanythatmayberegulatedunderenvironmentallaws.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。Assessanyriskofnon-compliancewithenvironmentallaws.评估任何可能违反环保法律的风险。8.1Officialdocumentsfromortoenvironmental□8.1有管辖权的环保部门对环境问题出具的文件，以及向该等authoritiesorthosehavingsomejurisdictionover部门发出的函件environmentalmatters,including:(1)environmentallicenses,registrations,assessments(1)许可证、登记、评估等□(2)permitsandapprovalsrelatingtourbanplanning,□(2)与城市规划、用水、空气质量、固体废物处理、石油、煤water,airquality,solidwastedisposal,oiland气和天然气运输和储存相关的许可证和批准gastransportandstorage8.2Informationaboutenvironmentallysensitive8.2受管制或将受管制的环境敏感活动的信息，包括□activitiesthatareormayberegulated,including:(1)informationanddocumentsregardinghazardous,□(1)与公司拥有、使用、储存或以其他方式处置的危险、污染contaminatingorpollutingmaterialsowned,used,原料有关的信息和文件depositedorotherwisehandledbytheCompany(2)internalenvironmentalpolicyandwhethersuch□(2)所有须遵守的内部环境政策；例如，可排放废水量、排放policyisadheredto;forexample,thepermitted标准以及超额排放的处罚标准amountofwastewatertobedischarged,the-20-dischargestandardsandthepenaltyrateforexcessdischarge(3)anymajorpolicychangesorphysicaladditions/□(3)近三年，为符合环保法律法规而进行的重大政策修订或事changesmadeinrecentyearstocomplywith实上的变更，以及打算要做出的修订environmentallawsandthoseexpectedtobemadeinthenearfuture8.3Informationanddocumentsrelatingtoany□8.3与政府部门或第三方在环境方面的任何潜在、正在进行的potential,ongoingorrecentinvestigations,或近三年的调查、处罚或争议penaltiesordisputeswiththegovernmentorthirdpartyregardingenvironmentalissues9MaterialContracts9重大合同Provided/已提供Practitioner’sNotes/提示ObtaindisclosureofcontractswhoseperformanceisvitaltothesurvivalorsuccessoftheCompanyorcontaintermsorhavecounterpartiesthatmaycreateriskfortheCompany.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。ThepractitionershoulddefineandexplainthetechnicaltermsbelowtotheCompanysothattheycanprovidetheproperdocuments.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合适的文件。-21-9.1Informationanddocumentsrelatingtocontracts□9.1具有如下特征的信息和合同（在本清单中其他地方未提及(nototherwisedisclosed):的）：(1)wherethecontractsumisoverthematerialamount(1)合同金额超过重大金额□(2)enteredintobetweentheCompanyandatleastone(2)公司和最少一个关联方或至少两个关联方之间签订的合同□affiliateorbetweenatleasttwoaffiliates(3)notenteredintoonarm’slengthterms(3)有非正常条款的合同□(4)thatareconfidentialityornon-disclosure(4)保密协议□contracts(5)withaperformanceperiodexpectedtobeinexcess(5)履行期超过六个月□of6months(6)withtermsthatareparticularlyoneroustothe(6)公司义务特别繁重的，或者对公司特别有利的□Companyor,conversely,particularlyvaluabletotheCompany(7)thoughtbytheCompanytobeinvalidor(7)公司认为无效的或不能执行的□unenforceable(8)wherethecounterpartyisbelievedtobeinsolvent(8)相对方被认为将破产或不能履行其义务的□orincapableofmeetingitsobligations(9)whichrequiregovernmentapprovalforittobe□(9)需要政府部门的批准以使其生效的（请同时提供该等批valid(alsoprovidesuchapproval)准）9.2Informationanddocumentsrelatingtoexecutionof9.2有关上述合同履行情况的信息和文件，包括：□theabovecontracts,including:-22-(1)whetherallreportingandregistrationrequirements(1)是否与上述交易相关的全部报告及登记要求均得到遵守□inrespectoftheabovetransactionshavebeencompliedwith(2)whetherallmaterialcovenantshavebeencomplied(2)是否全部重大承诺均已得到遵守□with(3)whetheranyeventofdefaulthasoccurred(3)是否发生任何违约行为□(4)whetheranynoticeordemandhasbeenservedonthe□(4)与违反或未遵守上述合同或交易的任何规定相关的任何通Companyinrelationtodefaultornon-compliance知或要求是否已送达公司withanyoftheprovisionsoftheabovecontractsortransactions(5)anyfurtheractiontakenbyotherpartiestothe□(5)上述合同或交易的其他方为强制执行任何担保权益采取的abovecontractsortransactionstoenforceany任何进一步行动（如指定接管人、开始清算程序等）securityinterests(e.g.appointmentofreceivers,commencementofwindingupproceedingsetc.)10Disputes10争议Provided/已提供-23-Practitioner’sNotes/提示ObtaindisclosureofdisputesthatmaymateriallyaffectorcreateriskfortheCompany.取得可能对公司造成重大影响或产生风险的相关争议的信息。10.1Informationanddocumentsrelatingtopotential,□10.1公司、其股东、子公司、高级管理人员和董事的潜在的、ongoingorrecentclaims,investigations,disputes,正在进行的或近三年的权利主张、调查、争议、行政处administrativepenalties,arbitrationsandcourt罚、仲裁和法院诉讼，包括它们的状态和结果：proceedinginvolvingtheCompanyoritsshareholders,subsidiaries,seniorofficersanddirectors,includingtheirstatusandresolution,where:(1)morethanthematerialamountisindispute(1)超过重大数额的□(2)itisotherwisematerialtotheaffairsofthe(2)在其他方面对公司业务有重大影响的□Company11关于公司业务的政府批准Provided/已提供11GovernmentAuthorizationsPertainingtotheCompany’sBusiness-24-Practitioner’sNotes/提示ItemsinthissectionmustbeadaptedtotheparticularlineofbusinessoftheCompany.本节中的各项应适用于公司的特殊业务。Forregulatedindustries,certainactivitiesrequiretheexplicitauthorizationoftheregulator.对于受监管的行业，某些活动应当取得监管部门直接的授权。Somebusinessactivitiesalsoinvolveothergovernmentauthorities,suchascustoms.某些业务活动也可能涉及其他的政府部门，比如海关。11.1【X】11.1【X】□12LandandBuildings12土地和建筑Provided/已提供-25-Practitioner’sNotes/提示GiveinformationabouttheCompany’slandandbuildingtitle.提供有关公司土地和建筑物所有权的信息。GiveinformationabouttheCompany’songoingconstructionprojects.提供有关公司在建工程项目的信息。Assessanynon-complianceorrisksrelatingtosuchland,buildingandongoingconstructionprojects.评估该等土地、建筑物及在建工程项目是否违法或存在任何风险。12.1Basicinformationregardingland,buildingsand12.1公司拥有的土地、建筑和在建工程的基本信息□constructionprojectsownedbytheCompany,including:(1)location(1)地址□(2)landareaandgrossfloorarea(2)占地面积和建筑面积□(3)intendeduse(3)目标用途□(4)value/amountinvested(4)价值/已投资金额□(5)whetherthereisanyjointownership,profit□(5)物业中是否存在任何共有、权益分配、典权、地役权、租division,“dianrights,”easement,leaseholdsor赁或其他第三方利益otherthird-partyinvolvementintheproperty12.2Informationregardingpremisesleasedbythe12.2公司承租物业的信息，包括：□Company,including:-26-(1)leasecontractandassociateddocuments(1)租赁合同和相关文件□(2)leaseregistrationdocuments(2)租赁登记文件□(3)informationregardingthelessorsshowingtheyhave(3)出租人有权出租物业的证明文件□therighttothepremises(4)receiptsshowingstatusofrentpayment(4)租金支付的凭证□12.3Informationanddocumentsregardingongoing12.3在建工程的信息和文件，□constructionprojects,including:(1)timewhenprojectwassubmittedtotheconstruction□(1)工程提交相关政府部门审批的时间、工程开工时间、建设authorities,whenconstructioncommenced,进度以及预计完工日期constructionprogressandexpectedcompletiondate(2)timingrequirementsstipulatedbytheauthorities(2)政府部门对工程进度的时间要求□(3)contractors,constructionsupervisors(3)承包商、监理人□(4)statusofpayments(includingreceipts)(4)付款情况（包括收据）□12.4Inrelationtoeachland,buildingandconstruction□12.4就公司所拥有的每一块土地、建筑物以及在建工程而言，projectownedbytheCompany,allofficial所有由建设、环保、土地、规划及其他政府部门出具或提documentsfromortoconstruction,environment,交予该等政府部门的官方文件，包括：land,planningandotherauthorities,including:(1)landgrantcontract,landtransfercontractorland(1)土地出让合同、土地转让合同或土地划拨批复□allocationapproval(2)documentsrelatingtocompletionofland□(2)完成土地出让、拆迁以及支付完毕有关土地出让、拆迁的requisitionandrelocationandpaymentofallfees所有费用的相关文件-27-forlandrequisitionandrelocation(3)receiptshowingfullpaymentofconsiderationfor□(3)证明土地对价以及所有税费（包括契税、印花税、增值thelandandalltaxes(includingdeedtax,stamp税）均已支付完毕的收据tax,value-addedtax)(4)landusecertificate,anddocumentsshowingany(4)土地使用权证以及说明土地上所附任何担保权益的文件□securityinterestontheland(5)environmentalassessmentreport(anditsapproval)(5)环境影响评估报告（以及其批复）□(6)geologicaldisasterassessmentreport(andits(6)地质灾害风险评估报告（以及其批复）□approval)(7)constructionengineeringplanningpermit(7)建设工程规划许可证□(8)constructionlanduseplanningpermit(8)建设用地规划许可证□(9)constructioncommencementapproval(9)建设工程施工许可证□(10)acceptanceinspection(10)验收报告□(11)buildingtitlecertificate,anddocumentsshowing(11)房产所有权证以及说明房产上所附任何担保权益的文件□anysecurityinterestonthebuilding(12)firefightingpermit(12)消防许可证□(13)sanitationpermit(13)卫生许可证□(14)civilianairdefensepermit(14)人防许可□12.5Informationandofficialdocumentsregardingany□12.5与有可能影响建筑物或土地用途的任何因素有关的信息和factorsthatmayaffecttheintendedpurposeofthe官方文件，包括：-28-buildingsorland,including:(1)materialdamagetoordeteriorationofthebuilding(1)建筑物或土地的重大损坏或退化□orland(2)thesurroundingnaturalandman-madeenvironment,□(2)周边的自然环境及人工环境，如公用设施、道路及临近建suchaspublicutilities,roadsanduseofnearby筑物的使用buildings13IntellectualProperty13知识产权Provided/已提供Practitioner’sNotess/提示AssesswhethertheCompanyinfringesanyIPofothercompanies.评估公司是否侵犯了其他公司的知识产权。AssesswhethertheCompany’sIPisprotectedandnotinfringedupon.评估公司的知识产权是否受到保护并未受侵权。13.1Informationanddocumentsrelatingtoforeignand□13.1有关公司或其子公司拥有的、目前正在使用或有可能使用domesticIPowned,currentlyusedorpossiblyused的国内外知识产权的信息及文件，无论该等知识产权是否bytheCompanyoritssubsidiarieswhetherlicensed存在许可，该等信息应包括：orunlicensed,whichforthispurposeincludes:-29-(1)trademarks(1)商标□(2)tradenames(2)商号□(3)logos(3)标识□(4)tradedresses(4)商业外观□(5)internetdomainnames(5)互联网域名□(6)patents,inventions,know-how(6)专利、发明、技术秘密□(7)tradesecrets,designs(7)商业秘密、设计□(8)copyrights,software(includingthoseonoffice(8)□computers),databases(9)layoutdesignsofintegratedcircuits(9)集成电路布图设计□(10)newvarietiesofplantsandotherrightsofa(10)植物新品种及其他类似权利□similarkindowned13.2FortheIPabovethatislicensedtotheCompanyor□13.2对于以上知识产权如由他人许可公司使用或者由公司许可bytheCompanytoanother:他人使用：(1)licensingagreements(1)许可协议□(2)registrationcertificates(2)注册证明□(3)proofthatthelicensoristheowneroftheIPor□(3)证明许可人为该知识产权的