REITs项目尽职调查清单及安排

ProjectCloudPreliminaryLegalDueDiligenceDocumentRequestList初步法律尽职调查文件清单Pleaseprovidethefollowingdocumentsandinformationwithrespectto崇贤港物流,崇贤港投资,北港物流,富洲电商and富卓实业(the“Company”)andeachofitssubsidiaries,affiliates,variableinterestentitiesandbranches.请提供下列有关崇贤港物流,崇贤港投资,北港物流,富洲电商和富卓实业（“公司”）及其每个子公司、关联公司、协议控制实体和分公司的文件和信息。Werecognizethatsomeoftherequesteddocumentsandinformation(i)maynotbepertinenttotheCompany;or(ii)maynotexistatall.Thus,weaskthatyoumarktheappropriatebox(“ProvidedHerewith,”“ToBeProvided”or“NotApplicable”)nexttoeachitemonthePreliminaryDueDiligenceRequestListandreturnthelistwithanydocumentationyouprovidetous.Tofacilitatereview,itwouldbehelpfulforallcopiesoftherequestedmaterialstobeidentifiedbythecorrespondingnumberiteminthelistbelow.Ifadocumentiscalledforinmorethanoneofthelisteditems,pleaseproduceonlyonecopyofthedocumentandcrossreferencealloftheapplicableitemsonthisPreliminaryDueDiligenceRequestList.Pleasenotethatthislistisapreliminaryrequestonly.Duringthecourseofourduediligencereview,wemayneedtoreviewothermaterialsnotdescribedherein.Inaddition,theCompanywillbeexpected,duringthecourseofpreparingfortheproposedtransaction,tobringtoourattentionandtheattentionoftherelevantpartiesandtheircounselanyotherinformationordocumentsthatmightbedeemedtobematerialbyaprospectiveinvestor,eitherindividuallyorviewedcollectivelywithotherdocumentsorinformation.Ifanyrequestisdifficulttounderstand,pleasediscussitwithus.我们理解，某些要求的文件和信息（i）可能与公司无关，或（ii）可能根本不存在。因此，我们请求公司在初步法律尽职调查文件清单的每一项的右边一栏的相应方框中注明“在此提供”、“待提供”或“不适用”，并将该清单与其它提供的文件一起交给我们。为了便于查阅，最好所有要求的文件都以下列清单中相应的栏目的号码编号后提供。如果清单中有多项要求同一个文件，就只需提供一个文本，并在本法律尽职调查文件清单的所有相关项中注明索引。请注意本清单只是初步清单。在进行尽职调查的过程中，我们可能还将要求审查其它未包括在本清单中的材料。另外，请公司在准备交易的过程中把任何对潜在的投资者有重大意义或被认为有重大意义的信息和文件提交给我们以及相关各方和他们的律师，不论这些信息和文件本身重要，还是与其它文件或信息一起具有重大意义。如果有难以理解的要求，请与我们商讨。UnlessotherwisespecifiedandexceptinSections1and2,referencetotheCompanyintheListshallmeantheCompanyandeachofitssubsidiaries,affiliates,andentitiesdirectlyorindirectlycontrolledbytheCompanythroughcontractualarrangements.FortheperiodbeforetheCompany’sincorporation,referencetotheCompanyshallmeantheCompany’spredecessor.除非在第一和第二部分另有明确规定，清单中提到公司的地方指公司及其每个子公司、关联公司、以及公司通过协议安排直接或间接控制的实体。在公司成立以前的期间，清单中提到公司的地方指公司的前身。PreliminaryDueDiligenceDocumentRequestList初步法律尽职调查文件清单No.编号Description描述ProvidedHerewith在此提供ToBeProvided待提供AlreadyProvided已经提供NotApplicable不适用1.OrganizationDocuments/组织文件CopyoftheCompany’sentireminutebook,includingminutesofallmeetings,andallwrittenconsents,of(a)?theCompany'sBoardofDirectors,(b)?anycommitteeoftheBoardofDirectorsand(c)?theshareholders,eachforthelastfiveyears.最近五年内公司的会议记录，包括董事会、董事会下属各委员会以及股东会议的所有会议记录和书面同意法务MemorandumandArticlesofAssociationoranyotherconstitutionaldocumentsoftheCompanyasoriginallyfiledandallamendmentsthereto.公司最初的组织大纲或其他组织性文件及其所有修订法务ResolutionsoftheBoardofDirectorsauthorizingcreationandissuanceofsecuritiestobeissuedandsoldintheproposedtransaction.授权创设并发行本次拟议交易中拟发行及出售证券的董事会决议●ShareledgerandcopiesofsharecertificatesissuedbytheCompany;Registeroftransfer(ifapplicable).股票分类总帐和公司签发的股权证明的复印件；股票转让登记表（如适用）●Samplesofanycertificatesrepresentingsecurities.证券权证的样本●AlistofeachjurisdictioninwhichtheCompanydoesbusiness(e.g.providesservices,makessales,operatesasalesofficeorwhereitsemployeesreside)andabriefsummaryoftheCompany’sactivitiesineachjurisdiction,includingrevenuegeneratedandtaxconcessionsreceivedineachjurisdiction.列出公司开展业务（如提供服务、进行销售、设立销售处、员工住所）所在的所有行政管辖地区，并对公司在每一地区内的活动加以简要的描述，包括在每一地区产生的收入和享受的税务优惠财务AllvotingagreementswithrespecttosharesoftheCompanyinthelastfiveyears.最近五年内与公司股票有关的表决协议●AlistofeachjurisdictioninwhichtheCompanyisauthorizedorqualifiedtodobusinessasaforeigncorporationandacurrentgoodstandingcertificatefromeachsuchjurisdiction.列出公司经授权或有资格作为外国公司开展业务（如销售产品、设立销售处、员工住所）的所有地区，以及该地区颁发的当前有效的合法续存证明●Alistandorganizationalchartofanysubsidiaries,branches,representativeoffices,affiliates,variableinterestentities,parent,orpredecessorentityoftheCompany,specifyingcorporatename,jurisdictionofincorporation,relationshiptotheCompany,itsshareholdersorpartnersandtheirequityinterests,theboardrepresentationbytheCompany,itsmanagement,thenumberofemployeesthereunder,itsbusiness,thelocationinthecorporatestructureofmajorassetsandliabilities,thepercentageownershipofvotingsecuritiesandtherevenuegeneratedbyeachsubsidiary(alsoindicatingifanyCompanyisdormantorinadissolution/liquidationprocess),andallrelevantinformationanddocuments,includingBusinessLicense,OrganizationCodeCertificateandTaxRegistrationCertificates(forbothnationaltaxandlocaltax).关于公司的子公司、分支机构、代表处、关联公司、协议控制实体、母公司或前身的列表及结构图，请注明名称、组建地区、与公司关系、股东和合伙人以及他们的股权、公司董事会的代表性、公司管理、管理层员工数量、公司业务、公司主要资产和负债在公司结构中的位置、有表决权的证券的持股比例、每个子公司所产生的收入，并注明公司是否停止营业或处于解散/清算程序；并提供所有相关信息和文件，包括营业执照、组织机构代码证和税务登记证（包含国税和地税）等。财务Anyshareholders’agreementsrelatingtotheCompanyoranysubsidiary,affiliateorvariableinterestentityoftheCompany.有关公司、公司的子公司、关联公司或协议控制实体的任何股东协议●AlistoftheCompany’shareholdinginterestsorotherinvestmentsinequityofothercompanies,partnershipsorentities.列出公司在其他公司、合伙或实体中的股东权益或其他投资财务、法务Anyagreementswithinvestmentbankers,findersandbrokerswithrespecttoanyequityinvestmentintheCompanyoritspredecessororanybusinesscombinationinvolvingtheCompanyoritspredecessor.与投资银行、中介机构和经纪签订的有关向公司或其前身投资的协议以及任何涉及公司或其前身业务合并的协议●AllotherdocumentsrelatingtoanyequityinvestmentintheCompanyoritspredecessororanybusinesscombinationinvolvingtheCompanyoritspredecessor,includingsubscriptionagreements,privateplacementmemorandaorotherofferingmaterials,reportsandanalyses.其它有关向公司或其前身投资的协议以及任何涉及公司或其前身业务联营的协议，包括认购协议、私募备忘录和其它有关发行股票的资料、报告和分析●Allmaterialssenttoshareholders,includingannual,quarterlyandinterimreports.向股东提供的所有资料，包括年度、季度和中期报告财务AlldocumentsusedorreceivedbytheCompanyforthepurposesofdeterminingwhetherdirectorsareindependentorqualifyas“financialexperts”forAuditCommitteepurposes.公司为了确定董事是否具有独立性、是否符合审计委员会成员的“财务专家”要求所使用和收到的所有文件财务●Allinsidertradingpoliciesandallwrittenmaterialsdescribingorsummarizingtheproceduresimplementedtoensurecompliancewithreportingobligationsforinsidertransactions,aswellasadescriptionoftheCompany’spolicy,ifany,regardingsecuritiestradingblack-outperiodsandalistoftheactualblack-outperiods.所有有关内幕人交易的政策，描述和概括为确保遵守内幕人交易申报义务而采纳的程序的所有书面材料，对有关禁止交易期的公司政策的描述（如有），以及实际的禁止交易期清单●AnyCompanypolicyondocumentretention.公司有关文件保存的政策行政Copiesofallcorporategovernanceguidelinesandcodesofbusinessconductandethics,includingguidelinesonsalespractices,oftheCompanyoranysubsidiary.公司或任何子公司的所有公司治理准则、业务守则、道德规范（包括销售业务准则）行政、业务、法务Informationoncompositionoftheboardofdirectors,boardofsupervisorsandtheiraffiliatedcommissions,includingthename,termofofficeandappointingpartyofeachmember;andalistofeverypersongenerallyauthorisedbytheCompanytorepresentorbindtheCompanyconcerned有关董事会、监事会及其下属各委员会的构成的信息，包括每个成员的姓名、任期和指派方；并列出被一般授权代表公司的人员名单人事、法务AlistofallpowersofattorneyorotherauthorisationsgivenbytheCompanyforspecificpurposeswithcopiesofthedocumentsgrantingthepowerorauthorisation.列出公司为特定目的而签发的所有授权委托书及相关授权文件行政、法务DetailsoftheoverallmanagementstructureoftheCompany.公司的整体管理架构人事CopiesofallcontractsbetweentheCompanyand:(a)anypersonlistedinparagraph1.20;or(b)anyconnectedpersonofanysuchperson(includingitsshareholders,directorsandshadowdirectorsoranyassociates,affiliatesorrelativesofsuchshareholders,directorsorshadowdirectors).公司与如下主体签订的合同的复印件或扫描件：第1.20项中的任何人员；任何关联人员（包括公司的股东、董事、隐名董事或任何关联公司、附属公司，或公司股东、董事和隐名董事的亲属等）人事PleaseconfirmifthereisanyChinesecitizenwhoisashareholderoftheCompanyoractuallycontrolstheCompany.Ifany,pleasealsoprovidethevalididentitycertificatesofsuchindividuals.说明公司的任何股东或实际控制人是否中国公民。如是，请提供上述人员的有效身份证明人事Pleasedescribethecompanysharestructurehistory,includingsharetransfers,shareredemptionandsharesubscription.Foreachsuchsharetransactionspleaseprovidetransactionagreementsandotherrelateddocumentationandgovernmentalapprovals,permitsforsuchtransactions(ifapplicable)andrelevantcorporateregistrationdocuments请对公司股权结构的历史变动，包括股权转让、股权回购以及股权认购等变动进行描述。针对每一个此种股权交易，请提供交易合同以及针对此项交易的其它相关文件和政府批复、批准（如有）及相关的公司登记文件法务ApprovalfromtheindustryauthorityregardingtheincorporationofeachCompany(ifapplicable),projectapplicationandtheapprovalforprojectsissuedbyrelevantgovernmentalauthority(includingdevelopmentandreformcommissions)(ifapplicable),feasibilityreportoftheprojectandapprovalofsuchfeasibilityreportbyrelevantgovernmentalauthority(ifapplicable)行业主管部门对设立公司的批复(如适用)、项目建议书及有关政府部门（包括发展改革部门）对项目建议书的批复(如适用)、可行性研究报告及有关政府部门对可行性研究报告的批复（如适用）行政、法务ApprovalfromtheforeigneconomicsandtradedepartmentregardingtheincorporationoftheCompanyandmaterialchangesoftheCompany,suchasthechangeofregisteredcapitalandthescopeofbusiness(ifapplicable).外经贸部门对设立公司和公司注册资本、经营范围变更等主要变更事项的批复(如适用)●Jointventureorcooperationagreements(includingthesubsequentamendmentsandsupplements),articlesofincorporation(includingthesubsequentamendmentsandsupplements),resolutionsoftheboardofdirectorsandshareholdersmeetingoftheCompanyregardingtheamendmentstothearticlesofincorporationandapprovalfromtheauthoritiesregardingsuchjointventureagreements,cooperationagreementsandarticlesofincorporation.合资或合作合同(包括其历次修改和补充)、公司章程(包括其历次修改和补充)、公司董事会及/或股东会关于公司章程修改的决议及审批机关对该等合资或合作合同和公司章程的批复●Approvalcertificatesofforeigninvestmententerpriseasoftheincorporationandthesubsequentamendments(ifany).设立时及历次变更（如有）的外商投资企业批准证书●Businesslicense,certificateofincorporationoranyothercorporatecertificateoftheCompany(includingwithoutlimitationthelicenseorcertificatereceivedupontheincorporationoftheCompany,uponeachofthesubsequentchangesandthelatestannualinspection,ifapplicable).公司的营业执照、成立证明或其它的公司证明文件(包括但不限于公司设立时领取的、历次变更的及经过最新年检的执照或证明，如适用)行政、法务EachcapitalverificationreportandassetassessmentdocumentoftheCompany.公司历次的验资报告和资产评估文件财务IftheCompanyhasreceivednon-cashcapitalinjectionfromdepartmentsinchargeofstate-ownedassets,pleaseprovidetheassetassessmentreports,approvalfromthestate-ownedassetmanagementdepartmentregardingthetransaction,confirmationapprovalregardingtheassessmentresultsorapprovalorfilingdocumentsfromthestate-ownedassetmanagementdepartmentregardingtheassessmentresults,andthetitleregistrationcertificatesofstate-ownedassetsoftheCompany(ifany).如果公司曾接受过国有资产占有单位的非现金出资，请提供该次出资的资产评估报告、国有资产管理部门的立项批复、对评估结果的确认批复或国有资产管理部门对评估结果的核准或备案文件，以及公司的国有资产产权登记证(如有)●AlldocumentsrelatingtotransferofanyequityinterestintheCompany(includingdraftdocumentsreceivedorpreparedbytheCompanyforanyproposedtransaction),includingbutnotlimitedtoshareholdingtransferagreementsinconnectionwitheachoftheshareholdingtransferamongshareholdersoftheCompany,boardandshareholdersmeetingresolutionsapprovingthechangeintheCompany’sshareholdingstructureandcommitment/confirmationlettersfromothershareholdersregardingthegivingupofpre-emptiverights(ifany),aswellasapproval,approvalcertificatesofforeigninvestmententerpriseandindustrialandcommercialregistrationfilingdocumentsregardingsuchshareholdingtransfer.关于转让公司股权的所有文件（包括公司就任何拟定的交易收到或准备的文件），包括但不限于公司股东历次转让公司股权的股权转让协议、同意公司股权变动的董事会决议/股东会决议以及其他股东放弃优先购买权的承诺/确认函（如有），以及有关该等股权转让的批复、外商投资企业批准证书和工商登记备案文件法务IndustrialandcommercialregistrationorfilingdocumentsinconnectionwithestablishmentandchangesintheCompany’sname,registeredcapital,address,scopeofbusiness,legalrepresentativeandshareholders;shareholderregistryandcapitalcontributioncertificate(ifapplicable)公司设立及变更名称、注册资本、住址、经营范围、法定代表人、股东的工商登记或备案文件；以及公司的股东名册及出资证明书(如适用)法务OperationcertificatesoftheCompany’sbranchesandgovernmentalapprovalorfilingdocumentsregardingtheestablishmentofbraches.公司分支机构的营业执照及设立分支机构的政府批准或备案文件法务Latestcertificates(forforeigninvestors,pleaseprovideeffectiveregistrationdocumentsissuedbylocalcorporationregistrationdepartmentorinstitutions),articlesofincorporationoridentitydocuments(fornaturalpersonshareholders)ofeachoftheinvestorsintheCompany公司各投资者的最新营业执照(如为境外投资者，请提供当地公司登记部门或机构有效的登记证明文件)、章程或身份证明文件(就自然人股东而言)法务Lettersofintent,memoranda,contractsoragreementsamongshareholdersoftheCompanyregardingtheCompanyortheCompany’soperationinadditiontojointventureorcooperationagreements;iftheCompanyhasoutsideshareholders,pleasedescribewhethersuchoutsideshareholdershavepre-emptiverightsorotherrestrictingrightsinconnectionwithchangesintheshareholders.除合资或合作合同和公司章程以外，公司股东之间签订的与公司或公司的经营有关的意向书、备忘录、合同或协议；如公司存在外部股东，请说明外部股东是否对于股东变更具有优先购买权等限制权利法务Allregistrationandcertificationdocumentsatrelevantgovernmentalauthorities,includingwithoutlimitation,taxregistration,foreignexchangeregistration,customsregistration(ifany),fiscalregistration,organizationcode,accountopeningpermitforRMBbasicaccountandstatisticsregistrationcertificatesandothers.公司在政府有关主管部门的所有登记和证明文件，包括但不限于税务登记、外汇登记、海关登记(如有)、财政登记证、组织机构代码证书、人民币基本户开户许可证、统计登记证等财务、法务Permittocreatecompanyseal/chopissuedbythePublicSecurityAuthoritiesforeachsealorchopandinternalrulesregulatingtheuseandmanagementofthesealsandchops.公安部门颁发的企业印章刻制许可及公司内部印章使用管理制度法务Qualitycertificationdocuments,management,qualityandenvironmentsystemverificationcertificate,theCertificateofHighandNewTechnologyEnterprise,certificateandapprovalforenterpriseparticularlysupportedbystate,othercertificates/approvalofgovernmentalcertification,subsidiesorsupportsorothercertificatesandawardsinconnectionwiththeCompany’sbusiness.资质证明文件、管理、质量和环境体系认证证书、高新技术企业证书、国家重点扶持企业证书/批复、其他政府认定、资助或扶持项目的证书/批复或其他与公司业务相关的证书及奖项行政DetailsinrelationtotheCompanyofanystepstakeinanyjurisdictioninrespectof:(a)anycomposition,schemeofarrangement,compromiseorotherarrangementwithcreditors;(b)theappointmentofajudicialmanager,receiverorotherenforcementofsecurityoveranyproperty;or(c)anyadministration,winding-uporbankruptcy.公司在任何司法管辖区内在破产清算方面采取的如下措施：与债权人之间的任何债务偿还安排、和解协议和或其他安排；对破产管理人或财产接管人的任命，以及对任何担保资产的执行；管理程序、清算或破产●DetailsofthecommencementofanyotherinsolvencyorliquidationprocessorproceedingsinrespectoftheCompany.公司启动其他破产清算程序方面的详细信息●2.ShareholdersandSecuritiesArrangement/股东及证券安排2.1CapitalizationtableorsimilarrecordsthatlistallissuedandoutstandingsecuritiesoftheCompany,withdateofissuanceandpriceinformation.资本结构表和其它列明公司所有已经发行在外的证券的类似纪录，注明发行日期和价格财务2.2Alistofallshareholders,warrantholdersandoptionholders,specifyingname,address,numberofshares,classesofshares,pricepaid,dateofpurchase/grant,nameofseller(ifotherthantheCompany),exerciseprice,expirationdateandwhichoptions/warrantsarecurrentlyoutstanding.股东、认购证持有人和期权持有人的名单，列出姓名、地址、持股数量、股份类别、已付价格、购买/授予日期、卖方（如不是公司）的名称、行权价、到期日，并说明哪些期权/认购证当前尚未行权●2.3AlistofallholdersofotherrightstoacquireequitysecuritiesoftheCompany,specifyingname,address,dateofissuance,descriptionofrights,exerciseorconversionprice,andanyotherrelevantterms.取得公司证券的其它权利的持有人名单，说明姓名、地址、发行日期、权利性质、行权或转换的价格、以及其它相关条件●2.4Anyshareholders’agreements,buy-sellagreements,votingtrustagreementsorotherrestrictiveagreementsrelatingtothesale,transferorvotingofsharesofequity.所有股东协议、买卖协议、表决权信托协议或其它有关股权买卖转让或表决权限制的协议法务2.5Anyagreementsandotherdocumentationrelatingtopreemptiverights,repurchases,redemptions,exchanges,conversionsorsimilartransactionsinvolvingthesecuritiesoftheCompany.任何涉及公司证券的优先认股权、回购、赎回、交换、转换或类似交易的协议和其它文件●2.6AllsecuritiesofferingdocumentsoftheCompanyinthelastfiveyears,includingprivateplacementmemoranda,prospectuses,offeringcirculars,registrationstatements,sharepurchaseorsubscriptionagreementsandanywrittenproposalsandwrittensummaryofanyoralproposalsfortheacquisitionoftheCompany’ssecurities.最近五年内公司的所有证券发行文件，包括私募备忘录、招股说明书、发行公告、登记声明、购股或认股协议和任何购买公司股票的书面建议或口头建议的书面摘要●2.7AnyagreementsthatmayrestricttheabilityoftheCompanyto(a)?issueorredeemitsownsecurities,(b)?assumeadditionalindebtedness,or(c)?sell,leaseortransfer(bydividendorotherwise)anyoftheassetsorcapitalshareoftheCompany.任何可能限制（a）?公司发行或赎回其股票，（b）?承担其它债务，（c）出售、出租或转让（以派发红利或其它方式）其资产或股票的协议●2.8Allagreements,instrumentsorotherdocumentsunderwhichanypersonhasanyrightsconcerningissuedorunissuedsecurities,includingwithoutlimitation,rightsofpurchaseorsale,preemptiverightsorrightsoffirstrefusal,registrationrights,options,warrantsorconvertiblesecurities.使任何人享有任何对已经发行或尚未发行的证券的权利的任何协议、契据或其它文件，包括但不限于买卖权、优先认股权、优先购买权、登记权、期权、认购证或可转换证券●2.9Anyagreementsandotherdocumentationrelatingtorepurchases,redemptions,exchanges,conversionsorsimilartransactionswithrespecttotheCompany’ssecurities.任何涉及公司证券的回购、赎回、交换、转换或类似交易的协议和其它文件2.10Allmaterialcommunicationstoshareholdersinthelastfiveyears.最近五年内公司与股东的所有重要通信往来●2.11WrittensummaryofallverbalarrangementsbetweentheCompanyanditsshareholders.公司与其股东间口头协议的书面概述●2.12Listofanystoptransferorders/legends.列出任何转让终止命令或相关股票标识●2.13ListofanygovernmentalapprovalsorauthorizationsrequiredforthepurchaseoftheCompany’ssecurities(ifany).列出所有为购买公司证券所必需的政府批文或授权（如有）●2.14ListofallPRCgovernmentalfilingsandconsentsrequiredforthistransaction,ifany.列出所有为本次交易所必需的中国政府备案文件或同意书（如有）穆总2.15Approvals,ifany,fromanyregulatoryauthorityinthePRCoranyotherjurisdictioninconnectionwiththeproposedoffering.列出中国或其它地区监管机构对拟议发行的任何批文（如有）2.16Documentsrelatingtoanymaterialmerger,acquisitionordivestiture,whetherofstockorassetsorotherwise,andrelatedagreementsorotherextraordinarycorporatetransactionstowhichtheCompanyisaparty,includingdraftdocumentsreceivedorpreparedbytheCompanyforanysuchproposedtransaction.有关资产、股票或其它任何重大的购并、拆分的文件，以及公司作为当事方的相关协议和其它非一般性的公司交易，包括公司拟定或收到的有关上述交易建议的草拟文件●2.17Agreementsrelatingtojointventures,partnershipsandequityordebtinvestmentstowhichtheCompanyisaparty,includinganydraftagreementsreceivedorpreparedbytheCompanyforanysuchproposedtransaction.公司作为当事方的合资、合伙和股票或债券投资协议，包括公司拟定或收到的有关上述交易建议的草拟文件●2.18AnyagreementrestrainingtheCompanyfrompayingdividendsorotherdistributions.任何限制公司支付红利或进行其他分配的合同财务2.19DocumentsevidencingpaymentofdividendsbytheCompany,includingthosepaidtoshareholdersortheirproxies.证明公司分红的文件，包括向股东及其代理人支付的红利财务2.20Alldocumentsrelatingtocreatepledge,securityinterestsorotherencumbranceonanyequityoftheCompany,includingbutnotlimitedtoagreements,relevantgovernmentapprovalandregistrationdocuments,andthedocumentsevidencingthereleaseofsuchencumbrance,ifapplicable关于在公司的股权上设置质押、担保权益或其他权利负担的所有文件，包括但不限于协议、相关的政府审批及登记文件以及权利负担的解除文件财务2.21Alldocumentsrelatingtothenominee/trusteearrangementfortheCompany’sshareholding,includingbutnotlimitedtoanyrelevantagreement(ifany).与公司委托或信托持股安排有关的所有文件，包括但不限于任何相关协议（如有）财务3.BusinessLicensesandPermits/经营许可及批准3.1Listofallmateriallicenses,authorizations,consents,permits,registrations,qualificationsandapprovalsissuedtotheCompanybyanygovernmentalauthorityinconnectionwiththeoperationoftheCompany’sbusiness(collectively,“Permits”)(e.g.,theCertificateofHighandNewTechnologyEnterprise.).列出任何政府机构为公司的业务经营发给公司的所有重要的许可、授权、同意、批准、登记、资格证书和批文（统称“许可”）（如高新技术企业证书）DetailsofallconditionsapplicabletoanysuchPermits,inparticular:(a)includinganyconditionsinrelationtoany(i)maximumforeignshareholdinglimitor(ii)minimumlocalshareholdingormanagementlimitimposedbyanyrelevantgovernmentalorregulatoryauthorities;and(b)whetheranyofsuchlicences,consents,permitsorauthoritieswouldbebreachedorislikelytobesuspended,cancelled,refusedorrevokedonachangeofcontroloratransferofbusinessinvolvingtheCompany.详细说明申请上述许可须满足的条件，特别是：相关政府或监管部门要求的（i）最高外资持股比例或（ii）最低内资持股比例或管理要求，以及是否存在违反上述许可的可能，或者是否会因为公司控制权的改变或业务的转移而导致上述许可被吊销、撤销行政、法务3.2CopiesofallPermitsdescribedinitem3.1above.上文第3.1栏所列的所有许可复印件3.3Alldocuments,information,reports,andmaterialcorrespondencefiledwithanygovernmentalauthorityinthelastfiveyears.最近五年内公司向任何政府机构提交备案的所有文件、信息、报告和重要书信往来财务报告3.4Anymaterialagreementswithanygovernmentalauthority.与任何政府机构的重要协议行政3.5CorrespondenceandnoticesrelatingtoanyPermitsoragreementswithanygovernmentalentityregarding:(a)?anyallegedviolationoromission,(b)?anynegativedeterminationsofresponsibilityissuedagainsttheCompanywithrespecttoanybid,quotationorproposalsubmittedbytheCompany,(c)?anydisallowanceorquestioningbyanygovernmentalentityofmaterialcostsincurredbytheCompany,(d)?anyassessmentofpenaltiesordamagesofanykindagainsttheCompany,(e)?anyaudit,and(f)?anydenialofsecurityclearancesandpermitsnecessaryfortheexecutionoftheCompany’sobligationsunderanygovernmentcontract,pastorpresent.有关下列事项的政府许可和协议的书信往来和通知：（a）?任何指称的违规行为或不作为，（b）?针对公司提出的竞标、报价或建议而做出的不利于公司的责任认定，（c）?任何政府对公司重大成本项目的不认可或疑问，（d）?对公司估征的各种罚金或赔款，（e）?任何审计，以及（f）以前或现在对公司履行政府合同所必需的忠诚调查或许可作出的拒绝●3.6AllapprovalsorrefusalsreceivedfromanyregulatoryauthoritieswithrespecttothebusinessorassetsoftheCompanywithinthelastfiveyears.列出最近五年内公司从任何监管部门收到的有关公司业务或资产的任何批准或拒绝批准行政、财务3.7ListofalloftheCompany’spropertiesorassetsthathavebeenthesubjectofanygovernmentalinvestigationorinquiryoranyproceedingsthreatenedwithrespectthereto.列出所有曾经被政府调查或审查的公司财产或资产或即将要接受调查的财产和资产财务3.8Listofanydefault,violationoforothernon-compliancebytheCompanywithanyorder,writ,injunction,ordecreeofanycourtoranyothergovernmentalauthority.Providecopiesofanydocumentationregardinganysuchdefault,violationorothernon-compliance.列出公司不履行、违反或不遵守任何命令、令状、禁制令或任何法院或其它政府部门的命令的情况，并提供有关上述不履行、违反或不遵守的文件复印件●3.9Scheduleandcopiesofanycertificates/licensesofauthority/qualifications/productcertifications/securitylicenses/thelike,oranyexemptionsfromthesame/documentsevidencingrenewalofsuchlicenses,requiredbythenatureoftheCompany’sbusiness,includingadescriptionofthepurposeofeachlicense/certificate,adescriptionofwhichsubsidiaryorentityholdsthelicense/certificateandtheextenttowhichrelatedsubsidiariescanuseit.公司的性质所要求的证明/权威部门许可/资质/产品认证/安全许可/类似许可或豁免文件/续期证明的列表及复印件，包括对每份许可/证明的目的的描述、说明哪一个子公司或实体持有该许可/证明、相应的子公司使用该许可/证明的范围行政3.10CopiesofallapplicationstoandordersreceivedfromanygovernmentalregulatoryauthorityhavingjurisdictionovertheCompany’sbusinessoranysignificantpartthereof.向对公司的业务或其重要部分有管辖权的政府监管部门提交的所有申请书以及该政府监管部门颁发的所有命令的复印件●3.11AllrelatedmaterialswithrespecttotheannualinspectionoftheCompanyconductedbythelocalauthorities.当地政府部门所有有关公司年检的材料财务、法务3.12Allgovernmentapprovals,registrationsandfilingsconcerninganytransferorlicenseofanytrademark,tradename,patent,copyright,know-howoranyotherintellectualpropertyrights,towhichtheCompanyisaparty.任何公司作为当事人的、有关商标、商号、专利、着作权、专有技术或其他知识产权权利的转让、许可的政府批准、登记和备案法务3.13AnyapplicationbytheCompany,anyPRCresidentswhodirectlyorindirectlyholdownershipinterestintheCompanyoranyothershareholdersoftheCompanyforregistrationwithSAFE,anycorrespondenceinrelationtheretoandapprovalorregistrationdocumentsissuedbySAFE公司、直接或间接持有公司所有权权益的中国公民或公司的其他股东向国家外汇管理部门提交的任何登记申请文件（包括但不限于申请书、商业计划书），与此相关的任何书信往来，以及外汇管理部门的批准或登记文件财务3.14Anydocumentrelatingtoanymaterialnoncomplianceorliabilityunderlawsorregulationsrelatingtothecontracts,propertyorbusinessesoftheCompany,orthehumanhealthorsafetyoftheemployees.严重违反涉及公司合同、财产或业务或其员工的健康安全的法律和法规的情况以及相关责任的文件●3.15ListofallrelevantlawsandregulationsapplicabletothebusinessesoftheCompany.列出适用于公司业务的所有有关法律法规法务、业务3.16AlistofanyindustryorganizationorassociationofwhichtheCompanyisamember列出公司参加的任何行业组织和协会行政3.17CopiesofallrecordsofinspectionoftheCompany’sfacilitiesbyrelevantgovernmentregulatoryauthorities.提供有关政府监管部门对公司设施进行的检验记录的复印件行政3.18RelevantdocumentswhichevidencethecurrentproductsofCompanycomplywithrelevantrequiredqualityandtechnologystandard(includingexaminationreport,qualityeligibilitycertificate,productscertificateandregistrationandsoon.)目前产品质量符合国家有关质量技术监督规范和标准的有关文件(包括检验报告、质量合格证书、产品质量认证证明及证书等)行政、业务3.19SoftwareProductRegistrationCertificateandLicenseforSaleofComputerInformationSystemSecurityProducts.请提供公司拥有的软件产品登记证及所有软件产品的计算机信息系统安全专用产品销售许可证行政4.BusinessOperation/业务经营4.1IntroductionofthemainbusinessinwhichtheCompanyisengaged.公司的主要业务活动及流程介绍业务、行政4.2Alloutstandingagreementsandmemorandaofunderstanding(a)withsuppliers,serviceandsupportproviders,licensors,franchisees,independentcontractors,agents,sub-contractorsorotherdistributorsandcustomersresultinginannualrevenuesorexpensesinexcessof1%ofthetotalrevenuefor2008,2009or2010,includingservice,consulting,license,distribution,resellerormaintenanceagreementsandanyformsthereof;and(b)withmajorgovernmentauthorities,bothatcentralandprovinciallevel,includingcooperationorbusinessoperationagreements,andanyformsthereof.提供（a）与供应商、服务商、许可方、特许经营人、代理人、独立承包商、分包商或其它经销商和客户签订的、产生超过2008、2009或2010年的总收入的1%的所有目前有效的协议及备忘录，包括但不限于经销协议、服务协议、许可协议、转售或维修协议，以及上述协议的范本；（b）与中央及地方各主要政府部门签署的所有目前有效的协议及备忘录，包括合作协议和业务经营协议，以及上述协议的范本业务、财务、法务4.3ListoftheCompany’stop10accountspayableforeachyearduringthelastfiveyears,specifyingcontactnamesandphonenumbers.列出公司最近五年中最大的10个应付账户，说明联系人姓名和电话财务4.4ListoftheCompany’stop10accountsreceivableforeachyearduringthelastfiveyears,specifyingcontactnamesandphonenumbers.列出公司最近五年中最大的10个应收账户，说明联系人姓名和电话财务4.5ListoftheCompany’stop10customersforeachyearduringthelastfiveyears,specifyingcontactname,address,telephonenumber,andreve