尽职调查清单_(英文版)

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1、-Documentation Request List for Legal Due Diligence尽职调查文件清单Instructions指引This Documents Request List (the本尽职调查文件清单“清单是为对【 X 】“公司进展法律尽职调查“ Request ) has been prepared for the purposeof conducting legal due diligence on X (the“ Company ).而准备。Subsidiaries of the Company with an independent legal person

2、 status are not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，included in the Request. If necessary, a separate request for the subsidiary may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be provided. Branches, departments, offices and other entities of the Company的分支机构应提供文件的相关要求已包含于本清单中。without an independent legal person st

3、atus are included in the Request.Documents asked for implies copies ofsuch documents, unlessotherwise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specified. For each item below, it should be assumed that all documents that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satisfy the criteria stated are requested, even though准的文件

4、均应提供。“ all may not be explicitlystated.-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 e

5、xpected 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对于以下每一项，如果所有

6、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-response to the Request, please inform us immediately.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。“ Official documentsrefers to approvals, certificates, licenses, contrac

7、ts, formal“官方文件指批准、证书、许可、合同、正式申请等。applications, etc.-A government authority includes its local or subordinate organs.“ Recent or“recent yearsmeansXyears,thepastunless otherwise specified.“ Material amountrefersXto. ￥“ Affiliaterefers to:1) The parent company of the Company;2) The subsidiaries of the

8、 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;政府部门包括其地方派出机构或下属机构

9、。“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。-8) The principalindividual investors and the close familymembers of such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indiv

10、iduals.“ Principal individual investors refers to an individual investorwho can control or jointly control a company, or has significant influence on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a company;能影响该个人或受该个人影响的家庭成员。- 2 -9) The key managers of the Company or of its parent

11、 company and their closefamily members. “ Key managers referto themanagers who have theauthority and responsibility for planning, directing andcontrollingtheactivities of the Company. The closefamilymembersof a principalindividual investor or of a key manager referto the familymembers whomay influen

12、ce, or be influenced by,thatindividual indealingwithtransactions 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

13、 key managers, or the close family members of such individuals have significant influence .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。-Practitioner s Notes/提示This document request list is adapted for privately-owned limited companies in the PRC.However, appropriate revisions should be made fo

14、r each targetcompany.本尽职调查文件清单适用于中国的私营XX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 example, it should not be used without substantial revisions for state-owned companies, agricultural enterprises, listed companies or companies that issuesecurities.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。- 3 -PLEA

15、SE PROVIDE THE FOLLOWING:请提供以下文件1Basic Information1根本信息Practitioner s Notes/ 提示Give an introduction to the Company.公司介绍Provided/ 已提供-1.1Current business license, showing latest annual inspection1.2If the Company is part of a group, the shareholding structure of such group in a chart showing all impo

16、rtant relationships and connections between the group companies (including holding of shares in trust), as well as each company scountry of incorporation1.1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-1.3Internal organization chart and otherinformation showing1.

17、3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departments and authority of officers部门主管的权力和职责1.4A list of cities and countries wherethe Company sassets1.4公司资产有形和无形以及员工所在城市和国家列表(tangible and intangible) and employees are located1.5List of current directors, supervisors and senior officers of the1.5公司目前的董事、监事以及高级管理人员以及其

18、任命函Company and their letters of appointment- 4 -1.6Authorizations given by the board or by directors to1.6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specially-appointed agents to deal with some particular matter权书1.7Reports recently prepared by the Company regarding business1.7公司最近有关业务及重要事项的报告and important matters fa

19、cing the Company-2Historical Changes2历史变更Provided/ 已提供Practitioner s Notes/提示Show that the Company was duly established and lawfully exists.说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。2.1Prior to the establishment of the Company:2.1公司成立以前：(1)resolutions & minutes of m

20、eeting 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2.2At the Company s establishment or during major change to the 2.2公司成立期间或公司进展重大变更期间：Company:- 5 -(1)feasibility study reports, project proposals and other applications(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submittedtogo

21、vernmentauthoritiesforthepurposeof性研究报告、工程建议书或其他申请文件approving the intended business activities of the Company-(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 (s

22、uch 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，或国家对鼓励工程的批准等等-(3)SASAC approval if state-owned assets are involved(3)如涉及国有资产，国有资产监视管理部门的批准文件2.3Since th

23、e establishment of the Company until the present2.3公司自成立至今(1)business licenses, including any amendments and showing all(1)营业执照，包括变更的营业执照和所有年检纪录annual inspection passed(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 appl

24、icable), 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(5)验资报告；以非现金出资的资产评估报告contributions-(6) MOFCOM approvals for FIE establishment, including any (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amendments and showing all annual inspection passed年检

25、记录(7)organizational code certificates, including any amendments and(7)组织机构代码证，包括任何变更和年检记录showing all annual inspection passed- 6 -2.4For all changes tothe AIC registered information (such as2.4工商变更登记信息如章程修改、合资合同修改，增资，amendment of AOA,amendment of JV contracts, increase of变更董事、经营X围变更、收购、吸收、合并、分立、重cap

26、ital, change of directors, change of business scope,组等等acquisition, merger, divestiture, restructuring, etc.)(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 suc

27、h(3)交易相对方的股东会决议和董事会决议transaction3Shareholders3股东Practitioner s 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展评估。3.1Generalinformationregardingtheshareholders (including3.1股东的根本

28、信息包括是否国有企业或中外投资企业以whether any are state-owned enterprises or FIE) and historical 及股东之间的关系 dealings / interactions among them3.2Business license or personal identification card of shareholders3.2营业执照或个人XX明Provided/ 已提供- 7 -3.3Any agreements among some or all shareholders regarding the3.3局部或全部股东关于公司的任

29、何合同、协议Company4Financing4融资Provided/ 已提供Practitioner s 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，比方是否符合有关外汇管理的法律。Di

30、scover 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。4.1SAFE 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 passed4.2 MOF o

31、fficial documents, such as the financial registration certificate, including any amendments and showing all annual4.1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4.2财政部门文件，如财政登记证，包括任何变更和年检记录- 8 -inspection passed4.3Contracts relating to all debt, financing or guarantees, including those relating to secur

32、ity interests (mortgages, pledges, liens, etc.) and credit facilities4.3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-4.4Information and documents relating to the performance of the4.4有关前述合同履行情况的信息和文件，包括：above contracts, including:(1)whetherall reporting and registrationrequirements have been(1)是否全部

33、报告及登记要求均已得到遵守complied with(2)whetherallmaterial covenantsincludingfinancial(2)是否全部重大承诺包括财务承诺/比率均已得到遵守covenants/ratios have been complied with-(3) whether any event of default has occurred(4) whether any notice or demand has been served on the Company in relation to default or non-compliance with any

34、 of the provisions of loan or security documentation(3) 是否发生任何违约行为(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(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interests (e.g. appointment of receivers, commencement of如指定接收人、开场清算程序等winding up proceedings etc.)4.5Re

35、ceipts or documents from the bank showing payments made4.5银行关于收到还款的收据或其他文件on debt4.6Information and documents relating to bank accounts (of all4.6银行账户所有类型的信息和文件types) of the Company- 9 -4.7 Informationand documents relating tootherfinancial 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，arrangement other than banking

36、loan withtheCompany,包括现金预付款、融资租赁、延期付款安排、售后回租、includingcash advances, financial lease, deferred payment掉期交易、套头交易及类似的风险管理安排、公司发行的arrangements, sale and leaseback, swaps, hedges and similar债券、公债、票据或类似债务文件risk management arrangements, debentures,bonds, notes orsimilar debt instrument issued by the Compa

37、ny-4.8Potential factors that may cause the Company to default on its debts or other payables4.9Audited annual financial reports for recent years, semi-annual reports and quarterly financial reports for year-to-date4.8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4.9近三年度的年度审计报告、半年度报告和季度报告-4.10Current and future financi

38、al plans and budgets4.10目前和将来的融资方案和预算5Investments, Loans and Security Interests5投资、贷款和担保权益Provided/ 已提供-10-Practitioner s 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 securi

39、ty 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。5.1Information onshares of other companies owned bythe5.1公司拥有的其他公司股权的信息，包括Company, including:(1)share certificates(1)股权证(2)AIC registrationo

40、f the subsidiary showing the Companyas a(2)证明公司是该等公司股东的工商登记证明shareholder-(3) contracts entered into in relation to the purchase or (3)购置或成立该等公司的相关合同，如股权转让协议或合资establishmentofsuch companies, such as share purchase合同agreement or JV contract(4)shareholder and board resolutions relating to the purchase

41、or(4)与购置或成立该等公司有关的股东会或董事会决议establishment of such companies-(5)documents indicating any pledge on the shares(5)股权质押的文件-11-(6)if any government approval is required for the Company to hold(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such shares(such as an offshore investment),the relevant投资approval5.2Informationon debt

42、s owingtothe Company(directly or5.2他人欠付公司债务直接或间接的相关信息，包括：indirectly), including:(1)contracts with the Companyasthe lender, including those(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relating to mortgages and security interests的合同(2)shareholder and board resolutions relating to provision of such(2)股东会或董事会关于批准该等借款的决议

43、loans(3)receipts or documents from the bank showing payments made(3)银行出具的关于归还该等贷款的收据或文件on such loans(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(5)公司为出借人，而担保权益受益人为第三方的相关合同on debt owing to the C

44、ompany5.3Information on security interests owned by the Company (e.g.5.3公司享有的担保权益信息如抵押、质押、留置等mortgages, pledges, liens, etc.), including:(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(

45、4)information on the value of the underlying collateral(4)押品价值的信息-12-6Tax6税务Practitioner s 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。6.1Officialdocuments from or to the

46、state tax authority, local tax6.1近三年的国家税务局、地方税务局或海关的文件，以及公authority and customs of recent years, including:司向该等部门发出的函件，包括：(1) state and local tax registration certificate, including any (1) 国家和地方税务登记证，包括任何变更和年检记录 amendments and showing all annual inspection passed(2)tax filings provided to and payme

47、nt verification issued by all tax(2)纳税申报表以及税务部门出具的纳税证明，包括所得税，authorities, including for income tax, value-added tax, business增值税，营业税等tax, etc.(3)approval letters regarding exemptions, preferential treatment,(3)关于税收豁免、税收优惠、免税期等的政府文件tax holidays, etc.(4) those relating to expected, ongoing or recent a

48、udits, (4)与预期的、正在进展的和近三年的税务审计、调查或税收investigations or duty disputes (include any statements from the争议的文件包括公司的任何陈述Provided/ 已提供-13-Company)(5)levy and exemption certificate for import / export(5)进出口货物征免税证明6.2A 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7Employment7雇员Pr

49、ovided/ 已提供Practitioner s 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。-7.1Information regarding the human resources of the Company7.1公司人力资源的信息(1)

50、total number of personnel in each department or grade (1) 各部门各级别的人员总数包括管理层、员工等 (management, labor, etc.)(2)employee handbooks and other internal rules & regulations, (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including a description of how they are formulated, revised and何制定、修改和发布的描述publicized-14-(3)overtime polic

51、y, including whether the Company arranges for(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alternative rest periods or for overtime payment and whether政策是否得到遵守such policy is adhered to(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)员工股票期权方案和

52、其他福利7.2Relevant contracts, such as:7.2相关合同，如：(1)Employment contracts and contracts for training, confidentiality,(1)高级管理人员和关键技术人员的劳动合同培训合同、XXnon-disclosure and non-competition between the Company and协议、非竞争协议senior management and key technical personnel(2)Employment form contract(s) used by the Compa

53、ny, including(2)公司采用的劳动合同X本，包括全职、兼职和聘用外劳的full-time, part-time and foreign employees合同(3)Form contracts for training, confidentiality, non-disclosure and(3)培训合同、XX协议、非竞争协议X本non-competition(4)Form contracts with independent contractors,such as interns(4)劳务合同X本，如实习生和退休人员and retirees(5)Labor dispatch ag

54、reement and service outsourcing agreement(5)劳务派遣协议及劳务外包协议7.3Work permits and residence permits for foreign employees7.3外籍员工的工作许可证和居留证7.4Documents relating to social insurance andhousingfund7.4社会保险文件和住房公积金文件compliance:(1)social insurance registration certificate andhousingfund(1)社会保险登记证和住房公积金开户证明-15-

55、account establishment certificate(2)proof that the Company has fullypaid social insurance and(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housing fund for all its employees证明(3)proof of payment for unions and workplace health compensation(3)支付工会费和职业XX补偿的证明7.5Proof of employee incomes tax withholding during the last

56、37.5最近三个月代扣员工个人所得税的证明months7.6Information and documents relatingto labor unions that the7.6公司员工所属工会的信息和文件Company s workers belong to7.7Information and documents relating to any potential, ongoing or7.7任何潜在、正在进展或近三年的雇佣或劳动争议的信息和recent employment / labor disputes文件8Environment8环境保护Practitioner s Notes/提示Provide information about activities of the Company 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-compliance with environmental laws.评估任何可能违反环保法律的风险。Provided/ 已提供-