盡調(diào)清單(中英文)

1、- 33 -Documentation Request List for Legal Due Diligence盡職調(diào)查文件清單Instructions指引This Documents Request List (the “Request”) has been prepared for the purpose of conducting legal due diligence on X (the “Company”).Subsidiaries of the Company with an independent legal person status are not included in t

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

3、or each item below, it should be assumed that all documents that satisfy the criteria stated are requested, even though “all” may not be explicitly stated.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 bee

4、n satisfied.If information or materials asked for is: (i) not applicable to the Company, (ii) applicable, but not expected 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 eve

5、nt occurs 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 loca

6、l or subordinate organs.“Recent” or “recent years” means the past X years, unless otherwise specified.“Material amount” refers to ¥X.“Affiliate” refers to:1) The parent company of the Company;2) The subsidiaries of the Company;3) Other companies under the control of a same parent company of the

7、 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;8) The principal individual investors and the close family members of such individuals. “Princi

8、pal individual investors” refers to an individual investor who can control or jointly control a company, or has significant influence on a company;9) The key managers of the Company or of its parent company and their close family members. “Key managers” refer to the managers who have the authority a

9、nd responsibility for planning, directing and controlling the activities of the Company. The close 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 Company.1

10、0) 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 key managers, or the close family members of such individuals have significant inf

11、luence .本盡職調(diào)查文件清單（“清單”）是為對【X】（“公司”）進(jìn)行法律盡職調(diào)查而準(zhǔn)備。公司具有獨(dú)立法人資格的子公司的相關(guān)文件并不在本清單之列。如有必要，我們將為子公司準(zhǔn)備單獨(dú)的盡職調(diào)查文件清單。對公司不具有獨(dú)立法人資格的分支機(jī)構(gòu)應(yīng)提供文件的相關(guān)要求已包含于本清單中。除非另有說明，本清單中所要求文件均為復(fù)印件。對以下每一項(xiàng)，盡管并非每一項(xiàng)都明確標(biāo)明提供“所有”文件，但應(yīng)假設(shè)所有滿足本清單中所設(shè)定標(biāo)準(zhǔn)的文件均應(yīng)提供。對于以下每一項(xiàng)，如果所有相關(guān)文件均已提供，請?jiān)谟覀?cè)方框中打勾表明該項(xiàng)文件已提供完畢。如果所要求提供的信息或資料（i）并不適用于公司，（ii）適用于公司，但在本次調(diào)查中不可提供，

12、或（iii）需要稍晚提供，請向我們提供一份單獨(dú)的回復(fù)或做必要說明。如果在交易結(jié)束前，發(fā)生了任何事件或您獲得任何額外的信息，且該等事件或信息會(huì)對您根據(jù)本清單回復(fù)的文件信息產(chǎn)生影響，請立即通知我們?！肮俜轿募敝概鷾?zhǔn)、證書、許可、合同、正式申請等。政府部門包括其地方派出機(jī)構(gòu)或下屬機(jī)構(gòu)?！白罱被颉敖辍敝高^去【X】年，除非另有說明?！爸卮髷?shù)額”指【￥X】?！瓣P(guān)聯(lián)方”指：（一）公司的母公司。（二）公司的子公司。（三）與公司受同一母公司控制的其他企業(yè)。（四）對公司實(shí)施共同控制的投資方。（五）對公司施加重大影響的投資方。（六）公司的合營企業(yè)。（七）公司的聯(lián)營企業(yè)。（八）公司的主要投資者個(gè)人及與其關(guān)系密切

13、的家庭成員。主要投資者個(gè)人，是指能夠控制、共同控制一個(gè)企業(yè)或者對一個(gè)企業(yè)施加重大影響的個(gè)人投資者。（九）公司或其母公司的關(guān)鍵管理人員及與其關(guān)系密切的家庭成員。關(guān)鍵管理人員，是指有權(quán)力并負(fù)責(zé)計(jì)劃、指揮和控制企業(yè)活動(dòng)的人員。與主要投資者個(gè)人或關(guān)鍵管理人員關(guān)系密切的家庭成員，是指在處理與企業(yè)的交易時(shí)可能影響該個(gè)人或受該個(gè)人影響的家庭成員。（十）該企業(yè)主要投資者個(gè)人、關(guān)鍵管理人員或與其關(guān)系密切的家庭成員控制、共同控制或施加重大影響的其他企業(yè)。Practitioners Notes/提示This document request list is adapted for privately-owned l

14、imited companies in the PRC. However, appropriate revisions should be made for each target company.本盡職調(diào)查文件清單適用于中國的私營有限責(zé)任公司。但是，針對每一個(gè)目標(biāo)公司進(jìn)行調(diào)查時(shí)應(yīng)當(dāng)對清單做出適當(dāng)?shù)恼{(diào)整。For example, it should not be used without substantial revisions for state-owned companies, agricultural enterprises, listed companies or companies

15、 that issue securities.如，本清單在未進(jìn)行必要改動(dòng)之前不應(yīng)適用于國有企業(yè)、農(nóng)業(yè)生產(chǎn)企業(yè)、上市公司或發(fā)行其他證券產(chǎn)品的公司。PLEASE PROVIDE THE FOLLOWING:請?zhí)峁┫铝形募? Basic Information1 基本信息Provided/已提供Practitioners Notes/提示Give an introduction to the Company.公司介紹1.1 Current business license, showing latest annual inspection1.1 最新的營業(yè)執(zhí)照（正副本），顯示最近一次的年檢記錄信息1

16、.2 If the Company is part of a group, the shareholding structure of such group in a chart showing all important relationships and connections between the group companies (including holding of shares in trust), as well as each companys country of incorporation1.2 如果公司為集團(tuán)的一部分，集團(tuán)的股權(quán)結(jié)構(gòu)圖，說明集團(tuán)組成公司之間的重要關(guān)系（

17、包括信托持股關(guān)系），以及每個(gè)公司的成立地1.3 Internal organization chart and other information showing departments and authority of officers1.3 內(nèi)部組織結(jié)構(gòu)圖以及其他信息，說明公司內(nèi)部部門組成以及部門主管的權(quán)力和職責(zé)1.4 A list of cities and countries where the Companys assets (tangible and intangible) and employees are located1.4 公司資產(chǎn)（有形和無形）以及員工所在城市和國家列表1

18、.5 List of current directors, supervisors and senior officers of the Company and their letters of appointment1.5 公司目前的董事、監(jiān)事以及高級(jí)管理人員名單以及其任命函1.6 Authorizations given by the board or by directors to specially-appointed agents to deal with some particular matter1.6 董事會(huì)或董事授權(quán)特別指定代理人處理某項(xiàng)特殊事務(wù)的授權(quán)書1.7 Reports

19、 recently prepared by the Company regarding business and important matters facing the Company1.7 公司最近有關(guān)業(yè)務(wù)及重要事項(xiàng)的報(bào)告2 Historical Changes2 歷史變更Provided/已提供Practitioners Notes/提示Show that the Company was duly established and lawfully exists.表明公司依法成立并合法存續(xù)。Highlight major historical changes to the Company.

20、突出公司的重要?dú)v史變更。2.1 Prior to the establishment of the Company:2.1 公司成立以前：(1) resolutions & minutes of meeting of promoters(1) 發(fā)起人會(huì)議的決議和會(huì)議記錄(2) agreements entered into by the promoters(2) 發(fā)起人之間達(dá)成的協(xié)議2.2 At the Companys establishment or during major change to the Company:2.2 公司成立期間或公司進(jìn)行重大變更期間：(1) feasi

21、bility study reports, project proposals and other applications submitted to government authorities for the purpose of approving the intended business activities of the Company(1) 為取得公司擬開辦業(yè)務(wù)有關(guān)批準(zhǔn)而提交予政府部門的可行性研究報(bào)告、項(xiàng)目建議書或其他申請文件(2) official documents from or to government authorities relating to the above

22、, including if applicable approvals from government regulators for certain industries or classes of companies (such as approval from MIIT for telecommunications companies, or for a project encouraged by the state, a certificate to that effect)(2) 與上述有關(guān)的政府部門復(fù)函或給政府部門的函件，包括相關(guān)行業(yè)主管部門或相應(yīng)級(jí)別的主管部門的批準(zhǔn)（如工業(yè)和信息化

23、部對電訊公司的批準(zhǔn)，或國家對鼓勵(lì)項(xiàng)目的批準(zhǔn)等等）(3) SASAC approval if state-owned assets are involved(3) 如涉及國有資產(chǎn)，國有資產(chǎn)監(jiān)督管理部門的批準(zhǔn)文件2.3 Since the establishment of the Company until the present2.3 公司自成立至今(1) business licenses, including any amendments and showing all annual inspection passed(1) 營業(yè)執(zhí)照，包括變更的營業(yè)執(zhí)照和所有年檢紀(jì)錄(2) amendmen

24、ts to information registered with AIC(2) 工商局的變更登記證明(3) AOA, including any amendments(3) 章程，包括所有章程修正案(4) JV contracts (if applicable), including any amendments(4) 合資合同（如適用），包括任何合資合同的修訂或補(bǔ)充(5) capital verification reports; asset appraisal reports for in-kind contributions (5) 驗(yàn)資報(bào)告；以非現(xiàn)金出資的資產(chǎn)評估報(bào)告(6) MOFC

25、OM approvals for FIE establishment, including any amendments and showing all annual inspection passed(6) 商務(wù)部門批準(zhǔn)外商投資企業(yè)成立的批準(zhǔn)，包括任何變更或年檢記錄(7) organizational code certificates, including any amendments and showing all annual inspection passed(7) 組織機(jī)構(gòu)代碼證，包括任何變更和年檢記錄2.4 For all changes to the AIC registere

26、d information (such as amendment of AOA, amendment of JV contracts, increase of capital, change of directors, change of business scope, acquisition, merger, divestiture, restructuring, etc.)2.4 工商變更登記信息（如章程修改、合資合同修改，增資，變更董事、經(jīng)營范圍變更、收購、吸收、合并、分立、重組等等）(1) shareholder and board resolutions of the Company

27、(1) 公司股東會(huì)及董事會(huì)決議(2) contracts relating to such change or transaction(2) 該等變更或交易的相關(guān)合同(3) shareholder and board resolutions of other parties to such transaction(3) 交易相對方的股東會(huì)決議和董事會(huì)決議3 Shareholders3 股東Provided/已提供Practitioners Notes/提示Allow a potential investor to assess other shareholders and their pote

28、ntial impact on the value or activities of the Company.使?jié)撛谕顿Y者能夠?qū)ζ渌蓶|情況以及他們可能對公司的價(jià)值或行動(dòng)造成的影響進(jìn)行評估。3.1 General information regarding the shareholders (including whether any are state-owned enterprises or FIE) and historical dealings / interactions among them3.1 股東的基本信息（包括是否國有企業(yè)或中外投資企業(yè)）以及股東之間的關(guān)系3.2 Busin

29、ess license or personal identification card of shareholders3.2 營業(yè)執(zhí)照或個(gè)人身份證明3.3 Any agreements among some or all shareholders regarding the Company3.3 部分或全部股東關(guān)于公司的任何合同、協(xié)議4 Financing4 融資Provided/已提供Practitioners Notes/提示Provide information on the extent of the Companys debt obligations (including guara

30、ntees of debts).提供有關(guān)公司的債務(wù)信息（包括所提供的擔(dān)保）。Assess whether such debts are in compliance with the law, such as foreign exchange laws.評估該等債務(wù)是否合法，比如是否符合有關(guān)外匯管理的法律。Discover anything that may cause default on the debts.發(fā)現(xiàn)有可能造成債務(wù)履行違約的其他情況。4.1 SAFE official documents, such as foreign exchange registration certifi

31、cate, foreign debt registration certificate and foreign debt repayment approvals, including any amendments and showing all annual inspection passed4.1 外匯管理部門文件，如外匯登記證，外債登記證和外債償還核準(zhǔn)，包括任何變更和年檢記錄4.2 MOF official documents, such as the financial registration certificate, including any amendments and show

32、ing all annual inspection passed4.2 財(cái)政部門文件，如財(cái)政登記證，包括任何變更和年檢記錄4.3 Contracts relating to all debt, financing or guarantees, including those relating to security interests (mortgages, pledges, liens, etc.) and credit facilities 4.3 所有與借款、融資或保證有關(guān)的合同，包括與擔(dān)保權(quán)益有關(guān)的合同（抵押、質(zhì)押、留置等）和信用貸款合同4.4 Information and docu

33、ments relating to the performance of the above contracts, including:4.4 有關(guān)前述合同履行情況的信息和文件，包括：(1) whether all reporting and registration requirements have been complied with(1) 是否全部報(bào)告及登記要求均已得到遵守(2) whether all material covenants including financial covenants/ratios have been complied with(2) 是否全部重大承諾包

34、括財(cái)務(wù)承諾/比率均已得到遵守(3) whether any event of default has occurred(3) 是否發(fā)生任何違約行為(4) whether any notice or demand has been served on the Company in relation to default or non-compliance with any of the provisions of loan or security documentation(4) 與違反或未遵守貸款或擔(dān)保文件的任何規(guī)定相關(guān)的任何通知或要求是否已送達(dá)公司(5) any further action

35、 taken by lenders to enforce any security interests (e.g. appointment of receivers, commencement of winding up proceedings etc.)(5) 貸款人為強(qiáng)制執(zhí)行任何擔(dān)保權(quán)益采取的任何進(jìn)一步行動(dòng)（如指定接管人、開始清算程序等）4.5 Receipts or documents from the bank showing payments made on debt4.5 銀行關(guān)于收到還款的收據(jù)或其他文件4.6 Information and documents relating

36、to bank accounts (of all types) of the Company4.6 銀行賬戶（所有類型）的信息和文件4.7 Information and documents relating to other financial arrangement other than banking loan with the Company, including cash advances, financial lease, deferred payment arrangements, sale and leaseback, swaps, hedges and similar ris

37、k management arrangements, debentures, bonds, notes or similar debt instrument issued by the Company4.7 除銀行貸款以外公司的其他融資安排的相關(guān)信息和文件，包括現(xiàn)金預(yù)付款、融資租賃、延期付款安排、售后回租、掉期交易、套頭交易及類似的風(fēng)險(xiǎn)管理安排、公司發(fā)行的債券、公債、票據(jù)或類似債務(wù)文件4.8 Potential factors that may cause the Company to default on its debts or other payables4.8 可能導(dǎo)致公司違反還款義務(wù)

38、和償還其他應(yīng)付款義務(wù)的潛在因素4.9 Audited annual financial reports for recent years, semi-annual reports and quarterly financial reports for year-to-date4.9 近三年度的年度審計(jì)報(bào)告、半年度報(bào)告和季度報(bào)告4.10 Current and future financial plans and budgets4.10 目前和將來的融資計(jì)劃和預(yù)算5 Investments, Loans and Security Interests5 投資、貸款和擔(dān)保權(quán)益Provided/已提供

39、Practitioners Notes/提示Provide information on the equity and debt relationships between the Company and its affiliates.提供有關(guān)公司與其關(guān)聯(lián)方之間的股權(quán)及債權(quán)關(guān)系信息。Assess whether such investments, loans and security interests are in compliance with the law.評估該等投資、貸款和擔(dān)保權(quán)益是否合法。Assess the value and risk of such investments,

40、 loans and security interests.評估該等投資、貸款和擔(dān)保權(quán)益的價(jià)值和風(fēng)險(xiǎn)。5.1 Information on shares of other companies owned by the Company, including:5.1 公司擁有的其他公司股權(quán)的信息，包括(1) share certificates(1) 股權(quán)證(2) AIC registration of the subsidiary showing the Company as a shareholder(2) 證明公司是該等公司股東的工商登記證明(3) contracts entered int

41、o in relation to the purchase or establishment of such companies, such as share purchase agreement or JV contract(3) 購買或成立該等公司的相關(guān)合同，如股權(quán)轉(zhuǎn)讓協(xié)議或合資合同(4) shareholder and board resolutions relating to the purchase or establishment of such companies(4) 與購買或成立該等公司有關(guān)的股東會(huì)或董事會(huì)決議(5) documents indicating any pled

42、ge on the shares(5) 股權(quán)質(zhì)押的文件(6) if any government approval is required for the Company to hold such shares (such as an offshore investment), the relevant approval(6) 政府部門關(guān)于公司擁有該等公司股權(quán)的批準(zhǔn)文件（如境外投資）5.2 Information on debts owing to the Company (directly or indirectly), including:5.2 他人欠付公司債務(wù)（直接或間接）的相關(guān)信息，

43、包括：(1) contracts with the Company as the lender, including those relating to mortgages and security interests(1) 公司作為出借人的合同，包括與抵押和其他擔(dān)保權(quán)益有關(guān)的合同(2) shareholder and board resolutions relating to provision of such loans(2) 股東會(huì)或董事會(huì)關(guān)于批準(zhǔn)該等借款的決議(3) receipts or documents from the bank showing payments made on

44、 such loans(3) 銀行出具的關(guān)于償還該等貸款的收據(jù)或文件(4) anything that may indicate the debt is difficult to collect(4) 任何顯示債務(wù)難以收回的文件或信息(5) contracts relating to a security interest in favor of a third party on debt owing to the Company(5) 公司為出借人，而擔(dān)保權(quán)益受益人為第三方的相關(guān)合同5.3 Information on security interests owned by the Comp

45、any (e.g. mortgages, pledges, liens, etc.), including:5.3 公司享有的擔(dān)保權(quán)益信息（如抵押、質(zhì)押、留置等）(1) contracts(1) 合同(2) registration documents from government authorities(2) 政府部門的登記文件(3) documents indicating the seniority of such security interests(3) 顯示擔(dān)保權(quán)益優(yōu)先順序的文件(4) information on the value of the underlying coll

46、ateral(4) 押品價(jià)值的信息6 Tax6 稅務(wù)Provided/已提供Practitioners Notes/提示Assess whether the Company has any outstanding tax obligations.評估公司是否存在任何未履行的賦稅義務(wù)。Assess whether the Company is in compliance with tax regulations.評估公司是否按照相關(guān)稅法的規(guī)定行事。6.1 Official documents from or to the state tax authority, local tax author

47、ity and customs of recent years, including:6.1 近三年的國家稅務(wù)局、地方稅務(wù)局或海關(guān)的文件，以及公司向該等部門發(fā)出的函件，包括：(1) state and local tax registration certificate, including any amendments and showing all annual inspection passed(1) 國家和地方稅務(wù)登記證，包括任何變更和年檢記錄(2) tax filings provided to and payment verification issued by all tax a

48、uthorities, including for income tax, value-added tax, business tax, etc.(2) 納稅申報(bào)表以及稅務(wù)部門出具的納稅證明，包括所得稅，增值稅，營業(yè)稅等(3) approval letters regarding exemptions, preferential treatment, tax holidays, etc.(3) 關(guān)于稅收豁免、稅收優(yōu)惠、免稅期等的政府文件(4) those relating to expected, ongoing or recent audits, investigations or duty

49、 disputes (include any statements from the Company)(4) 與預(yù)期的、正在進(jìn)行的和近三年的稅務(wù)審計(jì)、調(diào)查或稅收爭議的文件（包括公司的任何陳述）(5) levy and exemption certificate for import / export(5) 進(jìn)出口貨物征免稅證明6.2 A statement of taxes currently payable and its calculation6.2 最近的應(yīng)付稅款或其計(jì)算方法的說明7 Employment7 雇員Provided/已提供Practitioners Notes/提示Give

50、 information on the Companys human resources system.提供有關(guān)公司人力資源系統(tǒng)的信息。Assess the risk of non-compliance with employment, immigration or social insurance laws.評估公司是否存在未符合相關(guān)勞動(dòng)法、移民法或社會(huì)保險(xiǎn)法的風(fēng)險(xiǎn)。7.1 Information regarding the human resources of the Company7.1 公司人力資源的信息(1) total number of personnel in each dep

51、artment or grade (management, labor, etc.)(1) 各部門各級(jí)別的人員總數(shù)（包括管理層、員工等）(2) employees handbook and other internal rules & regulations, including a description of how they are formulated, revised and publicized(2) 員工手冊和其他內(nèi)部規(guī)章制度，包括對這些規(guī)章制度是如何制定、修改和發(fā)布的描述(3) overtime policy, including whether the Company

52、 arranges for alternative rest periods or for overtime payment and whether such policy is adhered to(3) 加班政策，包括公司是否安排補(bǔ)休或支付加班費(fèi)以及這些政策是否得到遵守(4) actual numbers of overtime hours worked by each employee(4) 每個(gè)員工的實(shí)際加班時(shí)間(5) stock options for employees and other benefits(5) 員工股票期權(quán)計(jì)劃和其他福利7.2 Relevant contract

53、s, such as:7.2 相關(guān)合同，如：(1) Employment contracts and contracts for training, confidentiality, non-disclosure and non-competition between the Company and senior management and key technical personnel(1) 高級(jí)管理人員和關(guān)鍵技術(shù)人員的勞動(dòng)合同培訓(xùn)合同、保密協(xié)議、非競爭協(xié)議(2) Employment form contract(s) used by the Company, including full

54、-time, part-time and foreign employees(2) 公司采用的勞動(dòng)合同范本，包括全職、兼職和聘用外勞的合同(3) Form contracts for training, confidentiality, non-disclosure and non-competition(3) 培訓(xùn)合同、保密協(xié)議、非競爭協(xié)議范本(4) Form contracts with independent contractors, such as interns and retirees(4) 勞務(wù)合同范本，如實(shí)習(xí)生和退休人員(5) Labor dispatch agreement

55、and service outsourcing agreement(5) 勞務(wù)派遣協(xié)議及勞務(wù)外包協(xié)議7.3 Work permits and residence permits for foreign employees7.3 外籍員工的工作許可證和居留證7.4 Documents relating to social insurance and housing fund compliance:7.4 社會(huì)保險(xiǎn)文件和住房公積金文件(1) social insurance registration certificate and housing fund account establishmen

56、t certificate(1) 社會(huì)保險(xiǎn)登記證和住房公積金開戶證明(2) proof that the Company has fully paid social insurance and housing fund for all its employees(2) 公司已為其全部員工足額繳付社會(huì)保險(xiǎn)費(fèi)和住房公積金的證明(3) proof of payment for unions and workplace health compensation(3) 支付工會(huì)費(fèi)和職業(yè)健康補(bǔ)償?shù)淖C明7.5 Proof of employees income tax withholding during the last 3 months7.5 最近三個(gè)月代扣員工個(gè)人所得稅的證明7.6 Information and documents relating to labor unions that the Companys workers belong to7.6 公司員工所屬工會(huì)的信息和文件7.7 Information and documents relating to any potential, ongoing or recent employment / labor disputes7.