Due Diligence Checklist_Chinese-English for venture capital.docx

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1、1. Company InformationPlease provide all of the followings, if applicable: 1.1 Company FormationCertificate of Approval (initial copy and all of its amendment)中华人民共和国外商投资企业批准证书Business License (initial copy and all of its amendment)营业执照Articles of Association and bylaws (initial copy and all of its

2、amendment)章程Capital Verification Report(s) issued by PRC CPA中国注册会计师出具的验资报告Approval(s) ever issued by Approval Authority in respect of establishment of the Company, its Feasibility Study Report, Articles of Association (initial copy and all amendments)审批机关曾就公司之设立、其可行性研究报告、章程（包括其所有变更）签发的批复All other go

3、vernmental approval, license or permission documents in respect of the establishment and business activities of the Company有关公司设立及业务经营的其它所有政府批准、执照或许可文件The full names, nationalities or legitimate domiciles the directors, senior management staff (including the general manager, deputy general manager a

4、nd financial controller) and the related letters of appointment and/or the board resolutions公司董事、高级管理人员（包括总经理、副总经理和财务总监）之名称、国籍和法定住所、及相关委任书和/或董事会决议Details of the Companys investors (shareholders):公司投资者（股东）详情:Business License, or the equivalent such as certificate of incorporation or business registra

5、tion certificate营业执照，或相同性质之文件、如设立证明或商业登记证Corporate authorizations or resolutions on execution of the constitutive documents of the Company有关签署公司基本文件的授权和决议Agreements on increase or decrease of the registered capital or total investment of the Company and related documents (if any)有关增加或减少公司注册资本或投资总额的协

6、议和相关文件(如有)Agreements on sales or purchase of equity interest in the Company and related documents (if any)有关出售或收购公司股权的协议和相关文件(如有)Details of the charge established on equity interest in the Company (if any), and related documents such as the deed of charge, the resolution adopted by the Companys boar

7、d of directors approving such charge, and the governmental approvals or registration documents有关部门设定于公司股权之质押（如有）的详情，及相关文件如质押协议、公司董事会批准该质押的决议、及政府批准及登记文件Details of the Companys subsidiaries, branches, representative offices, liaison offices, distribution centers, research centers and associated compan

8、ies or enterprises (if any):公司之子公司、分公司、联络处、办事处、销售中心、研发中心及关联公司或企业（如有）的详情:Please provide all the governmental registration documents and certificates in relation to establishment and business operation of the Company, including:所有关于公司设立及业务运作的政府登记文件及证明，包括: 1.2 Company RegistrationTax Registration Certi

9、ficate issued by state tax authority国家税务局签发之税务登记证Tax Registration Certificate issued by local tax authority地方税务局签发之税务登记证Foreign Exchange Registration Certificate issued by SAFE外管局签发之外汇登记证；Organization and Institution Code Certificate issued by Quality Supervision Authority质监局签发之组织机构代码证Registration C

10、ertificate for Self-declaration Units issued by Customs (if any)海关签发之自理报关单位注册登记证明书（如有）Finance Registration Certificate issued by local finance authority地方财政部门签发之财政登记证Statistics Registration Certificate issued by local statistic authority地方统计部门签发之统计登记证Social Insurance Registration Certificate issued

11、by Labor Authority劳动部门签发之社会保险登记证Other governmental registration documents or certificates as may be required by relevant laws or regulation法律法规可能要求之其他登记文件及证明Please provide the followings: 1.3 Company DescriptionDetailed organization chart including duties and responsibilities of each department as w

12、ell as the biographies of each department head. 请提供公司正式的组织架构图，部门设置，主要业务部门的职责描述及人力资源的配置，个部门管理人员的背景资料Detailed marketing materials for Company introduction of its products and services as well as Companys goals and objectives, and corporate and business strategies.请提供公司对外的正式的公司介绍资料包括企业经营宗旨、企业愿景、企业发展战略规

13、划/构想等等Detailed materials for milestones accomplished to date as well as supporting documentations.请提供公司发展沿革资料及相关证明文件Materials related to corporate governance and internal control.公司治理情况，内部管理制度 1.4 Management & ControlMaterials related administration and human resource decisions and policies公司行政、人事、招

14、聘制度Please provide the following, if applicable.Product & ServicesDetailed descriptions for current products and services including descriptions of the intended customers and price charged.请提供公司现有产品/服务项目的介绍资料，包括名称、介绍、服务对象、价格 2.1 DescriptionsDetailed analyses of products and services market and financ

15、ial performances including descriptions of the competitive advantages.请说明公司现有产品/服务的优势、特点以及经营成绩 2.2 Competitiveness & PerformanceDetailed description of products and services in development and the intended time to go to market, if applicable.请提供公司正在开发的产品/服务项目的介绍资料，以及预计推出时间（如有） 2.3 New developmentsPl

16、ease provide the following, if applicable.Market AnalysisCurrent overall market size for the Companys products/services and the market size breakdown for different segments. Please indicate the source of this information.请说明公司目前经营产品/服务的市场规模、市场结构与划分并请注明资料的出处或来源 3.1 Market Size & SegmentsCurrent marke

17、t trends and opportunities including developments and innovations in different segments and the recent-year growth rates in different segments. Identify and analyze the performances major competitors from different segments. Please indicate the source of this information.请说明目前公司产品市场状况，市场发展情况。对于目前市场上

18、主要竞争者的优势以及经营情况分析。请注明相关的数据、信息来源 3.2 Market & Segment AnalysisDescriptions of Companys opportunities in current market; Qualitative analyses and forecasts of Companys products/services performances in the near future.请对公司产品/服务市场趋势和市场机会进行预测说明 3.3 Market ForecastPlease provide the following, if applicab

19、le.Customers & SalesDescriptions of the Companys sales & marketing policies.请说明公司的营销及销售政策 4.1 PolicyAnalyses of Companys top 10 customers:前10大客户分析 4.2 Customer analysisName, industry, location of business and annual sales客户名称，行业，地点，年总收入Method to obtain initial contact and sign contract项目来源Annual and

20、 cumulative sales from customer本年销售总额，累计销售总额Gross Margin by customers客户销售利润Current outstanding contract value, and time to completion未完成合同金额，合同结束时间Sales forecast for the next 3 years and analyses/supporting evidence which validate the forecast.未来3年的销售目标以及对达到目标的可能性说明 4.3 Sales targetPlease provide th

21、e following, if applicable.Finance & InvestmentDetailed financial structure including key terms and conditions in the Companys agreements with stockholders and creditors.请说明公司目前的资本结构，以及与股权、债权投资人的主要条款和条件 5.1 Financial StructureDetails and, where possible, title certificates (or other documents relati

22、ng to ownership) of all of the significant properties owned, leased, or licensed to used by the Company.公司拥有、租赁或被许可使用的所有财产的详情，及其权属证明（或与权属相关的其他文件（如有可能，） 5.2 Assets & LiabilitiesDetails and, where possible, relating documents in respect of the Companys holding of shares, bonds, notes of, or other inve

23、stments in, other companies.公司持有的其他公司的股份、债券、票据或其它投资的详情，及相关文件（如有可能）Details of any insurance or security arrangement established on the properties as referred to in 5.2 above, and where possible, relevant documents.设置于上述第5.2所述财产的保险及担保安排及相关文件Loan agreements for all outstanding loans and security arrang

24、ements, such as mortgage, pledge or guarantee, provided by the Company or any third party for such loan facilities.尚未清偿贷款的贷款协议以及，有关公司或任何第三方为贷款提供之担保（如抵押、质押或保证）之协议及相关文件Details of uses and repayment plans for outstanding loans.贷款使用及偿还安排情况Current fundraising target and usage schedule.公司资金需求与使用计划 5.3 Cur

25、rent FundraisingIntended method of investment including terms and conditions公司需求的投资形式贷款 / 利率 / 利率支付条件 / 转股 - 普通股、优先股、任股权 / 对应价格等Availability of collateral and/or guarantor公司是否有投资抵押品或者担保人 Intended financial structure after this round of fundraising.请说明公司吸纳投资后资本结构5.4 Financial StatusAudited financial statements, if available as well as accounting policy审计后财务报表，公司主要会计政策