在华进行房地产并购的尽职调查文件清单上课讲义.doc

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1、Good is good, but better carries it.精益求精，善益求善。在华进行房地产并购的尽职调查文件清单-DueDiligenceChecklistforRealEstateAcquisitioninChinafromAPrivate-ownedOnshoreProjectCompany(“OnshoreProjectCompany”)在华进行房地产并购的尽职调查文件清单由一家境内私营项目公司（下称“境内项目公司”）所拥有DOCUMENT/ACTION文件/行动RESPONSIBLEPARTY责任方STATUS/COMMENTS/DOCUMENTSREVIEWED状态/

2、备注I.REALESTATE/房地产1.1RealEstateAssets/房地产资产1.1.1RealEstateOwnershipRights房地产所有权aCopyofLandUseRightsGrantContractsignedwiththelocalrealestateadministrationbureau(“RealEstateBureau”)orLandUseRightsTransferContractsignedwiththeoriginallanduserightsholder与当地房屋土地管理局（下称“房地局”）签定的土地使用权出让合同或与原土地使用权人签定的土地使用权转

3、让合同复印件bCopyoftheevidencesofpaymentoflandpremium,suchasinvoicesand/orreceiptsissuedbythelocalrealestatebureau土地出让金付款凭证，例如当地房地局发出的，表明国有土地使用权出让金已支付的凭证，例如发票和/或收据的复印件cCopyofthelanddeedtaxreceiptissuedbyrelevanttaxauthority有关税务部门发出的土地契税的纳税收据复印件dCopyoftheredlinedrawingsofthepropertyland物业土地的红线图复印件eCopyofth

4、eRealEstateTitleCertificateinthenameofOnshoreProjectCompanyissuedbythelocalrealestatebureau境内项目公司名下的由当地房地局颁发的房地产权证1.1.2CopyoftheConstructionWorkCompletionandInspectionFilingCertificateissuedbythelocalconstructionadministrationauthority当地建设主管部门发放的建设工程竣工验收备案证明复印件1.1.3Copyofcontractsanddocumentsinrelat

5、iontotransferorleaseoflanduserightsand/orbuildingsandevidenceofpayments买卖或租赁土地使用权和/或房屋的合同或文件及上述买卖或租赁价款的付款收据的复印件1.1.4CopyofallotherrelevantdocumentsandreportspertainingtolanduserightsforlandusedbyOnshoreProjectCompany其他所有与境内项目公司使用的土地的土地使用权有关的文件和报告的复印件1.1.5CopyofPre-sale/SalePermits预售/销售许可证复印件1.1.6Cop

6、yofPre-sale/SaleContracts预售/销售合同复印件1.1.7CopyofevidenceofpaymentsunderPre-sale/SaleContracts预售/销售合同的付款收据复印件1.1.8RentRoll租金帐册1.1.9CopyofPre-lease/LeasePermits预租/租赁许可证复印件1.1.10CopyofPre-lease/LeaseContracts预租/租赁合同复印件1.1.11CopyofevidenceofpaymentsunderPre-lease/LeaseContracts预租/租赁合同的付款收据复印件1.1.12Copyofe

7、videnceofproperhandlingofdepositpayments恰当支付保证金的付款收据复印件1.1.13CopyofVerificationCertificateofDeterminationofRealPropertyManagementAreaissuedbythelocalrealestatebureau由当地房地管理部门颁发的划分物业管理区域核定单1.1.14CopyofPropertyManagementContract(s)物业管理合同复印件1.1.15Copyofevidenceofpaymentsunderpropertymanagementcontract(

8、s)物业管理合同的付款收据复印件1.1.16CopyofFacilityManagementContract(s)设施管理合同的复印件1.1.17CopyofevidenceofpaymentunderFacilityManagementContract(s)设施管理合同的付款收据复印件1.1.18Copyofevidenceofpaymentofutilities公共设施的付款收据复印件1.1.19Copyofinsurancepolicyinrespectoftheproperty物业相关保单的复印件1.1.20Copyofevidenceofpaymentundertheinsuranc

9、epolicy保单项下的付款收据复印件1.1.21Copyofapprovalfordivisionofthetitleoftheproperty(ifany)分割产权的批准文件的复印件（如有）1.1.22CopyofInspectionFilingCertificateforEnvironment,FirePreventionandPlanningissuedrespectivelybylocalenvironmental,firepreventionandurbanplanningauthorities由当地环保、消防和城市规划部门出具的环保、消防、规划竣工验收许可证复印件1.2Title

10、EncumbranceDocuments/阻碍权力行使的文件1.2.1Copyofanysearchresultofpublicrecordsrelatingtotheproperty,includingbutnotlimitedtosearchresultsrelatingtolandandbuildingtitles,transferandmortgagerecords,pledgeoftitlecertificates,andleaseregistrations(choppedbyrelevantrecord-keepingauthorities)任何关于物业的公共纪录查询结果的复印件，

11、包括但不限于，关于土地和房屋产权、转让和抵押，权利证件质押，及租赁登记(查询结果复印件由有关记录保存部门盖章)1.2.2Copiesofalldocumentspertainingtolien,pledges,mortgages,chargesandothersecurityinterestsonthepropertyoritstitlecertificates所有就物业或其权利文件设定的留置、质押、抵押以及其他担保利益的文件的复印件1.2.3Copiesofallregistrationcertificatespertainingtomortgages,pledgesorothersecur

12、ityinterestsagainstpropertyoritstitlecertificates所有就物业或其权利文件设定的抵押、质押以及其他担保利益的登记证的复印件1.2.4Copiesofalldocumentspertainingtoalleasementsandcovenantsaffectingtheproperty,includingthoseaffectingthepropertybutbenefitingotherproperty,thoseimposedonotherpropertybutbenefitingtheproperty所有关于影响本物业的地役权及约定文件，包括影

13、响本物业但为其他物业带来利益的地役权和约定，及加之于其他物业之上，但为本物业带来利益的地役权和约定1.3Construction/建设工程1.3.1CopyoftheControllingPlanandControllingDetailedPlanineffectissuedbythelocalplanningbureaucoveringthelocationoftheproperty,andtheiradjustmentandmodificationthereafter当地规划局发布的涵盖物业所处位置的现行控制性规划和控制性详细规划，及其调整和修改的复印件1.3.2CopyoftheSite

14、SelectionOpinionissuedbythelocalplanningbureau由当地规划局颁发的项目选址意见书复印件1.3.3CopyofthePreliminaryDesignApprovalissuedbythelocalconstructioncommissionandthelocalgovernment由当地建设委员会和政府颁发的项目初步设计方案批准复印件1.3.4CopyoftheConstructionDetailedPlanissuedbythelocalplanningBureau由当地规划局颁发的修建性详细规划复印件1.3.5CopyofConstruction

15、LandPlanningPermitissuedbytheurbanplanningdepartment由城市规划部门颁发的建设用地规划许可证复印件1.3.6CopyoftheConstructionLandUseApprovalissuedbythelocalrealestatebureau由当地房地局颁发的建设用地批准书复印件1.3.7CopyoftheConstructionDrawingApprovalissuedbythelocalconstructioncommission由当地建设委员会颁发的施工图批准复印件1.3.8CopyoftheConstructionProjectPla

16、nningPermitissuedbythelocalplanningbureau由当地规划局颁发的建设工程规划许可证复印件1.3.9CopyoftheConstructionWorkPermitissuedbythelocalconstructioncommission由当地建设委员会颁发的施工许可证批准复印件1.3.10Copyofconstructioncontracts,designerscontractsandothercontractsandgovernmentapprovalsrelatingtotheconstructionanddevelopmentoftheproperty

17、andevidenceofpaymentthereof建筑合同、设计合同、与物业建设开发有关的合同及政府审批文件，及上述合同的付款收据的复印件1.3.11Copyofcontractsrelatingtosupervisionbybanksofproceedsfrompre-salesofproperty预售款银行监管协议复印件1.3.12Whereapplicable,dateoflastvaluation,nameofappraiserandvalueassessed(includingvalueofimprovements)如适用，上一次评估的时间、评估人和评估价值1.3.13Copyo

18、fthirdpartyreportscommissionedattimeofacquisition(e.g.,structural/engineering,environmental)在并购当时委托第三方出具的报告（例如结构/工程，环境等因素）的复印件1.3.14CopyofSurveyReportpreparedbyengineer工程师出具的勘查报告的复印件1.3.15Copyofotherproperty-relateddocuments(ifapplicable)其他与房地产有关的文件的复印件（如适用）acertificateforthepassingoffirepreventions

19、ysteminspection消防系统验收合格证明bcar-parkpermitsissuedbythetransportationauthoritiesinrespectofcar-parkzones交通管理部门为停车区颁发的停车许可证cpermitsissuedbythetechnicalsupervisoryauthoritiesregardingthesafetyoftheoperationofelevators技术监察部门出具的电梯安全运行许可证dpowersupplyagreementswiththeelectricitysupplyauthorities与供电部门签订的供电协议书

20、ecertificatesforpowersupplyfacilities供电设施合格证fapprovaldocumentsissuedbythegasauthoritiesandthewatersupplyauthorities供气部门、供水部门的批准文件gDetailsofservice,supplyormaintenancecontractsfortheproperty(e.g.,cleaning,gardening/landscaping,mechanical/hydraulic/electricalservices,etc.)物业的服务合同或维修合同（例如清洁，园艺/景观，机械服务等

21、）hDrawingsofthelocationsoftheconnectionsofroads,electricity,stormsewer,gas,waterandtelecommunicationstovariousrelevantpartsoftheproperty与物业各个有关部分相连接的道路、电力、排污落水、天然气、供水和电信接口的位置图II.ONSHOREPROJECTCOMPANY/境内项目公司2.1OrganizationandEstablishment/组织机构和设立2.1CompletecopyoftheoriginalEnterpriseLegalPersonBusine

22、ssLicense,andduplicateEnterpriseLegalPersonBusinessLicenseforOnshoreProjectCompany(includingallpagesandallannualinspectionchops)境内项目公司的企业法人营业执照正本、副本（包括所有页和年检章）的全套复印件2.2Financing/融资2.2.1LoansofOnshoreProjectCompany境内项目公司的贷款aCopiesofallloanagreements(includingoverdraftfacilitiesandtradecredits),includ

23、ingallattachments,towhichOnshoreProjectCompanyisorhasbeenalendingpartyoraborrowingparty,ortowhichOnshoreProjectCompanyisprovidingorhasprovidedanyguaranteeorcomfortletter,orassumedanyactualorpotentialliability境内项目公司是或已经是贷方或借方，或者提供或已经提供任何担保或安抚信，或者承担任何实际或潜在责任的所有借贷合同（包括透支手段以及贸易信贷）以及所有附件的复印件bDetailsofall

24、loantransactions(includingoverdraftfacilities,tradecredits,negotiableinstrumentsandpromissorynotes)towhichOnshoreProjectCompanyisorhasbeenalendingpartyoraborrowingparty,ortowhichOnshoreProjectCompanyisprovidingorhasprovidedanypromissorynoteorotherformofsecurity,guaranteeorcomfortletter,orassumedanya

25、ctualorpotentialliability境内项目公司是或已经是贷方或借方，或者提供或已经提供任何本票或其他形式的担保、保证或安抚信，或者承担任何实际或潜在责任的所有借贷交易（包括透支手段、商业信用、流通票据和本票）的明细cCopiesofotherfinancingandcreditagreements,including:其他财务和债权债务协议复印件，包括：(i)bondsorothercreditarrangements债券或其他债权协议(ii)debentures债务(iii)financeleases融资租赁(iv)guaranteecontracts,guaranteean

26、dothercreditenhancements(e.g.,lettersofcreditortradepayables)保证合同，保证或其它信用支持（例如，信用证，或应支付贸易款）(v)mortgagecontracts抵押合同(vi)pledgecontracts质押合同(vii)off-balancesheetarrangements(e.g.,foreignexchangeoptions,swapsandforwards)表外安排（例如，外汇期权，互换和期货）2.2.2Copiesofalldocumentsandregistrationcertificatespertainingto

27、liens,pledges,mortgages,chargesandothersecurityinterestsagainstanyassetsofOnshoreProjectCompany所有就境内项目公司资产设定的留置、质押、抵押以及其他担保利益的文件和登记证书的复印件2.2.3CopiesofallcontractsofindemnityenteredintointhenameofOnshoreProjectCompany所有以境内项目公司名义签订赔偿保证合同的复印件2.2.4CopyofallForeignDebtRegistrationCertificatesofOnshorePro

28、jectCompany境内项目公司所有外债登记证的复印件2.2.5CopyofapprovalsoftheStateAdministrationofForeignExchangeonanyOnshoreProjectCompanyborrowing国家外汇管理局批准境内项目公司任何借款的文件复印件2.3Disputes/Litigation/Investigation/争议/诉讼/调查2.3.1IfOnshoreProjectCompanyoranyofitsshareholdersisanypartytoanylitigation,arbitrationorotherdisputeresol

29、utionprocedureinrespectofwhichajudgmentorawardhasbeenmadeinthepreviousthree(3)financialyears,pleaseprovidecopiesofthejudgments/awardsandconfirmwhetherthereareanyoutstandingobligationsonthepartofOnshoreProjectCompanyoritsshareholders如果在近3个财政年度内有某项针对境内项目公司或其任何股东的判决、裁决或其他争议解决程序，则应提供该判决、裁决的复印件，并确认是否为境内项

30、目公司或其股东设定了重大义务2.3.2Fulldetailsofallactualorreasonablycontemplatedlitigation(civilorcriminal),arbitrationorotherdisputeresolutionprocedureinwhichOnshoreProjectCompanyisinanywayconcerned,includingbutnotlimitedto,informationwithrespecttothefollowing:有关境内项目公司的现实存在的或可合理预计的诉讼、仲裁或其他争议解决程序的信息，包括atheotherpar

31、tiestosuchlitigation此等诉讼的其他方bbriefdetailsofthedispute争议的简单介绍ctheapproximateamountofmoneyinvolved标的金额的数额dwhentheactionislikelytobebrought,heardorresolved;and诉讼等行为何时提出、审理或解决eanestimateofthecostorbenefittoOnshoreProjectCompany预计的境内项目公司的损失或收益2.3.3DetailsofanybreachofanyagreementbyOnshoreProjectCompanyan

32、d/oranyofitssubsidiarieswhichisliabletoresultinindebtednessbecomingpayableprematurelyorintheterminationofanyagreementwhichissignificanttothebusinessofOnshoreProjectCompany境内项目公司和/或其子公司对任何协议的任何违反的详细情况，该违反将导致债务提前到期或协议的解除从而对境内项目公司的业务产生重大影响2.3.4Copiesofanyconsentdecrees,prospectivejudgments,writs,orders

33、andinjunctions,andanymaterialsettlementagreementsandrelatedcorrespondencetowhichOnshoreProjectCompanyoranyofitsdirectorsorofficershavebeenorareapartyfromthedateofincorporationuntilthepresent,orwhicharethreatenedagainstanyofthem境内项目公司成立迄今，境内项目公司或任何其董事或管理人员作为或已经作为当事一方的，或有成为当事一方风险的任何调解书、将会生效的判决书、诉状、命令、

34、禁令以及任何重要的和解协议以及相关来往信函的复印件2.3.5CopiesoflitigationresponselettersprovidedbycounseltoOnshoreProjectCompanysindependentauditorsforthepastthree(3)years过去三(3)年来，法律顾问就诉讼事项提供给境内项目公司独立审计师的答复文书的复印件2.3.6Listofanyon-goingorpotentialregulatoryoradministrativecomplianceinvestigationsinitiatedbyrelevantauthorities,includingwithoutlimitationtothetax,administrationofindustryandcommerce,environmentalprotection,publicsecurity,doctor,laborandhumanresource,anddisciplinaryauthorities,againstOnshoreProjectCompany所有正在进行的或潜在的，由有关部门，包括但不限于由税务、工商行政管理、环保、公安、医生、劳动人事、纪检等部门针对境内项目公司的执法或行政调查的清单-