尽职调查清单.doc

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1、文件信息文件名称尽职调查清单本章合并和收购本章编辑金杜律师事务所xx, 电邮：xx, 电话：xx文件内容本尽职调查清单适用于涉及中国私营有限公司的交易。如涉及国有企业、农产品企业、上市公司或发行证券的公司，本清单则必须在使用前做详尽的修订。本清单的中、英文版本在相同的文件中左右并列，以便读者参照。语言本文件原以英文草拟。中文翻译本由金杜律师事务所提供。更新声明请访问网站www.legals Ltd 和本章编辑虽然合理地谨慎从事，以确保本出版物准确和完整，但没有明示或暗示地陈述或保证本出版物没有任何错误或疏忽。本文件只是以本章编辑的经验为本，只应用于一般的参照，并与本服务中的其他相关文件结合使

2、用。任何时候，拟议任何法律协议均应寻求相关的详细专业意见。不应依赖本文件作为法律或其他专业意见的代替品。文件编号CN13-C版权 LegalS Ltd. 2000 2010 年版权所有。请阅询您的产品许可协议。Documentation Request List for Legal Due Diligence尽职调查文件清单Instructions 指引This Documents Request List (the “Request”) has been prepared for the purpose of conducting legal due diligence on X (the

3、“Company”).Subsidiaries of the Company with an independent legal person status are not included in the 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 include

4、d in the Request.Documents asked for implies copies of such documents, unless otherwise specified. For 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 document

5、s 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 expected to be available, or (iii) will be provided at a later date, please provide a

6、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 本尽职调查文件清单（“清单” ）是为对【X 】 （“公司” ）进行法律尽职调查而准备。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，我们将为子公司准备单独的尽职调查文件清单

7、。对公司不具有独立法人资格的分支机构应提供文件的相关要求已包含于本清单中。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准的文件均应提供。对于以下每一项，如果所有相关文件均已提供，请在右侧方框中打勾表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。如果在交易结束前，发生了任何事件或您获得任何额外的信息，且该等事- 3 -response to the Request, plea

8、se inform us immediately.“Official documents” refers to approvals, certificates, licenses, contracts, formal applications, etc.A government authority includes its local or subordinate organs.“Recent” or “recent years” means the past X years, unless otherwise specified.“Material amount” refers to X.“

9、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 Company;4) The investors having joint control over the Company;5) The investors having significant influence on the Company;6) The joint v

10、entures of the Company;7) The associated companies of the Company;8) The principal individual investors and the close family members of such individuals. “Principal individual investors” refers to an individual investor who can control or jointly control a company, or has significant influence on a

11、company;件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。“官方文件”指批准、证书、许可、合同、正式申请等。政府部门包括其地方派出机构或下属机构。“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。（九）公司或

12、其母公司的关键管理人员及与其关系密切的家庭成员。关键管理人员，是指有权力并负责计划、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能影响该个人或受该个人影响的家庭成员。- 4 -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 and responsibility for planning

13、, 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.10) Other companies which are c

14、ontrolled 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 influence .（十）该企业主要投资者个人、关键管理人员或与

15、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。Practitioners Notes/提示This document request list is adapted for privately-owned limited companies in the PRC. However, appropriate revisions should be made for each target company.本尽职调查文件清单适用于中国的私营有限责任公司。但是，针对每一个目标公司进行调查时应当对清单做出适当的调整。For example, it should not be used w

16、ithout substantial revisions for state-owned companies, agricultural enterprises, listed companies or companies that issue securities.如，本清单在未进行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。- 5 -PLEASE PROVIDE THE FOLLOWING:请提供下列文件1 Basic Information 1 基本信息 Provided/已提供Practitioners Notes/提示Give an introdu

17、ction to the Company.公司介绍1.1 Current business license, showing latest annual inspection 1.1 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 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 (includin

18、g holding of shares in trust), as well as each companys country of incorporation1.2 如果公司为集团的一部分，集团的股权结构图，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1.3 Internal organization chart and other information showing departments and authority of officers1.3 内部组织结构图以及其他信息，说明公司内部部门组成以及部门主管的权力和职责1.4 A list of citie

19、s and countries where the Companys assets (tangible and intangible) and employees are located1.4 公司资产（有形和无形）以及员工所在城市和国家列表 1.5 List of current directors, supervisors and senior officers of the Company and their letters of appointment1.5 公司目前的董事、监事以及高级管理人员名单以及其任命函- 6 -1.6 Authorizations given by the b

20、oard or by directors to specially-appointed agents to deal with some particular matter1.6 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权书1.7 Reports recently prepared by the Company regarding business and important matters facing the Company1.7 公司最近有关业务及重要事项的报告 2 Historical Changes 2 历史变更 Provided/已提供Practitioners Note

21、s/提示Show that the Company was duly established and lawfully exists.表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。2.1 Prior to the establishment of the Company: 2.1 公司成立以前： (1) resolutions asset appraisal reports for in-kind contributions (5) 验资报告；以非现金出资的资产评估报告 (6) MOFCO

22、M approvals for FIE establishment, including any amendments and showing all annual inspection passed(6) 商务部门批准外商投资企业成立的批准，包括任何变更或年检记录(7) organizational code certificates, including any amendments and showing all annual inspection passed(7) 组织机构代码证，包括任何变更和年检记录 - 8 -2.4 For all changes to the AIC regi

23、stered 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 工商变更登记信息（如章程修改、合资合同修改，增资，变更董事、经营范围变更、收购、吸收、合并、分立、重组等等）(1) shareholder and board resolutions of the Co

24、mpany (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 such transaction(3) 交易相对方的股东会决议和董事会决议 3 Shareholders 3 股东 Provided/已提供Practitioners Notes/提示Allow a potential investor to assess other shareholders an

25、d 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行评估。3.1 General information regarding the shareholders (including whether any are state-owned enterprises or FIE) and historical dealings / interactions among them3.1 股东的基本信息（包括是否国有企业或中外投资企业）以及股东之间

26、的关系3.2 Business license or personal identification card of shareholders 3.2 营业执照或个人身份证明 - 9 -3.3 Any agreements among some or all shareholders regarding the Company3.3 部分或全部股东关于公司的任何合同、协议 4 Financing 4 融资 Provided/已提供Practitioners Notes/提示Provide information on the extent of the Companys debt obliga

27、tions (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，比如是否符合有关外汇管理的法律。Discover 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。4.1 SAFE official documents, such as foreign exchan

28、ge registration certificate, foreign debt registration certificate and foreign debt repayment approvals, including any amendments and showing all annual inspection passed4.1 外汇管理部门文件，如外汇登记证，外债登记证和外债偿还核准，包括任何变更和年检记录4.2 MOF official documents, such as the financial registration certificate, including

29、any amendments and showing all annual 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 - 10 -inspection passed4.3 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

30、信用贷款合同4.4 Information and documents relating to the performance of the above contracts, including:4.4 有关前述合同履行情况的信息和文件，包括： (1) whether all reporting and registration requirements have been complied with(1) 是否全部报告及登记要求均已得到遵守 (2) whether all material covenants including financial covenants/ratios have

31、 been complied with(2) 是否全部重大承诺包括财务承诺/ 比率均已得到遵守 (3) whether any event of default has occurred (3) 是否发生任何违约行为 (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) 与违反或未遵守贷款或担保文件的任何规定相关的

32、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 interests (e.g. appointment of receivers, commencement of winding up proceedings etc.)(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（如指定接管人、开始清算程序等）4.5 Receipts or documents from the bank showing payments made on debt4.5 银行关于收到还款的收据或其他文件 4.6 Information and documents relating to bank accounts (of all types) of the Company4.6 银行账户（所有类型）的信息和文件