1、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 “Company”).Subsidiaries of the Company with an independent legal person status are not included in the Re
2、quest. 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. For ea
3、ch 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 been sat
4、isfied.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 event oc
5、curs 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。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
6、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, please inform us immediately.“Official documents” refers to approvals, certificates, licenses, contracts, for
7、mal 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.“Affiliate” refers to:1) The parent company of the Company;2) The subsidiaries of the Company;3) Other com
8、panies 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;8) The principal individual investors a
9、nd 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 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
10、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
11、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, directing and controlling the activities of the Company. The close family members of a principal indivi
12、dual 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 controlled or jointly controlled by the principal individual investors, or key managers, or the close fami
13、ly 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-o
14、wned 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 without substantial revisions for state-owned companies, agricultural enterprises, listed companies or com
15、panies 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 introduction 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）
16、，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 (including 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，
17、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 cities and countries where the Companys assets (tangible and intangible) and employees are located1.4 公司资产（有形和
18、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 board 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
19、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 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续。Highlight major historic
20、al 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) MOFCOM approvals for FIE establishment, including any amendments and showing all annual inspection passed(6) 商
21、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 registered information (such as amendment of AOA, amendment of JV contracts, increase of capital, change of d
22、irectors, 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 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) sharehold
23、er 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 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行评
24、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 agre
25、ements 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 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
26、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 exchange registration certificate, foreign debt registration certificate and foreign debt repayment approvals,
27、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 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
28、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
29、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 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
30、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
31、 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 -
32、 11 -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 risk management arrangements, debentures, bonds, notes or simila
33、r debt instrument issued by the Company4.7 除银行贷款以外公司的其他融资安排的相关信息和文件，包括现金预付款、融资租赁、延期付款安排、售后回租、掉期交易、套头交易及类似的风险管理安排、公司发行的债券、公债、票据或类似债务文件4.8 Potential factors that may cause the Company to default on its debts or other payables4.8 可能导致公司违反还款义务和偿还其他应付款义务的潜在因素4.9 Audited annual financial reports for recen
34、t years, semi-annual reports and quarterly financial reports for year-to-date4.9 近三年度的年度审计报告、半年度报告和季度报告 4.10 Current and future financial plans and budgets 4.10 目前和将来的融资计划和预算 5 Investments, Loans and Security Interests 5 投资、贷款和担保权益 Provided/已提供- 12 -Practitioners Notes/提示Provide information on the e
35、quity 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 security 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
36、。5.1 Information on shares of other companies owned by the Company, including:5.1 公司拥有的其他公司股权的信息，包括 (1) share certificates (1) 股权证 (2) AIC registration of the subsidiary showing the Company as a shareholder(2) 证明公司是该等公司股东的工商登记证明 (3) contracts entered into in relation to the purchase or establishment
37、 of such companies, such as share purchase agreement or JV contract(3) 购买或成立该等公司的相关合同，如股权转让协议或合资合同(4) shareholder and board resolutions relating to the purchase or establishment of such companies(4) 与购买或成立该等公司有关的股东会或董事会决议 (5) documents indicating any pledge on the shares (5) 股权质押的文件 - 13 -(6) if any
38、 government approval is required for the Company to hold such shares (such as an offshore investment), the relevant approval(6) 政府部门关于公司拥有该等公司股权的批准文件（如境外投资）5.2 Information on debts owing to the Company (directly or indirectly), including:5.2 他人欠付公司债务（直接或间接）的相关信息，包括： (1) contracts with the Company as
39、 the lender, including those relating to mortgages and security interests(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的合同(2) shareholder and board resolutions relating to provision of such loans(2) 股东会或董事会关于批准该等借款的决议 (3) receipts or documents from the bank showing payments made on such loans(3) 银行出具的关于偿还该等贷款的收据或文件
40、(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 on debt owing to the Company(5) 公司为出借人，而担保权益受益人为第三方的相关合同 5.3 Information on security interests owned by the Company (e.g. mortgages, pledges, l
41、iens, etc.), including:5.3 公司享有的担保权益信息（如抵押、质押、留置等） (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 (4) information on the value of the underlying collateral (4) 押品价值的信息 - 14
42、-6 Tax 6 税务 Provided/已提供Practitioners 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。6.1 Official documents from or to the state tax authority, local tax authority and custom
43、s of recent years, including:6.1 近三年的国家税务局、地方税务局或海关的文件，以及公司向该等部门发出的函件，包括：(1) state and local tax registration certificate, including any amendments and showing all annual inspection passed(1) 国家和地方税务登记证，包括任何变更和年检记录 (2) tax filings provided to and payment verification issued by all tax authorities, i
44、ncluding for income tax, value-added tax, business tax, etc.(2) 纳税申报表以及税务部门出具的纳税证明，包括所得税，增值税，营业税等(3) approval letters regarding exemptions, preferential treatment, tax holidays, etc.(3) 关于税收豁免、税收优惠、免税期等的政府文件 (4) those relating to expected, ongoing or recent audits, investigations or duty disputes (i
45、nclude any statements from the (4) 与预期的、正在进行的和近三年的税务审计、调查或税收争议的文件（包括公司的任何陈述）- 15 -Company)(5) levy and exemption certificate for import / export (5) 进出口货物征免税证明 6.2 A statement of taxes currently payable and its calculation 6.2 最近的应付税款或其计算方法的说明 7 Employment 7 雇员 Provided/已提供Practitioners Notes/提示Give
46、 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。7.1 Information regarding the human resources of the Company 7.1 公司人力资源的信息 (1) total number of personnel in each d
47、epartment or grade (management, labor, etc.)(1) 各部门各级别的人员总数（包括管理层、员工等） (2) employees handbook and other internal rules for example, the permitted amount of waste water to be discharged, the discharge standards and the penalty rate for excess discharge(2) 所有须遵守的内部环境政策；例如，可排放废水量、排放标准以及超额排放的处罚标准(3) any
48、 major policy changes or physical additions / changes made in recent years to comply with environmental laws and those expected to be made in the near future(3) 近三年，为符合环保法律法规而进行的重大政策修订或事实上的变更，以及打算要做出的修订8.3 Information and documents relating to any potential, ongoing or recent investigations, penalti
49、es or disputes with the government or third party regarding environmental issues8.3 与政府部门或第三方在环境方面的任何潜在、正在进行的或近三年的调查、处罚或争议- 19 -9 Material Contracts 9 重大合同 Provided/已提供Practitioners Notes/提示Obtain disclosure of contracts whose performance is vital to the survival or success of the Company or contain terms or have counterparties that may create risk for the Company.取得对公司的生存或成功经营具有重大意义的合同信息或披露任何所包含条款或相对方可能使公司面对风险的合同信息。The practitioner should define and explain the technical terms below to the Company so that they
