海外并購盡職調(diào)查文件清單(中英對照)

1、DUE DILIGENCE DOCUMENTS CHECKLIST盡職調(diào)查文件清單In order for the and to conduct the due diligence review regarding a proposed transaction between and , we will need to receive certain information and documentation from with respect to the business, assets and operations of following entities: 為便于 和 就有關(guān) 與 的

2、交易進行盡職調(diào)查，請 提供下列企業(yè)關(guān)于業(yè)務(wù)、資產(chǎn)和經(jīng)營方面的信息和文件：(Each a “Company” and collectively the “Companies”)(單獨或合稱為“公司”)If the Company has any sub-entity with independent legal person status (“Subsidiary”), the Subsidiary should be regarded as another “Company” and should separately provide answers and all relevant docu

3、ments in relation to the items indicated in this Documents Checklist.若公司有任何具有獨立法人地位的下屬機構(gòu)(“子公司”)，該子公司應(yīng)視為另一個“公司”并另行按本文件清單所列事項提供答復及所有有關(guān)文件。To expedite the due diligence process, we have compiled the following outline which lists the documentation and information that we will need to review (set forth in

4、 no particular order).為了加快盡職調(diào)查的進程，我們準備了下列提綱列明所需要審閱的文件和信息(排序不分先后)。As our due diligence progresses, additional documents and information may be requested. We would appreciate receiving your preliminary response as soon as possible.隨著我們盡職調(diào)查的進行，可能需要貴司進一步提供文件和信息，我們希望貴司能盡快提供初步反饋。24 Item文件名稱Previously Prov

5、ided(with the name and Reference Number Listed)已提供 (列明文件名稱及文號)Note備注(To be Provided /N/A)(待提供/不適用)Part ICorporate Structure and Shareholding of each Company第一部分 公司的組織結(jié)構(gòu)和持股情況1.1 Articles of Association and Joint Venture Contract (if any) and any amendments/revisions thereto.公司章程和合資合同(如有)及其任何補充/修訂。1.2

6、 Approval letter for the Articles of Association and Joint Venture Contract (if any) and any updates thereto.公司章程和合資合同的批復(如有)及其任何更新。1.3 Approval certificate for establishment of foreign invested company and any updates thereto.外商投資企業(yè)批準證書及其任何更新。1.4 Project Proposal and Feasibility Study Report (if an

7、y).項目建議書及可行性研究報告(如有)。1.5 Project verification letter.項目核準函。1.6 Business License and any updates thereto.營業(yè)執(zhí)照及其任何更新。1.7 Details of any increases of capital, reductions of capital or other capital reorganizations involving the company that may have occurred since their respective dates of incorporatio

8、n.公司從合法注冊之日至今一切增資、減資及資產(chǎn)重組的情況。1.8 All the approvals, opinions, agreements, contracts and other documents with respect to the reorganization, recapitalization, and changes of corporate structure and shareholding of the company. 任何有關(guān)改制、重組以及公司結(jié)構(gòu)和股權(quán)變更的批復、意見、協(xié)議、合同和其他文件。1.9 If applicable, names and address

9、es of all directors and legal representatives (if relevant) of the company, stating title and any other directorships held.公司董事及法定代表人(如有)名單、地址、職務(wù)及是否還擔任其他公司董事(如適用)。1.10 All asset valuation reports in relation to the company.與公司有關(guān)的所有資產(chǎn)評估報告。1.11 Annual inspection report of SAIC of the past three years

10、(if any).最近三年的工商年檢報告(如有)。1.12 Minutes/resolutions of meetings of the board of directors, board of supervisors and shareholders for the last three years.過去三年的董事會、監(jiān)事會和股東會的決議及記錄。1.13 Please also provide or confirm the following:請?zhí)峁┗虼_認以下信息：(1) A list of all share options, share pledges, warrants or simi

11、lar arrangements affecting the shares of the company.影響公司股權(quán)的所有股票期權(quán)、質(zhì)押、認股權(quán)證或類似的安排清單;(2) Are there any shareholders agreements relating to the company or any other agreements among shareholders and/or third parties relating to the voting, disposal or acquisition of shares or securities of such company

12、是否存在關(guān)于其他公司的股東間協(xié)議或關(guān)于股東之間和/或與第三方之間的任何與其他公司的股票或其他證券的投票權(quán),處置權(quán)或取得有關(guān)的協(xié)議?(3) Corporate ownership chart of the company and their affiliates; and公司和其關(guān)聯(lián)方的股權(quán)結(jié)構(gòu)圖; 以及(4) Operational structure chart of the company and their affiliates.公司和其關(guān)聯(lián)方的組織結(jié)構(gòu)圖。Part IIFinancial Status of each Company第二部分 公司的財務(wù)狀況2.1 Copies of c

13、urrent financial statements, management accounts (if any) and audited financial reports of the past three years of the company and as a whole (if consolidated). For company, copies of capital verification (驗資報告), reports, certificates and other documents confirming the timing, form and valuation of

14、all contributions to the registered capital of company.公司現(xiàn)有的財務(wù)報表、管理賬戶(如有)、合并報表(如有)及最近三年經(jīng)審計的財務(wù)報告,任何證明公司注冊資本的出資時間。出資形式及出資價值的驗資報告、證明或其他文件。2.2 A schedule of all indebtedness owed by the company, details of any borrowings or other amounts currently outstanding to the bankers of the company, and details o

15、f any proposed discharge of such indebtedness.公司負債的全部狀況,包括目前對銀行所有尚未還清的借款或其他欠款的數(shù)量以及詳細情況,以及任何對該等負債的償還計劃。2.3 Details of all loans made to or by the company, including all loans and indebtedness to directors, officers, employees or shareholders of any of the company or any other Companies in which any s

16、uch director, employee or shareholder is interested.有關(guān)公司間貸款的詳細情況,包括與董事、管理人員、員工或股東之間的貸款和負債情況或與該等董事、管理人員、員工或股東利益相關(guān)的公司之間的貸款和負債情況。2.4 All outstanding mortgages, charges (whether registered or not) and other security arrangements and documents relating to or affecting the company.所有現(xiàn)存的與公司有關(guān)的或影響公司的抵押、質(zhì)押(不

17、論是否登記)或其他擔保安排。2.5 Details and copies of all guarantees, indemnities and other contingent obligations (a) given by the company in relation to the obligations of any other person and (b) given by any other person in respect of the obligations of any of the company. 所有有關(guān)保證,補償或其他或有負債的詳細情況及復印件,包括(a)公司對其他

18、任何人士做出的該等安排; (b)或其他任何人士對公司做出的該等安排。2.6 All hire purchase or instalment purchase agreements, finance leases, letters of credit, performance and other bonds, details of advance deposit payments for materials and similar documents involving or relating to the company, or a confirmation that the company

19、have not entered into any such arrangements.所有分期付款采購協(xié)定、財務(wù)租賃、信用證、履約保函或者其他保函、預(yù)付款和/或類似安排的詳/情況,或者公司出具確認書確認不存在上述情況。2.7 Details of factoring, off-balance sheet or other unusual financing arrangements and copies of related documentation.有關(guān)應(yīng)收款銀行買斷、表外融資或者其他特殊融資安排的詳細情況及相關(guān)文件復印件。2.8 Details of all contingent li

20、abilities and commitments not recorded in the books of the company.或有負債,或者其他沒有記入公司報表的付款承諾的詳細情況。2.9 List of debtors more than three months old and details of standard discount and credit terms and credit or collection policies.超過三個月的債務(wù)人名單、標準銷售折扣、應(yīng)收款期、以及其他授信和收款政策。2.10 Financial projections for each of

21、 the company for the next five years.公司未來五年的財務(wù)預(yù)測。2.11 Describe in detail the dividend policy of the company.請詳細描述公司的股利政策。Part IIIGovernment Regulation regarding each Company第三部分 有關(guān)公司的政府文件3.1 Copies of all licenses, permits or other authorizations issued to the company by any government agency and of

22、 any related agreements and material correspondence, and with respect to the company, copies of the following:以下和公司相關(guān)的所有執(zhí)照、許可或其他由任何政府機構(gòu)或相關(guān)合同和重要信件賦予公司的授權(quán)的復印件：(1) Local Tax Registration Certificate;地稅登記證;(2) State Tax Registration Certificate;國稅登記證;(3) Finance Registration Certificate; 財政登記證;(4) Forei

23、gn Exchange Certificate; 外匯登記證;(5) Customs Registration Certificate(if any); 海關(guān)登記證(如有);(6) Enterprise Legal Person Code Certificate; 組織機構(gòu)代碼證;(7) License for Open Account;開戶許可證;(8) Loan Card; 貸款卡;(9) Foreign Debt Registration Certificate (if any);外債登記證(如有);(10) Social Security Registration Certificat

24、e;社保登記證;(11) Statistics Registration Certificate;統(tǒng)計登記證;(12) State-owned Assets Registration Certificate (if any);國有資產(chǎn)產(chǎn)權(quán)登記證(如有) ;(13) Planning Permit for Use of Construction Land;建設(shè)用地規(guī)劃許可證;(14) Construction planning permit;建設(shè)工程規(guī)劃許可證;(15) Construction permit;建筑工程施工許可證;(16) Report of acceptance of cons

25、truction;竣工驗收報告;(17) Details of any filings relating to acceptance of construction with relevant authority and copies of related correspondence;在相關(guān)機構(gòu)的竣工驗收備案及相應(yīng)往來的復印件;(18) License for Operating Distribution of Movies;電影發(fā)行經(jīng)營許可證；(19) License for Operating Projection of Movies;電影放映經(jīng)營許可證；(20) Certificate

26、 of Projection Equipment for Digital Movie; and數(shù)字電影放映設(shè)備技術(shù)合格證；以及(21) Any other operating license(s), permit(s) and consent(s) issued by PRC authorities to the company with respect to its operation.所有中國政府頒發(fā)給公司的和其經(jīng)營相關(guān)的其他經(jīng)營證書、許可和同意。3.2 Copies of any reports, notices or correspondence relating to any all

27、eged violation or infringement by the company of any government regulation, license, permit or other authorization.如果公司曾經(jīng)違反任何中國的法律法規(guī)、執(zhí)照、許可或者其他授權(quán)，請?zhí)峁┯嘘P(guān)報告，通知或回應(yīng)的復印件。Part IVTaxation regarding each Company第四部分 稅務(wù)4.1 Details of any tax clearances or rulings obtained within the last 3 years and copies of

28、any tax indemnities taken or given.過去三年中一切有關(guān)稅務(wù)的支付、裁決的詳細情況以及得到或支付的稅務(wù)補償?shù)膹陀〖?.2 Details of tax concessions, holidays and incentives granted to the company.公司一切稅務(wù)優(yōu)惠、減免、鼓勵的詳細情況。4.3 Details of any disputes with, or investigations by, any fiscal authority and of any disagreed assessments or arrangements o

29、r proposed arrangements for the settlement of any arrears, and copies of relevant correspondence.與任何財稅機關(guān)的有關(guān)稅務(wù)的爭議或者調(diào)查,任何對于稅務(wù)評估或安排或計劃安排的不服及隨后的解決方案,以及相關(guān)回應(yīng)的復印件。4.4 Details and copies of any penalties, fines or interest charges imposed in relation to any taxes. 一切有關(guān)稅務(wù)的罰款、罰金或罰息的詳細情況和復印件。Part VProperty of

30、each Company第五部分 公司的財產(chǎn)5.1 Details of any owned or leased properties.任何有關(guān)自有或租賃財產(chǎn)的詳細情況。5.2 For each parcel of land used by the company, please provide the following information and documents:對于公司使用的每一塊土地,請?zhí)峁┫铝行畔⒑臀募?1) land use certificate;土地使用權(quán)證書;(2) land grant contract or lease contract (if any);土地使

31、用權(quán)出讓合同或土地租約(如有);(3) temporary licenses to install and repair plants (if any);安裝或維修廠房設(shè)備的臨時性證書(如有);(4) evidence of payment of all land grant premiums, taxes and fees with respect to the land; and土地出讓金付款證明,相關(guān)的稅收和費用支付證明; 以及(5) list of all mortgages over the land, together with copies of all contracts, d

32、ocuments and registration certificates relating to such mortgage (including the mortgage contracts, loan contracts, mortgage registration certificates, etc.)土地抵押情況清單,包括與該抵押相關(guān)的有關(guān)合同,文件和登記證書的復印件(包括抵押合同,貸款合同,抵押登記證明等)。5.3 For each building owned or leased by the company, please provide the following info

33、rmation and documents:對于任何公司自有或租賃的房產(chǎn),請?zhí)峁┫铝行畔⒑拖嚓P(guān)文件：(1) list of rented or leased building, and their related agreements and the relevant permits and registrations;租用或租賃房產(chǎn)的清單、相關(guān)合同及租賃許可或登記文件;(2) building ownership certificate;房產(chǎn)證;(3) evidence of payment of all taxes and fees with respect to the building

34、; and與房產(chǎn)相關(guān)的支付相關(guān)稅收和費用的證明; 以及(4) list of all mortgages over the building (including the office properties), together with copies of all contracts and documents relating to such mortgages (including the mortgage contracts, loan contracts and mortgage registration certificates, etc.).房屋(包括辦公物業(yè))抵押情況清單,以及

35、與該抵押相關(guān)的合同和文件(包括抵押合同、貸款合同以及抵押登記證明等)。5.4 List of any security over the assets or rights of the company and the guarantee provided by the company together with copies of all contracts and documents relating to such security and guarantee to the extent not provided above.公司所有的資產(chǎn)或權(quán)利所設(shè)的擔保和公司提供的保證的清單,以及和上述

36、擔保和保證相關(guān)且之前未提供的所有合同和文件的復印件。Part VIBusiness and Operational Matters of each Company第六部分 公司的業(yè)務(wù)和運營6.1 Confirmation (and evidence thereof) that each of the company has all licenses and permits necessary to carry on its business.公司確認并證明所有和公司運營有關(guān)的執(zhí)照和許可都已經(jīng)獲得。6.2 A schedule of all material plant, machinery a

37、nd equipment, motor vehicles and other tangible assets used by the company, indicating the ownership and nature thereof and the material terms of any finance lease or security agreement pursuant or subject to which the same may be leased or owned.顯示所有的工廠，機器，設(shè)備，汽車和其他有形資產(chǎn)的所有權(quán)，金融租賃或設(shè)置擔保權(quán)益的實質(zhì)條款清單。6.3 De

38、tails of all fines, penalties or other breaches of legislation or regulations and copies of related correspondence.所有罰款，處罰或其他違反法律，法規(guī)的細節(jié)及相應(yīng)往來的復印件。6.4 Details of any complaints, filings or reports relating to anti-competitive practices, anti-trust, pricing, marketing or other practices and copies of r

39、elated correspondence.任何有關(guān)反不當競爭，反壟斷，不當價格或市場其他的投訴，備案或報告的復印件或相應(yīng)往來的復印件。6.5 Copies of the operational manuals for finance procedures, construction/procurement procedures and operation and maintenance procedures.財務(wù)流程，工程流程，采購流程及運營和維護流程的操作運營手冊。Part VIIContracts regarding each Company General第七部分 有關(guān)公司的合同-概況

40、7.1 Copies of all contracts to which any of the Companies is or was a party relating to acquisition or sale of shares or businesses (including any acquisition of shares in the company), joint ventures, partnerships or investments in other entities, or reorganizations.公司作為或曾作為收購、股票銷售、商業(yè)(包括公司內(nèi)的任何股票收購)

41、，合資，合伙、投資其他實體或重組合同的一方的所有合同的復印件。7.2 Copies of all license, distribution, franchise, agency, research and development, marketing, consulting and management contracts.所有許可協(xié)議、銷售協(xié)議、特許或?qū)I協(xié)議，委托代理協(xié)議及開發(fā)協(xié)議，市場營銷協(xié)議，咨詢顧問協(xié)議及管理協(xié)議的復印件。7.3 Copies of all contracts to which any of the companies is or was a party relat

42、ing to raw material supply/product sales.公司作為或曾作為原材料供應(yīng)/產(chǎn)品銷售合同一方的所有合同的復印件。7.4 Copies of all contracts to which any of the Companies is or was a party relating to engineering, procurement and construction.公司作為或曾作為設(shè)計采購施工合同一方的所有合同的復印件。7.5 Copies of key project contracts and all other contracts material

43、to the business of any of the company.重大的項目合同和對公司的業(yè)務(wù)有重大影響的其他合同的復印件。7.6 Details of breaches of any contracts.任何違反合同的詳細情況。7.7 Copies of all contracts:所有下述合同：(1) containing long-term, unusual or onerous provisions;含有長期，非普通或有法律責任條款;(2) containing exclusivity or non competition provisions;含有獨家或禁止競爭條款;(3)

44、 where change of ownership could give grounds for termination or is otherwise relevant.所有權(quán)變化能帶來協(xié)議終止或其他相關(guān)。7.8 Contracts with directors or officers of the company or the vendor or with any affiliate of the vendor or of any such person not being acquired.與公司董事，公司的任何管理人員，供應(yīng)商，供應(yīng)商的任何關(guān)聯(lián)企業(yè)或其他方的合同。Part VIIIL

45、egal Proceedings, Disputes and Investigations regarding each Company第八部分 有關(guān)公司的法律程序、糾紛和調(diào)查8.1 Details of all pending or threatened litigation, arbitration proceedings, or governmental investigations and proceedings (domestic or foreign), including parties, damages and other remedies sought, nature of

46、action, details of any actual or potential breaches of contract or infringement of rights by the company.任何現(xiàn)實或者潛在的(國內(nèi)與國外的)訴訟,仲裁或政府調(diào)查的詳細情況,包括當事方,損失和其他賠償,行為的性質(zhì),公司任何實際或潛在的違反合同或侵權(quán)的詳細情況。Part IXInsurance Policies of each Company第九部分 公司的保險9.1 Provide a description of all insurance policies as have been tak

47、en out by the company as are required by law.請?zhí)峁┮环莨举徺I的全部保險以及根據(jù)法律要求公司購買的全部保險的詳細說明。Part XEnvironmental Matters regarding each Company第十部分 有關(guān)公司的環(huán)境事宜10.1 Copies of environmental impact assessment report and all permits relating to environmental matters (including but not limited to environmental impact

48、 assessment report, approval for environmental impact assessment and evidence of project environmental protection acceptance).環(huán)境影響評估報告和有關(guān)環(huán)保的一切許可的復印件(包括但不限于環(huán)境影響評估報告、環(huán)境影響評估報告的批復及項目竣工環(huán)境保護驗收的證明)。10.2 All notices, complaints, suits or similar documents sent to, received by or served upon any of the compa

49、ny by any governmental, department of environmental regulation or any similar governmental, regulatory body, authority or agency.任何政府執(zhí)法機關(guān),環(huán)保執(zhí)法機關(guān)或類似政府機構(gòu),監(jiān)管機構(gòu)或代表機構(gòu)對公司發(fā)出的或者為公司發(fā)出的所有通知,投訴,訴訟或者其他類似文件。10.3 Details of any infringement of any environmental laws.任何違反任何環(huán)境法律法規(guī)的詳細情況。10.4 Details of any existing environmental management system or monitoring system implementing environmental controls at the company.公司任何現(xiàn)有的實施環(huán)境控制的環(huán)境管理系統(tǒng)或檢測系統(tǒng)的詳細情況。Part XIEmployment Matters regarding each Company第十一部分 有關(guān)公司的勞動人事事宜11.1 Examples of standard-form employ