盡職調(diào)查清單(中英文)

1010DUEDILIGENCEDOCUMENTSCHECKLIST盡職調(diào)查文件清單Inorderforthe and toconducttheduediligencereviewregardingaproposedtransactionbetween and wewillneedtoreceivecertaininformationanddocumentationfrom withrespecttothebusiness,assetsandoperationsoffollowingentities:為便于 和 就有關(guān) 與 的交易進展盡職調(diào)查，請 供給以下企業(yè)關(guān)于業(yè)務(wù)、資產(chǎn)和經(jīng)營方面的信息和文件：[][][]andcollectivelythe“Companies”)(單獨或合稱為“公司”)IftheCompanyhasanysub-entitywithindependentlegalpersonstatus(“Subsidiary”),theSubsidiaryshouldberegardedasanother“Company”andshouldseparatelyprovideanswersandallrelevantdocumentsinrelationtotheitemsindicatedinthisDocumentsChecklist.子公司公司關(guān)文件。Toexpeditetheduediligenceprocess,wehavecompiledthefollowingoutlinewhichliststhedocumentationandinformationthatwewillneedtoreview(setforthinnoparticularorder).(排序不分先后)。Asourduediligenceprogresses,additionaldocumentsandinformationmayberequested.Wewouldappreciatereceivingyourpreliminaryresponseassoonaspossible.隨著我們盡職調(diào)查的進展，可能需要貴司進一步供給文件和信息，我們期望貴司能盡快供給初步反響。ItemPartI

CorporateStructureandShareholdingofeachCompany

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)第一局部公司的組織構(gòu)造和持股狀況ArticlesofAssociationandJointVentureContract(ifany)andanyamendments/revisionsthereto.公司章程和合資合同(如有)及其任何補充/修訂。ApprovalletterfortheArticlesofAssociationandJointVentureContract(ifany)andanyupdatesthereto.(如有)及其任何更。Approvalcertificateforestablishmentofforeigninvestedcompanyandanyupdatesthereto.外商投資企業(yè)批準證書及其任何更。ProjectProposalandFeasibilityStudyReport(ifany).(如有)。Projectverificationletter.工程核準函。BusinessLicenseandanyupdatesthereto.營業(yè)執(zhí)照及其任何更。Detailsofanyincreasesofcapital,reductionsofcapitalorothercapitalreorganizationsinvolvingthecompanythatmayhaveoccurredsincetheirrespectivedatesofincorporation.公司從合法注冊之日至今一切增資、減資及資產(chǎn)重組的狀況。Alltheapprovals,opinions,agreements,contractsandotherdocumentswithrespecttothereorganization,recapitalization,andchangesofcorporatestructureandshareholdingofthecompany.任何有關(guān)改制、重組以及公司構(gòu)造和股權(quán)變更的批復、意見、協(xié)議、合同和其他文件。Item文件名稱

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)Ifapplicable,namesandaddressesofalldirectorsandlegalrepresentatives(ifrelevant)ofthecompany,statingtitleandanyotherdirectorshipsheld.(如有)名單、地址、職務(wù)及是否還擔當其他公司董事(如適用)。Allassetvaluationreportsinrelationtothecompany.與公司有關(guān)的全部資產(chǎn)評估報告。AnnualinspectionreportofSAICofthepastthreeyears (ifany).最近三年的工商年檢報告(如有)。Minutes/resolutionsofmeetingsoftheboardofdirectors,boardofsupervisorsandshareholdersforthelastthreeyears.過去三年的董事會、監(jiān)事會和股東會的決議及記錄。Pleasealsoprovideorconfirmthefollowing:請供給或確認以下信息：Alistofallshareoptions,sharepledges,warrantsorsimilararrangementsaffectingthesharesofthecompany.影響公司股權(quán)的全部股票期權(quán)、質(zhì)押、認股權(quán)證或類似的安排清單;Arethereanyshareholdersagreementsrelatingtothecompanyoranyotheragreementsamongshareholdersand/orthirdpartiesrelatingtothevoting,disposaloracquisitionofsharesorsecuritiesofsuchcompany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),?Corporateownershipchartofthecompanyandtheiraffiliates;andItem(4)PartII

公司和其關(guān)聯(lián)方的股權(quán)構(gòu)造圖;以及Operationalstructurechartofthecompanyandtheiraffiliates.公司和其關(guān)聯(lián)方的組織構(gòu)造圖。FinancialStatusofeachCompany

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)其次局部公司的財務(wù)狀況Copiesofcurrentfinancialstatements,managementaccounts(ifany)andauditedfinancialreportsofthepastthreeyearsofthecompanyandasawhole(ifconsolidated). Forcompany,copiesofcapitalverification驗資報告),reports,certificatesandotherdocumentsconfirmingthetiming,formandvaluationofallcontributionstotheregisteredcapitalofcompany.公司現(xiàn)有的財務(wù)報表、治理賬戶(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。Ascheduleofallindebtednessowedbythecompany,detailsofanyborrowingsorotheramountscurrentlyoutstandingtothebankersofthecompany,anddetailsofanyproposeddischargeofsuchindebtedness.公司負債的全部狀況,包括目前對銀行全部尚未還清的借款或其他欠款的數(shù)量以及具體狀況,以及任何對該等負債的歸還打算。Detailsofallloansmadetoorbythecompany,includingallloansandindebtednesstodirectors,officers,employeesorshareholdersofanyofthecompanyoranyotherCompaniesinwhichanysuchdirector,employeeorshareholderisinterested.有關(guān)公司間貸款的具體狀況,包括與董事、治理人員、員工或股東Item文件名稱之間的貸款和負債狀況或與該等董事、治理人員、員工或股東利益相關(guān)的公司之間的貸款和負債狀況。

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)Alloutstandingmortgages,charges(whetherregisteredornot)andothersecurityarrangementsanddocumentsrelatingtooraffectingthecompany.全部現(xiàn)存的與公司有關(guān)的或影響公司的抵押、質(zhì)押(不管是否登記)或其他擔保安排。Detailsandcopiesofallguarantees,indemnitiesandothercontingentobligations(a)givenbythecompanyinrelationtotheobligationsofanyotherpersonand(b)givenbyanyotherpersoninrespectoftheobligationsofanyofthecompany.全部有關(guān)保證,補償或其他或有負債的具體狀況及復印件,包括(a);(b)或其他任何人士對公司做出的該等安排。Allhirepurchaseorinstalmentpurchaseagreements,financeleases,lettersofcredit,performanceandotherbonds,detailsofadvancedepositpaymentsformaterialsandsimilardocumentsinvolvingorrelatingtothecompany,oraconfirmationthatthecompanyhavenotenteredintoanysucharrangements.全局部期付款選購協(xié)定、財務(wù)租賃、信用證、履約保函或者其他保函、預付款和/或類似安排的詳/狀況,或者公司出具確認書確認不存在上述狀況。Detailsoffactoring,off-balancesheetorotherunusualfinancingarrangementsandcopiesofrelateddocumentation.有關(guān)應收款銀行買斷、表外融資或者其他特別融資安排的具體狀況及相關(guān)文件復印件。Item文件名稱

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)Detailsofallcontingentliabilitiesandcommitmentsnotrecordedinthebooksofthecompany.或有負債,或者其他沒有記入公司報表的付款承諾的具體狀況。Listofdebtorsmorethanthreemonthsoldanddetailsofstandarddiscountandcredittermsandcreditorcollectionpolicies.超過三個月的債務(wù)人名單、標準銷售折扣、應收款期、以及其他授信和收款政策。Financialprojectionsforeachofthecompanyforthenextfiveyears.公司將來五年的財務(wù)推想。Describeindetailthedividendpolicyofthecompany.請具體描述公司的股利政策。PartIII GovernmentRegulationregardingeachCompany第三局部有關(guān)公司的政府文件Copiesofalllicenses,permitsorotherauthorizationsissuedtothecompanybyanygovernmentagencyandofanyrelatedagreementsand materialcorrespondence, andwithrespect tothecompany,copiesofthefollowing:以下和公司相關(guān)的全部執(zhí)照、許可或其他由任何政府機構(gòu)或相關(guān)合同和重要信件賜予公司的授權(quán)的復印件：LocalTaxRegistrationCertificate;地稅登記證;StateTaxRegistrationCertificate;國稅登記證;Item文件名稱(3)(4)(5)(6)(7)(8)(9)

FinanceRegistrationCertificate;財政登記證;ForeignExchangeCertificate;外匯登記證;CustomsRegistrationCertificate(ifany);海關(guān)登記證(如有);EnterpriseLegalPersonCodeCertificate;組織機構(gòu)代碼證;LicenseforOpenAccount;開戶許可證;LoanCard;貸款卡;ForeignDebtRegistrationCertificate(ifany);外債登記證(如有);

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)SocialSecurityRegistrationCertificate;社保登記證;StatisticsRegistrationCertificate;統(tǒng)計登記證;State-ownedAssetsRegistrationCertificate(ifany);國有資產(chǎn)產(chǎn)權(quán)登記證(如有);PlanningPermitforUseofConstructionLand;建設(shè)用地規(guī)劃許可證;Constructionplanningpermit;Item文件名稱

建設(shè)工程規(guī)劃許可證;

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)Constructionpermit;建筑工程施工許可證;Reportofacceptanceofconstruction;竣工驗收報告;Detailsofanyfilingsrelatingtoacceptanceofconstructionwithrelevantauthorityandcopiesofrelatedcorrespondence;在相關(guān)機構(gòu)的竣工驗收備案及相應往來的復印件;LicenseforOperatingDistributionofMovies;電影發(fā)行經(jīng)營許可證；LicenseforOperatingProjectionofMovies;電影放映經(jīng)營許可證；CertificateofProjectionEquipmentforDigitalMovie;and數(shù)字電影放映設(shè)備技術(shù)合格證；以及Anyotheroperatinglicense(s),permit(s)andconsent(s)issuedbyPRCauthoritiestothecompanywithrespecttoitsoperation.全部中國政府頒發(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。Copiesofanyreports,noticesorcorrespondencerelatingtoanyallegedviolationorinfringementbythecompanyofanygovernmentregulation,license,permitorotherauthorization.假設(shè)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)，請供給有關(guān)報告，通知或回應的復印件。Item文件名稱PartIV TaxationregardingeachCompany第四局部稅務(wù)

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)Detailsofanytaxclearancesorrulingsobtainedwithinthelast3yearsandcopiesofanytaxindemnitiestakenorgiven.過去三年中一切有關(guān)稅務(wù)的支付、裁決的具體狀況以及得到或支付的稅務(wù)補償?shù)膹陀〖?。Detailsoftaxconcessions,holidaysandincentivesgrantedtothecompany.公司一切稅務(wù)優(yōu)待、減免、鼓舞的具體狀況。Detailsofanydisputeswith,orinvestigationsby,anyfiscalauthorityandofanydisagreedassessmentsorarrangementsorproposedarrangementsforthesettlementofanyarrears,andcopiesofrelevantcorrespondence.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)評估或安排或打算安排的不服及隨后的解決方案,以及相關(guān)回應的復印件。Detailsandcopiesofanypenalties,finesorinterestchargesimposedinrelationtoanytaxes.一切有關(guān)稅務(wù)的罰款、罰金或罰息的具體狀況和復印件。PartV PropertyofeachCompany第五局部公司的財產(chǎn)Detailsofanyownedorleasedproperties.任何有關(guān)自有或租賃財產(chǎn)的具體狀況。Item文件名稱

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)Foreachparceloflandusedbythecompany,pleaseprovidethefollowinginformationanddocuments:對于公司使用的每一塊土地,請供給以下信息和文件：landusecertificate;土地使用權(quán)證書;landgrantcontractorleasecontract(ifany);(如有);temporarylicensestoinstallandrepairplants(ifany);安裝或修理廠房設(shè)備的臨時性證書(如有);evidenceofpaymentofalllandgrantpremiums,taxesandfeeswithrespecttotheland;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l(fā)istofallmortgagesovertheland,togetherwithcopiesofallcontracts,documentsandregistrationcertificatesrelatingtosuchmortgage(includingthemortgagecontracts,loancontracts,mortgageregistrationcertificates,etc.)土地抵押狀況清單,,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)。Foreachbuildingownedorleasedbythecompany,pleaseprovidethefollowinginformationanddocuments:對于任何公司自有或租賃的房產(chǎn),請供給以下信息和相關(guān)文件：listofrentedorleasedbuilding,andtheirrelatedagreementsandtherelevantpermitsandregistrations;Item文件名稱(2)(3)

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;buildingownershipcertificate;房產(chǎn)證;evidenceofpaymentofalltaxesandfeeswithrespecttothebuilding;and;以及

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)listofallmortgagesoverthebuilding(includingtheofficeproperties),togetherwithcopiesofallcontractsanddocumentsrelatingtosuchmortgages(includingthemortgagecontracts,loancontractsandmortgageregistrationcertificates,etc.).房屋(包括辦公物業(yè))抵押狀況清單,以及與該抵押相關(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)。Listofanysecurityovertheassetsorrightsofthecompanyandtheguaranteeprovidedbythecompanytogetherwithcopiesofallcontractsanddocumentsrelatingtosuchsecurityandguaranteetotheextentnotprovidedabove.公司全部的資產(chǎn)或權(quán)利所設(shè)的擔保和公司供給的保證的清單,以及和上述擔保和保證相關(guān)且之前未供給的全部合同和文件的復印件。PartVI BusinessandOperationalMattersofeachCompany第六局部公司的業(yè)務(wù)和運營Confirmation(andevidencethereof)thateachofthecompanyhasalllicensesandpermitsnecessarytocarryonitsbusiness.公司確認并證明全部和公司運營有關(guān)的執(zhí)照和許可都已經(jīng)獲得。Item文件名稱

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)Ascheduleofallmaterialplant,machineryandequipment,motorvehiclesandothertangibleassetsusedbythecompany,indicatingtheownershipandnaturethereofandthematerialtermsofanyfinanceleaseorsecurityagreementpursuantorsubjecttowhichthesamemaybeleasedorowned.顯示全部的工廠，機器，設(shè)備，汽車和其他有形資產(chǎn)的全部權(quán)，金融租賃或設(shè)置擔保權(quán)益的實質(zhì)條款清單。Detailsofallfines,penaltiesorotherbreachesoflegislationorregulationsandcopiesofrelatedcorrespondence.全部罰款，懲罰或其他違反法律，法規(guī)的細節(jié)及相應往來的復印件。Detailsofanycomplaints,filingsorreportsrelatingtoanti-competitivepractices,anti-trust,pricing,marketingorotherpracticesandcopiesofrelatedcorrespondence.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往來的復印件。Copiesoftheoperationalmanualsforfinanceprocedures,construction/procurementproceduresandoperationandmaintenanceprocedures.財務(wù)流程，工程流程，選購流程及運營和維護流程的操作運營手冊。PartVIIContractsregardingeachCompany–General第七局部有關(guān)公司的合同-概況CopiesofallcontractstowhichanyoftheCompaniesisorwasapartyrelatingtoacquisitionorsaleofsharesorbusinesses(includingItem文件名稱anyacquisitionofsharesinthecompany),jointventures,partnershipsorinvestmentsinotherentities,orreorganizations.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)，合資，合伙、投資其他實體或重組合同的一方的全部合同的復印件。

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)Copiesofalllicense,distribution,franchise,agency,researchanddevelopment,marketing,consultingandmanagementcontracts.全部許可協(xié)議、銷售協(xié)議、特許或?qū)I協(xié)議，托付代理協(xié)議及開發(fā)協(xié)議，市場營銷協(xié)議，詢問參謀協(xié)議及治理協(xié)議的復印件。Copiesofallcontractstowhichanyofthecompaniesisorwasapartyrelatingtorawmaterialsupply/productsales.公司作為或曾作為原材料供給/產(chǎn)品銷售合同一方的全部合同的復印件。CopiesofallcontractstowhichanyoftheCompaniesisorwasapartyrelatingtoengineering,procurementandconstruction.公司作為或曾作為設(shè)計選購施工合同一方的全部合同的復印件。Copiesofkeyprojectcontractsandallothercontractsmaterialtothebusinessofanyofthecompany.重大的工程合同和對公司的業(yè)務(wù)有重大影響的其他合同的復印件。Detailsofbreachesofanycontracts.任何違反合同的具體狀況。Copiesofallcontracts:全部下述合同：Item文件名稱(1)(2)(3)

containinglong-term,unusualoronerousprovisions;;containingexclusivityornoncompetitionprovisions;含有獨家或制止競爭條款;wherechangeofownershipcouldgivegroundsforterminationorisotherwiserelevant.全部權(quán)變化能帶來協(xié)議終止或其他相關(guān)。

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)7.8 Contractswithdirectorsorofficersofthecompanyorthevendororwithanyaffiliateofthevendororofanysuchpersonnotbeingacquired.與公司董事，公司的任何治理人員，供給商，供給商的任何關(guān)聯(lián)企業(yè)或其他方的合同。PartVIIILegalProceedings,DisputesandInvestigationsregardingeachCompany第八局部有關(guān)公司的法律程序、糾紛和調(diào)查8.1 Detailsofallpendingorthreatenedlitigation,arbitrationproceedings,orgovernmentalinvestigationsandproceedings(domesticorforeign),includingparties,damagesandotherremediessought,natureofaction,detailsofanyactualorpotentialbreaches contractorinfringementofrightsbythecompany.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)查的具體狀況,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)的具體狀況。Item文件名稱PartIX InsurancePoliciesofeachCompany第九局部公司的保險

PreviouslyProvided(withthenameandReferenceNumberListed)已供給(列明文件名稱及文號)

Note備注(TobeProvided/N/A)(待供給/不適用)9.1 Provideadescriptionofallinsurancepoliciesashavebeentakenoutbythecompanyasarerequiredbylaw.請供給一份公司購置的全部保險以及依據(jù)法律要求公司購置的全部保險的具體說明。PartX EnvironmentalMattersregardingeachCompany第十局部有關(guān)公司的環(huán)境事宜Copiesofenvironmentalimpactassessmentreportandallpermitsrelatingtoenvironmentalmatters(includingbutnotlimitedtoenvironmentalimpactassessmentreport,approvalforenvironmentalimpactassessmentandevidenceofprojectenvironmentalprotectionacceptance).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工程竣工環(huán)境保護驗收的證明)。Allnotices,complaints,suitsorsimilardocumentssentto,receivedbyorserveduponanyofthecompanybyanygovernmental,departmentofenvironmentalregulationoranysimilargovernmental,regulatorybody,authorityoragency.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)出的全部通知,投訴,訴訟或者其他類似文件。Detailsofanyinfringementofanyenvironmentallaws.Item文件名稱任何違反任何環(huán)境法律法規(guī)的具體狀況。Detailsofanyexistingenvironmentalmanagementsystemormonitoringsystemimplementingenvironmentalcontrolsatthecompany.公司任何現(xiàn)有的實施環(huán)境把握的環(huán)境治理系統(tǒng)或檢測系統(tǒng)的具體狀況。PartXI EmploymentMattersregardingeachCompany第十一局部有關(guān)公司的勞動人事事宜Examplesofstandard-formemploymentagreements(and,ifapplicable,goldenparachuteagreements),consultancyagreements,andallagreementswithpresentorformeremployeesoftheCompan