法律盡職調(diào)查清單中英文

法律盡職調(diào)查清單中英文DocumentationRequestListforLegalDueDiligence盡職調(diào)查文件清單Instructions指引ThisDocumentsRequestList(the“Request”)hasbeenprepared本盡職調(diào)查文件清單（“清單）是為對【X“公司）進(jìn)行法律盡職調(diào)forthepurposeofconductinglegalduediligenceon[X](the查而準(zhǔn)備?！癈ompany”).SubsidiariesoftheCompanywithanindependentlegalpersonstatusarenotincludedintheRequest.Ifnecessary,aseparaterequestforthesubsidiarymaybeprovided.Branches,公司具有獨(dú)立法人資格的子公司的相關(guān)文件并不在本清單之列。如有必要，我們將為子公司準(zhǔn)備單獨(dú)的盡職調(diào)查文件清單。對公司不具有獨(dú)立法人資格的分支機(jī)構(gòu)應(yīng)提供文件的相關(guān)要求已包含于本清單中。departments,officesandotherentitiesoftheCompanywithoutanindependentlegalpersonstatusareincludedintheRequest.除非另有說明，本清單中所要求文件均為復(fù)印件。對以下每一項，盡管并非每一項都明確標(biāo)明提供“所有”文件，但應(yīng)假設(shè)所有滿足本清單中所設(shè)Documentsaskedforimpliescopiesofsuchdocuments,unless定標(biāo)準(zhǔn)的文件均應(yīng)提供。otherwisespecified.Foreachitembelow,itshouldbeassumedthatalldocumentsthatsatisfythecriteriastatedare對于以下每一項，如果所有相關(guān)文件均已提供，請在右側(cè)方框中打勾表明requested,eventhough“all”maynotbeexplicitlystated.該項文件已提供完畢。Foreachitembelow,ifallrelevantdocumentshavebeenprovided,pleasechecktheboxtotherighttoindicatethattheitemofrequesthasbeensatisfied.如果所要求提供的信息或資料（iii）適用于公司，但在本次調(diào)查中不可提供，或（iii）需要稍晚提供，請向我們提供一份單獨(dú)的回復(fù)或做必要說明。Ifinformationormaterialsaskedforis:(i)notapplicableto-2-theCompany,(ii)applicable,butnotexpectedtobeavailable,如果在交易結(jié)束前，發(fā)生了任何事件或您獲得任何額外的信息，且該等事or(iii)willbeprovidedatalaterdate,pleaseprovidea件或信息會對您根據(jù)本清單回復(fù)的文件信息產(chǎn)生影響，請立即通知我們。separateresponseorexplanationasappropriate.“官方文件”指批準(zhǔn)、證書、許可、合同、正式申請等。If,priortotheclosingofthetransaction,anyeventoccursoryouobtainanyadditionalfactsthathaveamaterialeffectontheinformationprovidedinresponsetotheRequest,please政府部門包括其地方派出機(jī)構(gòu)或下屬機(jī)構(gòu)。informusimmediately.“最近”或“近年”指過去【X】年，除非另有說明?！癘fficialdocuments”referstoapprovals,certificates,licenses,contracts,formalapplications,etc.“重大數(shù)額”指【￥XAgovernmentauthorityincludesitslocalorsubordinateorgans.“關(guān)聯(lián)方”指：“Recent”or“recentyears”meansthepast[X]years,unlessotherwisespecified.（一）公司的母公司?！癕aterialamount”refersto[￥X].（二）公司的子公司。（三）與公司受同一母公司控制的其他企業(yè)?！癆ffiliate”refersto:（四）對公司實施共同控制的投資方。1)TheparentcompanyoftheCompany;（五）對公司施加重大影響的投資方。（六）公司的合營企業(yè)。2)ThesubsidiariesoftheCompany;（七）公司的聯(lián)營企業(yè)。3)OthercompaniesunderthecontrolofasameparentcompanyoftheCompany;（八）公司的主要投資者個人及與其關(guān)系密切的家庭成員。主要投資者個人，是指能夠控制、共同控制一個企業(yè)或者對一個企業(yè)施加重大影響的個人投資者。4)TheinvestorshavingjointcontrolovertheCompany;（九）公司或其母公司的關(guān)鍵管理人員及與其關(guān)系密切的家庭成員。關(guān)鍵5)TheinvestorshavingsignificantinfluenceontheCompany;管理人員，是指有權(quán)力并負(fù)責(zé)計劃、指揮和控制企業(yè)活動的人員。與主要投資者個人或關(guān)鍵管理人員關(guān)系密切的家庭成員，是指在處理與企業(yè)的交-3-6)ThejointventuresoftheCompany;易時可能影響該個人或受該個人影響的家庭成員。7)TheassociatedcompaniesoftheCompany;（十）該企業(yè)主要投資者個人、關(guān)鍵管理人員或與其關(guān)系密切的家庭成員控制、共同控制或施加重大影響的其他企業(yè)。8)Theprincipalindividualinvestorsandtheclosefamilymembersofsuchindividuals.“Principalindividualinvestors”referstoanindividualinvestorwhocancontrolorjointlycontrolacompany,orhassignificantinfluenceonacompany;9)ThekeymanagersoftheCompanyorofitsparentcompanyandtheirclosefamilymembers.“Keymanagers”refertothemanagerswhohavetheauthorityandresponsibilityforplanning,directingandcontrollingtheactivitiesoftheCompany.Theclosefamilymembersofaprincipalindividualinvestororofakeymanagerrefertothefamilymemberswhomayinfluence,orbeinfluencedby,thatindividualindealingwithtransactionswiththeCompany.10)Othercompanieswhicharecontrolledorjointlycontrolledbytheprincipalindividualinvestors,orkeymanagers,ortheclosefamilymembersofsuchindividuals,oronwhichtheprincipalindividualinvestors,orkeymanagers,ortheclosefamilymembersofsuchindividualshavesignificantinfluence.-4-Practitioner’sNotes/提示Thisdocumentrequestlistisadaptedforprivately-ownedlimitedcompaniesinthePRC.However,appropriaterevisionsshouldbemadeforeachtargetcompany.本盡職調(diào)查文件清單適用于中國的私營有限責(zé)任公司。但是，針對每一個目標(biāo)公司進(jìn)行調(diào)查時應(yīng)當(dāng)對清單做出適當(dāng)?shù)恼{(diào)整。Forexample,itshouldnotbeusedwithoutsubstantialrevisionsforstate-ownedcompanies,agriculturalenterprises,listedcompaniesorcompaniesthatissuesecurities.如，本清單在未進(jìn)行必要改動之前不應(yīng)適用于國有企業(yè)、農(nóng)業(yè)生產(chǎn)企業(yè)、上市公司或發(fā)行其他證券產(chǎn)品的公司。-5-PLEASEPROVIDETHEFOLLOWING:請?zhí)峁┫铝形募?BasicInformation1基本信息Provided/已提供Practitioner’sNotes/提示GiveanintroductiontotheCompany.公司介紹1.1Currentbusinesslicense,showinglatestannual1.1□inspection1.2IftheCompanyispartofagroup,theshareholding□1.2如果公司為集團(tuán)的一部分，集團(tuán)的股權(quán)結(jié)構(gòu)圖，說明集團(tuán)structureofsuchgroupinachartshowingallimportantrelationshipsandconnectionsbetweenthe公司的成立地groupcompanies(includingholdingofsharesintrust),aswellaseachcompany’scountryofincorporation1.3Internalorganizationchartandotherinformation□1.3內(nèi)部組織結(jié)構(gòu)圖以及其他信息，說明公司內(nèi)部部門組成以showingdepartmentsandauthorityofofficers及部門主管的權(quán)力和職責(zé)1.4AlistofcitiesandcountrieswheretheCompany’s1.4公司資產(chǎn)（有形和無形）以及員工所在城市和國家列表□assets(tangibleandintangible)andemployeesarelocated-6-1.5Listofcurrentdirectors,supervisorsandsenior□1.5公司目前的董事、監(jiān)事以及高級管理人員名單以及其任命officersoftheCompanyandtheirlettersof函appointment1.6Authorizationsgivenbytheboardorbydirectors□1.6董事會或董事授權(quán)特別指定代理人處理某項特殊事務(wù)的授tospecially-appointedagentstodealwithsome權(quán)書particularmatter1.7ReportsrecentlypreparedbytheCompanyregarding1.7公司最近有關(guān)業(yè)務(wù)及重要事項的報告□businessandimportantmattersfacingtheCompany2HistoricalChanges2歷史變更Provided/已提供Practitioner’sNotes/提示ShowthattheCompanywasdulyestablishedandlawfullyexists.表明公司依法成立并合法存續(xù)。HighlightmajorhistoricalchangestotheCompany.突出公司的重要?dú)v史變更。2.1PriortotheestablishmentoftheCompany:2.1公司成立以前：□(1)resolutions&minutesofmeetingofpromoters(1)發(fā)起人會議的決議和會議記錄□-7-(2)agreementsenteredintobythepromoters(2)發(fā)起人之間達(dá)成的協(xié)議□2.2AttheCompany’sestablishmentorduringmajor2.2公司成立期間或公司進(jìn)行重大變更期間：□changetotheCompany:(1)feasibilitystudyreports,projectproposalsand□(1)為取得公司擬開辦業(yè)務(wù)有關(guān)批準(zhǔn)而提交予政府部門的可行otherapplicationssubmittedtogovernment性研究報告、項目建議書或其他申請文件authoritiesforthepurposeofapprovingtheintendedbusinessactivitiesoftheCompany(2)officialdocumentsfromortogovernment□(2)與上述有關(guān)的政府部門復(fù)函或給政府部門的函件，包括相authoritiesrelatingtotheabove,includingif關(guān)行業(yè)主管部門或相應(yīng)級別的主管部門的批準(zhǔn)（如工業(yè)和applicableapprovalsfromgovernmentregulatorsfor信息化部對電訊公司的批準(zhǔn)，或國家對鼓勵項目的批準(zhǔn)等certainindustriesorclassesofcompanies(suchas等）approvalfromMIITfortelecommunicationscompanies,orforaprojectencouragedbythestate,acertificatetothateffect)(3)SASACapprovalifstate-ownedassetsareinvolved(3)如涉及國有資產(chǎn)，國有資產(chǎn)監(jiān)督管理部門的批準(zhǔn)文件□2.3SincetheestablishmentoftheCompanyuntilthe2.3公司自成立至今□present(1)businesslicenses,includinganyamendmentsand(1)營業(yè)執(zhí)照，包括變更的營業(yè)執(zhí)照和所有年檢紀(jì)錄□showingallannualinspectionpassed(2)amendmentstoinformationregisteredwithAIC(2)工商局的變更登記證明□(3)AOA,includinganyamendments(3)章程，包括所有章程修正案□(4)JVcontracts(ifapplicable),includingany(4)□-8-amendments(5)capitalverificationreports;assetappraisal(5)驗資報告；以非現(xiàn)金出資的資產(chǎn)評估報告□reportsforin-kindcontributions(6)MOFCOMapprovalsforFIEestablishment,including□(6)商務(wù)部門批準(zhǔn)外商投資企業(yè)成立的批準(zhǔn)，包括任何變更或anyamendmentsandshowingallannualinspection年檢記錄passed(7)organizationalcodecertificates,includingany(7)組織機(jī)構(gòu)代碼證，包括任何變更和年檢記錄□amendmentsandshowingallannualinspectionpassed2.4ForallchangestotheAICregisteredinformation□2.4工商變更登記信息（如章程修改、合資合同修改，增資，(suchasamendmentofAOA,amendmentofJV變更董事、經(jīng)營范圍變更、收購、吸收、合并、分立、重contracts,increaseofcapital,changeof組等等）directors,changeofbusinessscope,acquisition,merger,divestiture,restructuring,etc.)(1)shareholderandboardresolutionsoftheCompany(1)公司股東會及董事會決議□(2)contractsrelatingtosuchchangeortransaction(2)該等變更或交易的相關(guān)合同□(3)shareholderandboardresolutionsofotherparties(3)交易相對方的股東會決議和董事會決議□tosuchtransaction3Shareholders3股東Provided/已提供-9-Practitioner’sNotes/提示AllowapotentialinvestortoassessothershareholdersandtheirpotentialimpactonthevalueoractivitiesoftheCompany.使?jié)撛谕顿Y者能夠?qū)ζ渌蓶|情況以及他們可能對公司的價值或行動造成的影響進(jìn)行評估。3.1Generalinformationregardingtheshareholders□3.1股東的基本信息（包括是否國有企業(yè)或中外投資企業(yè)）以(includingwhetheranyarestate-ownedenterprises及股東之間的關(guān)系orFIE)andhistoricaldealings/interactionsamongthem3.2Businesslicenseorpersonalidentificationcardof3.2營業(yè)執(zhí)照或個人身份證明□shareholders3.3Anyagreementsamongsomeorallshareholders3.3部分或全部股東關(guān)于公司的任何合同、協(xié)議□regardingtheCompany4Financing4融資Provided/已提供-10-Practitioner’sNotes/提示ProvideinformationontheextentoftheCompany’sdebtobligations(includingguaranteesofdebts).Assesswhethersuchdebtsareincompliancewiththelaw,suchasforeignexchangelaws.評估該等債務(wù)是否合法，比如是否符合有關(guān)外匯管理的法律。Discoveranythingthatmaycausedefaultonthedebts.發(fā)現(xiàn)有可能造成債務(wù)履行違約的其他情況。4.1SAFEofficialdocuments,suchasforeignexchange□4.1外匯管理部門文件，如外匯登記證，外債登記證和外債償registrationcertificate,foreigndebtregistration還核準(zhǔn)，包括任何變更和年檢記錄certificateandforeigndebtrepaymentapprovals,includinganyamendmentsandshowingallannualinspectionpassed4.2MOFofficialdocuments,suchasthefinancial4.2財政部門文件，如財政登記證，包括任何變更和年檢記錄□registrationcertificate,includinganyamendmentsandshowingallannualinspectionpassed4.3Contractsrelatingtoalldebt,financingor□4.3所有與借款、融資或保證有關(guān)的合同，包括與擔(dān)保權(quán)益有g(shù)uarantees,includingthoserelatingtosecurity關(guān)的合同（抵押、質(zhì)押、留置等）和信用貸款合同interests(mortgages,pledges,liens,etc.)andcreditfacilities4.4Informationanddocumentsrelatingtothe4.4有關(guān)前述合同履行情況的信息和文件，包括：□-11-performanceoftheabovecontracts,including:(1)whetherallreportingandregistrationrequirements(1)是否全部報告及登記要求均已得到遵守□havebeencompliedwith(2)whetherallmaterialcovenantsincludingfinancial(2)是否全部重大承諾包括財務(wù)承諾/比率均已得到遵守□covenants/ratioshavebeencompliedwith(3)whetheranyeventofdefaulthasoccurred(3)是否發(fā)生任何違約行為□(4)whetheranynoticeordemandhasbeenservedonthe□(4)與違反或未遵守貸款或擔(dān)保文件的任何規(guī)定相關(guān)的任何通Companyinrelationtodefaultornon-compliance知或要求是否已送達(dá)公司withanyoftheprovisionsofloanorsecuritydocumentation(5)anyfurtheractiontakenbylenderstoenforceany□(5)貸款人為強(qiáng)制執(zhí)行任何擔(dān)保權(quán)益采取的任何進(jìn)一步行動securityinterests(e.g.appointmentofreceivers,（如指定接管人、開始清算程序等）commencementofwindingupproceedingsetc.)4.5Receiptsordocumentsfromthebankshowing4.5銀行關(guān)于收到還款的收據(jù)或其他文件□paymentsmadeondebt4.6Informationanddocumentsrelatingtobankaccounts4.6銀行賬戶（所有類型）的信息和文件□(ofalltypes)oftheCompany4.7Informationanddocumentsrelatingtoother□4.7除銀行貸款以外公司的其他融資安排的相關(guān)信息和文件，financialarrangementotherthanbankingloanwith包括現(xiàn)金預(yù)付款、融資租賃、延期付款安排、售后回租、theCompany,includingcashadvances,financial掉期交易、套頭交易及類似的風(fēng)險管理安排、公司發(fā)行的lease,deferredpaymentarrangements,saleand債券、公債、票據(jù)或類似債務(wù)文件leaseback,swaps,hedgesandsimilarrisk-12-managementarrangements,debentures,bonds,notesorsimilardebtinstrumentissuedbytheCompany4.8PotentialfactorsthatmaycausetheCompanyto□4.8可能導(dǎo)致公司違反還款義務(wù)和償還其他應(yīng)付款義務(wù)的潛在defaultonitsdebtsorotherpayables因素4.9Auditedannualfinancialreportsforrecentyears,4.9近三年度的年度審計報告、半年度報告和季度報告□semi-annualreportsandquarterlyfinancialreportsforyear-to-date4.10Currentandfuturefinancialplansandbudgets4.10目前和將來的融資計劃和預(yù)算□5Investments,LoansandSecurityInterests5投資、貸款和擔(dān)保權(quán)益Provided/已提供Practitioner’sNotes/提示ProvideinformationontheequityanddebtrelationshipsbetweentheCompanyanditsaffiliates.提供有關(guān)公司與其關(guān)聯(lián)方之間的股權(quán)及債權(quán)關(guān)系信息。Assesswhethersuchinvestments,loansandsecurityinterestsareincompliancewiththelaw.評估該等投資、貸款和擔(dān)保權(quán)益是否合法。Assessthevalueandriskofsuchinvestments,loansandsecurityinterests.評估該等投資、貸款和擔(dān)保權(quán)益的價值和風(fēng)險。-13-5.1Informationonsharesofothercompaniesownedby5.1公司擁有的其他公司股權(quán)的信息，包括□theCompany,including:(1)sharecertificates(1)股權(quán)證□(2)AICregistrationofthesubsidiaryshowingthe(2)證明公司是該等公司股東的工商登記證明□Companyasashareholder(3)contractsenteredintoinrelationtothepurchase□(3)購買或成立該等公司的相關(guān)合同，如股權(quán)轉(zhuǎn)讓協(xié)議或合資orestablishmentofsuchcompanies,suchasshare合同purchaseagreementorJVcontract(4)shareholderandboardresolutionsrelatingtothe(4)與購買或成立該等公司有關(guān)的股東會或董事會決議□purchaseorestablishmentofsuchcompanies(5)documentsindicatinganypledgeontheshares(5)股權(quán)質(zhì)押的文件□(6)ifanygovernmentapprovalisrequiredforthe□(6)政府部門關(guān)于公司擁有該等公司股權(quán)的批準(zhǔn)文件（如境外Companytoholdsuchshares(suchasanoffshore投資）investment),therelevantapproval5.2InformationondebtsowingtotheCompany(directly5.2他人欠付公司債務(wù)（直接或間接）的相關(guān)信息，包括：□orindirectly),including:(1)contractswiththeCompanyasthelender,including□(1)公司作為出借人的合同，包括與抵押和其他擔(dān)保權(quán)益有關(guān)thoserelatingtomortgagesandsecurityinterests的合同(2)shareholderandboardresolutionsrelatingto(2)股東會或董事會關(guān)于批準(zhǔn)該等借款的決議□provisionofsuchloans-14-(3)receiptsordocumentsfromthebankshowing(3)銀行出具的關(guān)于償還該等貸款的收據(jù)或文件□paymentsmadeonsuchloans(4)anythingthatmayindicatethedebtisdifficultto(4)任何顯示債務(wù)難以收回的文件或信息□collect(5)contractsrelatingtoasecurityinterestinfavor(5)公司為出借人，而擔(dān)保權(quán)益受益人為第三方的相關(guān)合同□ofathirdpartyondebtowingtotheCompany5.3Informationonsecurityinterestsownedbythe5.3公司享有的擔(dān)保權(quán)益信息（如抵押、質(zhì)押、留置等）□Company(e.g.mortgages,pledges,liens,etc.),including:(1)contracts(1)合同□(2)registrationdocumentsfromgovernmentauthorities(2)政府部門的登記文件□(3)documentsindicatingtheseniorityofsuchsecurity(3)顯示擔(dān)保權(quán)益優(yōu)先順序的文件□interests(4)informationonthevalueoftheunderlying(4)押品價值的信息□collateral6Tax6稅務(wù)Provided/已提供-15-Practitioner’sNotes/提示AssesswhethertheCompanyhasanyoutstandingtaxobligations.評估公司是否存在任何未履行的賦稅義務(wù)。AssesswhethertheCompanyisincompliancewithtaxregulations.評估公司是否按照相關(guān)稅法的規(guī)定行事。6.1Officialdocumentsfromortothestatetax□6.1近三年的國家稅務(wù)局、地方稅務(wù)局或海關(guān)的文件，以及公authority,localtaxauthorityandcustomsof司向該等部門發(fā)出的函件，包括：recentyears,including:(1)stateandlocaltaxregistrationcertificate,(1)國家和地方稅務(wù)登記證，包括任何變更和年檢記錄□includinganyamendmentsandshowingallannualinspectionpassed(2)taxfilingsprovidedtoandpaymentverification□(2)納稅申報表以及稅務(wù)部門出具的納稅證明，包括所得稅，issuedbyalltaxauthorities,includingforincome增值稅，營業(yè)稅等tax,value-addedtax,businesstax,etc.(3)approvallettersregardingexemptions,preferential(3)關(guān)于稅收豁免、稅收優(yōu)惠、免稅期等的政府文件□treatment,taxholidays,etc.(4)thoserelatingtoexpected,ongoingorrecent□(4)與預(yù)期的、正在進(jìn)行的和近三年的稅務(wù)審計、調(diào)查或稅收audits,investigationsordutydisputes(include爭議的文件（包括公司的任何陳述）anystatementsfromtheCompany)(5)levyandexemptioncertificateforimport/export(5)進(jìn)出口貨物征免稅證明□-16-6.2Astatementoftaxescurrentlypayableandits6.2最近的應(yīng)付稅款或其計算方法的說明□calculation7Employment7雇員Provided/已提供Practitioner’sNotes/提示GiveinformationontheCompany’shumanresourcessystem.提供有關(guān)公司人力資源系統(tǒng)的信息。Assesstheriskofnon-compliancewithemployment,immigrationorsocialinsurancelaws.評估公司是否存在未符合相關(guān)勞動法、移民法或社會保險法的風(fēng)險。7.1Informationregardingthehumanresourcesofthe7.1公司人力資源的信息□Company(1)totalnumberofpersonnelineachdepartmentor(1)各部門各級別的人員總數(shù)（包括管理層、員工等）□grade(management,labor,etc.)(2)employee’shandbookandotherinternalrules&□(2)員工手冊和其他內(nèi)部規(guī)章制度，包括對這些規(guī)章制度是如regulations,includingadescriptionofhowthey何制定、修改和發(fā)布的描述areformulated,revisedandpublicized(3)overtimepolicy,includingwhethertheCompany(3)加班政策，包括公司是否安排補(bǔ)休或支付加班費(fèi)以及這些□-17-arrangesforalternativerestperiodsorfor政策是否得到遵守overtimepaymentandwhethersuchpolicyisadheredto(4)actualnumbersofovertimehoursworkedbyeach(4)每個員工的實際加班時間□employee(5)stockoptionsforemployeesandotherbenefits(5)員工股票期權(quán)計劃和其他福利□7.2Relevantcontracts,suchas:7.2相關(guān)合同，如：□(1)Employmentcontractsandcontractsfortraining,□(1)高級管理人員和關(guān)鍵技術(shù)人員的勞動合同\培訓(xùn)合同、保confidentiality,non-disclosureandnon-competition密協(xié)議、非競爭協(xié)議betweentheCompanyandseniormanagementandkeytechnicalpersonnel(2)Employmentformcontract(s)usedbytheCompany,□(2)公司采用的勞動合同范本，包括全職、兼職和聘用外勞的includingfull-time,part-timeandforeign合同employees(3)Formcontractsfortraining,confidentiality,non-(3)培訓(xùn)合同、保密協(xié)議、非競爭協(xié)議范本□disclosureandnon-competition(4)Formcontractswithindependentcontractors,such(4)勞務(wù)合同范本，如實習(xí)生和退休人員□asinternsandretirees(5)Labordispatchagreementandserviceoutsourcing(5)勞務(wù)派遣協(xié)議及勞務(wù)外包協(xié)議□agreement7.3Workpermitsandresidencepermitsforforeign7.3外籍員工的工作許可證和居留證□-18-employees7.4Documentsrelatingtosocialinsuranceandhousing7.4社會保險文件和住房公積金文件□fundcompliance:(1)socialinsuranceregistrationcertificateand(1)社會保險登記證和住房公積金開戶證明□housingfundaccountestablishmentcertificate(2)proofthattheCompanyhasfullypaidsocial□(2)公司已為其全部員工足額繳付社會保險費(fèi)和住房公積金的insuranceandhousingfundforallitsemployees證明(3)proofofpaymentforunionsandworkplacehealth(3)支付工會費(fèi)和職業(yè)健康補(bǔ)償?shù)淖C明□compensation7.5Proofofemployee’sincometaxwithholdingduring7.5最近三個月代扣員工個人所得稅的證明□thelast3months7.6Informationanddocumentsrelatingtolaborunions7.6公司員工所屬工會的信息和文件□thattheCompany’sworkersbelongto7.7Informationanddocumentsrelatingtoany□7.7任何潛在、正在進(jìn)行或近三年的雇傭或勞動爭議的信息和potential,ongoingorrecentemployment/labor文件disputes8Environment8環(huán)境保護(hù)Provided/已提供-19-Practitioner’sNotes/提示ProvideinformationaboutactivitiesoftheCompanythatmayberegulatedunderenvironmentallaws.提供有關(guān)公司所從事的任何有可能受環(huán)保法律規(guī)制的活動的信息。Assessanyriskofnon-compliancewithenvironmentallaws.評估任何可能違反環(huán)保法律的風(fēng)險。8.1Officialdocumentsfromortoenvironmental□8.1有管轄權(quán)的環(huán)保部門對環(huán)境問題出具的文件，以及向該等authoritiesorthosehavingsomejurisdictionover部門發(fā)出的函件environmentalmatters,including:(1)environmentallicenses,registrations,assessments(1)許可證、登記、評估等□(2)permitsandapprovalsrelatingtourbanplanning,□(2)與城市規(guī)劃、用水、空氣質(zhì)量、固體廢物處理、石油、煤water,airquality,solidwastedisposal,oiland氣和天然氣運(yùn)輸和儲存相關(guān)的許可證和批準(zhǔn)gastransportandstorage8.2Informationaboutenvironmentallysensitive8.2受管制或?qū)⑹芄苤频沫h(huán)境敏感活動的信息，包括□activitiesthatareormayberegulated,including:(1)informationanddocumentsregardinghazardous,□(1)與公司擁有、使用、儲存或以其他方式處置的危險、污染contaminatingorpollutingmaterialsowned,used,原料有關(guān)的信息和文件depositedorotherwisehandledbytheCompany(2)internalenvironmentalpolicyandwhethersuch□(2)所有須遵守的內(nèi)部環(huán)境政策；例如，可排放廢水量、排放policyisadheredto;forexample,thepermitted標(biāo)準(zhǔn)以及超額排放的處罰標(biāo)準(zhǔn)amountofwastewatertobedischarged,the-20-dischargestandardsandthepenaltyrateforexcessdischarge(3)anymajorpolicychangesorphysicaladditions/□(3)近三年，為符合環(huán)保法律法規(guī)而進(jìn)行的重大政策修訂或事changesmadeinrecentyearstocomplywith實上的變更，以及打算要做出的修訂environmentallawsandthoseexpectedtobemadeinthenearfuture8.3Informationanddocumentsrelatingtoany□8.3與政府部門或第三方在環(huán)境方面的任何潛在、正在進(jìn)行的potential,ongoingorrecentinvestigations,或近三年的調(diào)查、處罰或爭議penaltiesordisputeswiththegovernmentorthirdpartyregardingenvironmentalissues9MaterialContracts9重大合同Provided/已提供Practitioner’sNotes/提示ObtaindisclosureofcontractswhoseperformanceisvitaltothesurvivalorsuccessoftheCompanyorcontaintermsorhavecounterpartiesthatmaycreateriskfortheCompany.取得對公司的生存或成功經(jīng)營具有重大意義的合同信息或披露任何所包含條款或相對方可能使公司面對風(fēng)險的合同信息。ThepractitionershoulddefineandexplainthetechnicaltermsbelowtotheCompanysothattheycanprovidetheproperdocuments.盡職調(diào)查方應(yīng)當(dāng)告知公司以下技術(shù)性條款的定義或解釋以便公司能夠提供合適的文件。-21-9.1Informationanddocumentsrelatingtocontracts□9.1具有如下特征的信息和合同（在本清單中其他地方未提及(nototherwisedisclosed):的）：(1)wherethecontractsumisoverthematerialamount(1)合同金額超過重大金額□(2)enteredintobetweentheCompanyandatleastone(2)公司和最少一個關(guān)聯(lián)方或至少兩個關(guān)聯(lián)方之間簽訂的合同□affiliateorbetweenatleasttwoaffiliates(3)notenteredintoonarm’slengthterms(3)有非正常條款的合同□(4)thatareconfidentialityornon-disclosure(4)保密協(xié)議□contracts(5)withaperformanceperiodexpectedtobeinexcess(5)履行期超過六個月□of6months(6)withtermsthatareparticularlyoneroustothe(6)公司義務(wù)特別繁重的，或者對公司特別有利的□Companyor,conversely,particularlyvaluabletotheCompany(7)thoughtbytheCompanytobeinvalidor(7)公司認(rèn)為無效的或不能執(zhí)行的□unenforceable(8)wherethecounterpartyisbelievedtobeinsolvent(8)相對方被認(rèn)為將破產(chǎn)或不能履行其義務(wù)的□orincapableofmeetingitsobligations(9)whichrequiregovernmentapprovalforittobe□(9)需要政府部門的批準(zhǔn)以使其生效的（請同時提供該等批valid(alsoprovidesuchapproval)準(zhǔn)）9.2Informationanddocumentsrelatingtoexecutionof9.2有關(guān)上述合同履行情況的信息和文件，包括：□theabovecontracts,including:-22-(1)whetherallreportingandregistrationrequirements(1)是否與上述交易相關(guān)的全部報告及登記要求均得到遵守□inrespectoftheabovetransactionshavebeencompliedwith(2)whetherallmaterialcovenantshavebeencomplied(2)是否全部重大承諾均已得到遵守□with(3)whetheranyeventofdefaulthasoccurred(3)是否發(fā)生任何違約行為□(4)whetheranynoticeordemandhasbeenservedonthe□(4)與違反或未遵守上述合同或交易的任何規(guī)定相關(guān)的任何通Companyinrelationtodefaultornon-compliance知或要求是否已送達(dá)公司withanyoftheprovisionsoftheabovecontractsortransactions(5)anyfurtheractiontakenbyotherpartiestothe□(5)上述合同或交易的其他方為強(qiáng)制執(zhí)行任何擔(dān)保權(quán)益采取的abovecontractsortransactionstoenforceany任何進(jìn)一步行動（如指定接管人、開始清算程序等）securityinterests(e.g.appointmentofreceivers,commencementofwindingupproceedingsetc.)10Disputes10爭議Provided/已提供-23-Practitioner’sNotes/提示ObtaindisclosureofdisputesthatmaymateriallyaffectorcreateriskfortheCompany.取得可能對公司造成重大影響或產(chǎn)生風(fēng)險的相關(guān)爭議的信息。10.1Informationanddocumentsrelatingtopotential,□10.1公司、其股東、子公司、高級管理人員和董事的潛在的、ongoingorrecentclaims,investigations,disputes,正在進(jìn)行的或近三年的權(quán)利主張、調(diào)查、爭議、行政處administrativepenalties,arbitrationsandcourt罰、仲裁和法院訴訟，包括它們的狀態(tài)和結(jié)果：proceedinginvolvingtheCompanyoritsshareholders,subsidiaries,seniorofficersanddirectors,includingtheirstatusandresolution,where:(1)morethanthematerialamountisindispute(1)超過重大數(shù)額的□(2)itisotherwisematerialtotheaffairsofthe(2)在其他方面對公司業(yè)務(wù)有重大影響的□Company11關(guān)于公司業(yè)務(wù)的政府批準(zhǔn)Provided/已提供11GovernmentAuthorizationsPertainingtotheCompany’sBusiness-24-Practitioner’sNotes/提示ItemsinthissectionmustbeadaptedtotheparticularlineofbusinessoftheCompany.本節(jié)中的各項應(yīng)適用于公司的特殊業(yè)務(wù)。Forregulatedindustries,certainactivitiesrequiretheexplicitauthorizationoftheregulator.對于受監(jiān)管的行業(yè)，某些活動應(yīng)當(dāng)取得監(jiān)管部門直接的授權(quán)。Somebusinessactivitiesalsoinvolveothergovernmentauthorities,suchascustoms.某些業(yè)務(wù)活動也可能涉及其他的政府部門，比如海關(guān)。11.1【X】11.1【X】□12LandandBuildings12土地和建筑Provided/已提供-25-Practitioner’sNotes/提示GiveinformationabouttheCompany’slandandbuildingtitle.提供有關(guān)公司土地和建筑物所有權(quán)的信息。GiveinformationabouttheCompany’songoingconstructionprojects.提供有關(guān)公司在建工程項目的信息。Assessanynon-complianceorrisksrelatingtosuchland,buildingandongoingconstructionprojects.評估該等土地、建筑物及在建工程項目是否違法或存在任何風(fēng)險。12.1Basicinformationregardingland,buildingsand12.1公司擁有的土地、建筑和在建工程的基本信息□constructionprojectsownedbytheCompany,including:(1)location(1)地址□(2)landareaandgrossfloorarea(2)占地面積和建筑面積□(3)intendeduse(3)目標(biāo)用途□(4)value/amountinvested(4)價值/已投資金額□(5)whetherthereisanyjointownership,profit□(5)物業(yè)中是否存在任何共有、權(quán)益分配、典權(quán)、地役權(quán)、租division,“dianrights,”easement,leaseholdsor賃或其他第三方利益otherthird-partyinvolvementintheproperty12.2Informationregardingpremisesleasedbythe12.2公司承租物業(yè)的信息，包括：□Company,including:-26-(1)leasecontractandassociateddocuments(1)租賃合同和相關(guān)文件□(2)leaseregistrationdocuments(2)租賃登記文件□(3)informationregardingthelessorsshowingtheyhave(3)出租人有權(quán)出租物業(yè)的證明文件□therighttothepremises(4)receiptsshowingstatusofrentpayment(4)租金支付的憑證□12.3Informationanddocumentsregardingongoing12.3在建工程的信息和文件，□constructionprojects,including:(1)timewhenprojectwassubmittedtotheconstruction□(1)工程提交相關(guān)政府部門審批的時間、工程開工時間、建設(shè)authorities,whenconstructioncommenced,進(jìn)度以及預(yù)計完工日期constructionprogressandexpectedcompletiondate(2)timingrequirementsstipulatedbytheauthorities(2)政府部門對工程進(jìn)度的時間要求□(3)contractors,constructionsupervisors(3)承包商、監(jiān)理人□(4)statusofpayments(includingreceipts)(4)付款情況（包括收據(jù)）□12.4Inrelationtoeachland,buildingandconstruction□12.4就公司所擁有的每一塊土地、建筑物以及在建工程而言，projectownedbytheCompany,allofficial所有由建設(shè)、環(huán)保、土地、規(guī)劃及其他政府部門出具或提documentsfromortoconstruction,environment,交予該等政府部門的官方文件，包括：land,planningandotherauthorities,including:(1)landgrantcontract,landtransfercontractorland(1)土地出讓合同、土地轉(zhuǎn)讓合同或土地劃撥批復(fù)□allocationapproval(2)documentsrelatingtocompletionofland□(2)完成土地出讓、拆遷以及支付完畢有關(guān)土地出讓、拆遷的requisitionandrelocationandpaymentofallfees所有費(fèi)用的相關(guān)文件-27-forlandrequisitionandrelocation(3)receiptshowingfullpaymentofconsiderationfor□(3)證明土地對價以及所有稅費(fèi)（包括契稅、印花稅、增值thelandandalltaxes(includingdeedtax,stamp稅）均已支付完畢的收據(jù)tax,value-addedtax)(4)landusecertificate,anddocumentsshowingany(4)土地使用權(quán)證以及說明土地上所附任何擔(dān)保權(quán)益的文件□securityinterestontheland(5)environmentalassessmentreport(anditsapproval)(5)環(huán)境影響評估報告（以及其批復(fù)）□(6)geologicaldisasterassessmentreport(andits(6)地質(zhì)災(zāi)害風(fēng)險評估報告（以及其批復(fù)）□approval)(7)constructionengineeringplanningpermit(7)建設(shè)工程規(guī)劃許可證□(8)constructionlanduseplanningpermit(8)建設(shè)用地規(guī)劃許可證□(9)constructioncommencementapproval(9)建設(shè)工程施工許可證□(10)acceptanceinspection(10)驗收報告□(11)buildingtitlecertificate,anddocumentsshowing(11)房產(chǎn)所有權(quán)證以及說明房產(chǎn)上所附任何擔(dān)保權(quán)益的文件□anysecurityinterestonthebuilding(12)firefightingpermit(12)消防許可證□(13)sanitationpermit(13)衛(wèi)生許可證□(14)civilianairdefensepermit(14)人防許可□12.5Informationandofficialdocumentsregardingany□12.5與有可能影響建筑物或土地用途的任何因素有關(guān)的信息和factorsthatmayaffecttheintendedpurposeofthe官方文件，包括：-28-buildingsorland,including:(1)materialdamagetoordeteriorationofthebuilding(1)建筑物或土地的重大損壞或退化□orland(2)thesurroundingnaturalandman-madeenvironment,□(2)周邊的自然環(huán)境及人工環(huán)境，如公用設(shè)施、道路及臨近建suchaspublicutilities,roadsanduseofnearby筑物的使用buildings13IntellectualProperty13知識產(chǎn)權(quán)Provided/已提供Practitioner’sNotess/提示AssesswhethertheCompanyinfringesanyIPofothercompanies.評估公司是否侵犯了其他公司的知識產(chǎn)權(quán)。AssesswhethertheCompany’sIPisprotectedandnotinfringedupon.評估公司的知識產(chǎn)權(quán)是否受到保護(hù)并未受侵權(quán)。13.1Informationanddocumentsrelatingtoforeignand□13.1有關(guān)公司或其子公司擁有的、目前正在使用或有可能使用domesticIPowned,currentlyusedorpossiblyused的國內(nèi)外知識產(chǎn)權(quán)的信息及文件，無論該等知識產(chǎn)權(quán)是否bytheCompanyoritssubsidiarieswhetherlicensed存在許可，該等信息應(yīng)包括：orunlicensed,whichforthispurposeincludes:-29-(1)trademarks(1)商標(biāo)□(2)tradenames(2)商號□(3)logos(3)標(biāo)識□(4)tradedresses(4)商業(yè)外觀□(5)internetdomainnames(5)互聯(lián)網(wǎng)域名□(6)patents,inventions,know-how(6)專利、發(fā)明、技術(shù)秘密□(7)tradesecrets,designs(7)商業(yè)秘密、設(shè)計□(8)copyrights,software(includingthoseonoffice(8)□computers),databases(9)layoutdesignsofintegratedcircuits(9)集成電路布圖設(shè)計□(10)newvarietiesofplantsandotherrightsofa(10)植物新品種及其他類似權(quán)利□similarkindowned13.2FortheIPabovethatislicensedtotheCompanyor□13.2對于以上知識產(chǎn)權(quán)如由他人許可公司使用或者由公司許可bytheCompanytoanother:他人使用：(1)licensingagreements(1)許可協(xié)議□(2)registrationcertificates(2)注冊證明□(3)proofthatthelicensoristheowneroftheIPor□(3)證明許可人為該知識產(chǎn)權(quán)的