海外并购尽职调查文件清单.docx

海外并购尽职调查文件清单DUE DILIGENCE DOCUMENTS CHECKLIST 尽职调查文件清单 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: 为便于 和 就有关 与 的交易进行尽职调查，请 提供下列企业关于业务、资产和经营方面的信息和文件： (Each a “Company” and collectively the “Companies”) (单独或合称为“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 documents in relation to the items indicated in this Documents Checklist. 若公司有任何具有独立法人地位的下属机构(“子公司”)，该子公司应视为另一个“公司”并另行按本文件清单所列事项提供答复及所有有关文件。 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 no particular order). 为了加快尽职调查的进程，我们准备了下列提纲列明所需要审阅的文件和信息(排序不分先后)。 1 As our due diligence progresses, additional documents and information may be requested. We would appreciate receiving your preliminary response as soon as possible. 随着我们尽职调查的进行，可能需要贵司进一步提供文件和信息，我们希望贵司能尽快提供初步反馈。 2 Note 备注 (To be Provided /N/A) (待提供/不适用) Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Part I Corporate Structure and Shareholding of each Company 第一部分 公司的组织结构和持股情况 1.1 Articles of Association and Joint Venture Contract (if any) and any amendments/revisions thereto. 公司章程和合资合同(如有)及其任何补充/修订。 Approval letter for the Articles of Association and Joint Venture Contract (if any) and any updates thereto. 公司章程和合资合同的批复(如有)及其任何更新。 Approval certificate for establishment of foreign invested company and any updates thereto. 外商投资企业批准证书及其任何更新。 Project Proposal and Feasibility Study Report (if any). 项目建议书及可行性研究报告(如有)。 Project verification letter. 项目核准函。 Business License and any updates thereto. 营业执照及其任何更新。 1.2 1.3 1.4 1.5 1.6 1.7 Details of any increases of capital, reductions of capital or other capital reorganizations involving the company that may have 3 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Note 备注 (To be Provided /N/A) (待提供/不适用) occurred since their respective dates of incorporation. 公司从合法注册之日至今一切增资、减资及资产重组的情况。 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. 任何有关改制、重组以及公司结构和股权变更的批复、意见、协议、合同和其他文件。 1.9 If applicable, names and addresses 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)名单、地址、职务及是否还担任其他公司董事(如适用)。 1.10 All asset valuation reports in relation to the company. 与公司有关的所有资产评估报告。 1.11 Annual inspection report of SAIC of the past three years (if any). 最近三年的工商年检报告(如有)。 1.12 Minutes/resolutions of meetings of the board of directors, board of supervisors and shareholders for the last three years. 过去三年的董事会、监事会和股东会的决议及记录。 1.13 Please also provide or confirm the following: 请提供或确认以下信息： 4 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) A list of all share options, share pledges, warrants or similar arrangements affecting the shares of the company. 影响公司股权的所有股票期权、质押、认股权证或类似的安排清单; (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 是否存在关于其他公司的股东间协议或关于股东之间和/或与第三方之间的任何与其他公司的股票或其他证券的投票权,处置权或取得有关的协议? (3) Corporate ownership chart of the company and their affiliates; and 公司和其关联方的股权结构图; 以及 (4) Operational structure chart of the company and their affiliates. 公司和其关联方的组织结构图。 Note 备注 (To be Provided /N/A) (待提供/不适用) (1) 5 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Note 备注 (To be Provided /N/A) (待提供/不适用) Part II Financial Status of each Company 第二部分 公司的财务状况 2.1 Copies of current 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 (验资报告), reports, certificates and other documents confirming the timing, form and valuation of all contributions to the registered capital of company. 公司现有的财务报表、管理账户(如有)、合并报表(如有)及最近三年经审计的财务报告,任何证明公司注册资本的出资时间。出资形式及出资价值的验资报告、证明或其他文件。 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 of any proposed discharge of such indebtedness. 公司负债的全部状况,包括目前对银行所有尚未还清的借款或其他欠款的数量以及详细情况,以及任何对该等负债的偿还计划。 2.3 Details of all loans made to or by the company, including all loans and indebtedness to directors, officers, employees or shareholders of 6 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Note 备注 (To be Provided /N/A) (待提供/不适用) any of the company or any other Companies in which any such director, employee or shareholder is interested. 有关公司间贷款的详细情况,包括与董事、管理人员、员工或股东之间的贷款和负债情况或与该等董事、管理人员、员工或股东利益相关的公司之间的贷款和负债情况。 2.4 All outstanding mortgages, charges (whether registered or not) and other security arrangements and documents relating to or affecting the company. 所有现存的与公司有关的或影响公司的抵押、质押(不论是否登记)或其他担保安排。 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. 所有有关保证,补偿或其他或有负债的详细情况及复印件,包括(a)公司对其他任何人士做出的该等安排; (b)或其他任何人士对公司做出的该等安排。 2.6 All hire purchase or instalment purchase agreements, finance leases, letters of credit, performance and other bonds, details of advance 7 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Note 备注 (To be Provided /N/A) (待提供/不适用) deposit payments for materials and similar documents involving or relating to the company, or a confirmation that the company have not entered into any such arrangements. 所有分期付款采购协定、财务租赁、信用证、履约保函或者其他保函、预付款和/或类似安排的详/情况,或者公司出具确认书确认不存在上述情况。 2.7 Details of factoring, off-balance sheet or other unusual financing arrangements and copies of related documentation. 有关应收款银行买断、表外融资或者其他特殊融资安排的详细情况及相关文件复印件。 2.8 Details of all contingent liabilities and commitments not recorded in the books of the company. 或有负债,或者其他没有记入公司报表的付款承诺的详细情况。 2.9 List of debtors more than three months old and details of standard discount and credit terms and credit or collection policies. 超过三个月的债务人名单、标准销售折扣、应收款期、以及其他授信和收款政策。 2.10 Financial projections for each of the company for the next five years. 8 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Note 备注 (To be Provided /N/A) (待提供/不适用) 公司未来五年的财务预测。 2.11 Describe in detail the dividend policy of the company. 请详细描述公司的股利政策。 Part III Government Regulation regarding each Company 第三部分 有关公司的*文件 3.1 Copies of all licenses, permits or other authorizations issued to the company by any government agency and of any related agreements and material correspondence, and with respect to the company, copies of the following: 以下和公司相关的所有执照、许可或其他由任何*机构或相关合同和重要信件赋予公司的授权的复印件： (1) Local Tax Registration Certificate; 地税登记证; (2) State Tax Registration Certificate; 国税登记证; (3) Finance Registration Certificate; 财政登记证; (4) Foreign Exchange Certificate; 9 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) *登记证; (5) Customs Registration Certificate(if any); 海关登记证(如有); (6) Enterprise Legal Person Code Certificate; 组织机构代码证; (7) License for Open Account; 开户许可证; (8) Loan Card; 贷款卡; (9) Foreign Debt Registration Certificate (if any); 外债登记证(如有); (10) Social Security Registration Certificate; 社保登记证; (11) Statistics Registration Certificate; 统计登记证; (12) State-owned Assets Registration Certificate (if any); 国有资产产权登记证(如有) ; (13) Planning Permit for Use of Construction Land; Note 备注 (To be Provided /N/A) (待提供/不适用) 10 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) 建设用地规划许可证; (14) Construction planning permit; 建设工程规划许可证; (15) Construction permit; 建筑工程施工许可证; (16) Report of acceptance of construction; 竣工验收报告; (17) Details of any filings relating to acceptance of construction with relevant authority and copies of related correspondence; 在相关机构的竣工验收备案及相应往来的复印件; (18) License for Operating Distribution of Movies; 电影发行经营许可证； (19) License for Operating Projection of Movies; 电影放映经营许可证； (20) Certificate of Projection Equipment for Digital Movie; and 数字电影放映设备技术合格证；以及 (21) Any other operating license(s), permit(s) and consent(s) issued by PRC authorities to the company with respect to its Note 备注 (To be Provided /N/A) (待提供/不适用) 11 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) operation. 所有中国*颁发给公司的和其经营相关的其他经营证书、许可和同意。 Copies of any reports, notices or correspondence relating to any alleged violation or infringement by the company of any government regulation, license, permit or other authorization. 如果公司曾经违反任何中国的法律法规、执照、许可或者其他授权，请提供有关报告，通知或回应的复印件。 Note 备注 (To be Provided /N/A) (待提供/不适用) 3.2 Part IV Taxation regarding each Company 第四部分 税务 4.1 Details of any tax clearances or rulings obtained within the last 3 years and copies of any tax indemnities taken or given. 过去三年中一切有关税务的支付、裁决的详细情况以及得到或支付的税务补偿的复印件。 4.2 Details of tax concessions, holidays and incentives granted to the company. 公司一切税务优惠、减免、鼓励的详细情况。 4.3 Details of any disputes with, or investigations by, any fiscal authority 12 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Note 备注 (To be Provided /N/A) (待提供/不适用) and of any disagreed assessments or arrangements or proposed arrangements for the settlement of any arrears, and copies of relevant correspondence. 与任何财税机关的有关税务的争议或者调查,任何对于税务评估或安排或计划安排的不服及随后的解决方案,以及相关回应的复印件。 4.4 Details and copies of any penalties, fines or interest charges imposed in relation to any taxes. 一切有关税务的罚款、罚金或罚息的详细情况和复印件。 Part V Property of each Company 第五部分 公司的财产 5.1 Details of any owned or leased properties. 任何有关自有或租赁财产的详细情况。 5.2 For each parcel of land used by the company, please provide the following information and documents: 对于公司使用的每一块土地,请提供下列信息和文件： (1) land use certificate; 土地使用权证书; 13 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) land grant contract or lease contract (if any); 土地使用权出让合同或土地租约(如有); (3) temporary licenses to install and repair plants (if any); 安装或维修厂房设备的临时性证书(如有); (4) evidence of payment of all land grant premiums, taxes and fees with respect to the land; and 土地出让金付款证明,相关的税收和费用支付证明; 以及 (5) list of all mortgages over the land, together with copies of all contracts, documents and registration certificates relating to such mortgage (including the mortgage contracts, loan contracts, mortgage registration certificates, etc.) 土地抵押情况清单,包括与该抵押相关的有关合同,文件和登记证书的复印件(包括抵押合同,贷款合同,抵押登记证明等)。 For each building owned or leased by the company, please provide the following information and documents: 对于任何公司自有或租赁的房产,请提供下列信息和相关文件： (1) list of rented or leased building, and their related agreements and the relevant permits and registrations; Note 备注 (To be Provided /N/A) (待提供/不适用) (2) 5.3 14 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) 租用或租赁房产的清单、相关合同及租赁许可或登记文件; (2) building ownership certificate; 房产证; (3) evidence of payment of all taxes and fees with respect to the building; and 与房产相关的支付相关税收和费用的证明; 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(包括办公物业)抵押情况清单,以及与该抵押相关的合同和文件(包括抵押合同、贷款合同以及抵押登记证明等)。 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. 公司所有的资产或权利所设的担保和公司提供的保证的清单,以及和上述担保和保证相关且之前未提供的所有合同和文件的复Note 备注 (To be Provided /N/A) (待提供/不适用) 5.4 15 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Note 备注 (To be Provided /N/A) (待提供/不适用) 印件。 Part VI Business and Operational Matters of each Company 第六部分 公司的业务和运营 6.1 Confirmation (and evidence thereof) that each of the company has all licenses and permits necessary to carry on its business. 公司确认并证明所有和公司运营有关的执照和许可都已经获得。 6.2 A schedule of all material plant, machinery and 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. 显示所有的工厂，机器，设备，汽车和其他有形资产的所有权，金融租赁或设置担保权益的实质条款清单。 6.3 Details of all fines, penalties or other breaches of legislation or regulations and copies of related correspondence. 所有罚款，处罚或其他违反法律，法规的细节及相应往来的复印件。 6.4 Details of any complaints, filings or reports relating to 16 Item 文件名称 Previously Provided (with the name and Reference Number Listed) 已提供 (列明文件名称及文号) Note 备注 (To be Provided /N/A) (待提供/不适用) anti-competitive practices, anti-trust, pricing, marketing or other practices and copies of related correspondence. 任何有关反不当竞争，反垄断，不当价格或市场其他的投诉，备案或报告的复印件或相应往来的复印件。 6.5 Copies of the operational manuals for finance procedures, construction/procurement procedures and operation and maintenance procedures. 财务流程，工程流程，采购流程及运营和维护流程的操作运营手册。 Part VII Contracts regarding each Company General 第七部分 有关公司的合同-概况 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. 公司作为或曾作为收购、股票销售、商业(包括公司内的任何股票收购)，合资，合伙、投资其他实体或重组合同的一方的所有合同的复印件。 7.2 Copies of all license, distribution, franchise, agency, research and 17 Item 文件名称 Previously Provided (with the