四大会计师事务所之一尽职调查所需资料清单-中英文对照_最新修正版
尽调清单(中英文)
.. ;.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 Request. 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 each 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 satisfied.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 occurs 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。
史上最全尽职调查所需资料清单
成立至今，目标公司的按性质分类的其它应收款和预付账款的明细
6
存货
6.1
成立至今，目标公司的存货按原材料、在产品、产成品、在途存货及其它主要项目的分类明细
6.2
目标公司在成立至今的存货库龄分析
6.3
在最近可行日期的目标公司的呆滞损坏存货的详细资料(包括名称、数量及金额)
6.4
目标公司成立至今的存货盘点报告
3
利润表
3.1
目标公司的成立至今的按主要产品/项目分类的销售收入明细、销售数量明细、以及销售成本明细
3.2
目标公司的成立至今的按销售额统计的十大客户清单，请列明销售数量和销售金额、对应的销售成本，并提供相应客户的销售合同（请见附表1）
3.3
目标公司的主要产品，在成立至今期间，每个月的各产品平均销售价格
3.7
目标公司的各种主要原材料，在成立至今期间，每个月的各原材料平均采购价格
3.8
管理费用明细（成立至今）
3.9
销售费用明细（成立至今）
3.10
财务费用明细（成立至今）
3.11
营业外收入及支出的明细（成立至今）
3.12
非经常性项目的明细（成立至今）
4
现金、银行存款以及银行贷款
4.1
截至2017年9月的目标公司所有银行账户的对账单以及银行余额调节表
1.6
目标公司的关联方清单。包括关联方名称、与目标公司的关系
1.7
目标公司在成立至今与关联方之间所有的重大关联交易的详细情况（包括金额和交易安排），关联方账户往来的余额以及还款条款的明细
2
财务信息和内部控制环境
2.1
目标公司的成立至今经审计财务报表的复印件和电子版本。经审计财务报表包括：审计报告、财务报表和财务报表附注
尽职调查资料-中英文对照版
.Due Diligence lists尽职调查资料清单1.Basic information company and History一、公司基本资料及历史沿革1.1The latest business license ,organization code certificate ;最新的营业执照、组织机构代码证1.2 Articles of Association currently;现行有效的公司章程1.3Detailed written description of the following main profiles:下列主要概况的详细书面说明:1.3.1History历史沿革1.3.2 Company on the industry and profile information of the company industry status .Business scope and the mode of operation ,the market share of the company are included.公司所处行业及公司行业地位的简介资料；包括经营范围、经营方式、市场占有情况等；1.4 The latest shareholding structure,organization chart (all departments and affiliated companies are contained).最新的股权架构、组织结构图(含所有职能部门、下属企业)1.5 Companies engaged in business activities Certificates (or franchise certificate).公司所从事业务活动的资质证书(或特许经营证书)1.6 Related capital increase agreement ,equity transfer agreement and related documents;employee stock ownership plan ,labor union ,trust, principal holdings and related agreements(Depending on the actual situation);相关增资扩股协议、股权转让协议及相关文件；内部职工持股、工会、信托、委托持股情况及相关的协议（如有）;1.7 All previous the verification report of increase registered capital since the company establishment,all previous evaluation report of the company(Depending on the actual situation).公司设立以来历次增(减)注册资本的验资报告(工商局登记复印资料)，公司历次评估报告（如有）；1.8 A full set of industry and commerce the end of file data(including subsidiaries,since the establishment of the beginning).全套工商局登记底档资料(含子公司，自设立始)2.Corporate governance and internal Control公司治理及内部控制2.1Directors, supervisors, senior executives and resume list;董事、监事、高管人员名单及简历；2.2 The written explanation of the modify of articles of association all previous .章程的历次修改情况书面说明；2.3All of the shareholder resolution since the company set up , the resolutions of board of directors and the board of supervisors .公司设立以来历次股东会决议、董事会、监事会会议决议2.4 A full set of effective internal control system currently .全套公司现行有效的内部控制制度。
会计师尽职调查所需资料清单
会计师尽职调查所需资料清单（以下所需资料为根据审慎性调查目标设定的一般所需文件，随我们工作的开展还会有一些具体资料烦请贵公司予以补充，但同时下述文件也可能存在不适用贵公司的条款，因我们对贵公司的具体情况尚不十分了解，故请一并谅解。
下述文件可能存在与券商、律师等其他中介机构所需资料相同的，提请贵公司一式多份同时向各方提供。
）（以下资料如与立信大华IPO审计资料相同，则优先提供一份给尽职调查资料即可）一. 组织性文件1．公司的组织性文件1.1.1 公司的章程、细则、内部管理条例或其他有关公司组建及改组文件，包括目前有效的和任何对该等文件进行修改的文件。
1.1.2 公司的营业执照（正、副本），发起人协议、股东协议、批准证书以及与成立、组建及改组有关的任何其他政府批文，包括任何对该等文件进行修改的文件。
1.1.3 公司的验资报告、出资证明和资产评估证明及／或产权登记证；公司现有的注册资本及其历次变更的证明文件和工商变更登记。
1.1.4 公司历次股权变更的证明文件及相关的决议和协议。
1.1.5 公司的组织结构图，该图应显示公司及其下属企业的投资方及其各自持股或拥有权益的比例。
1.1.6 所有有关公司历史的重要材料，包括其前身的组建过程以及公司成立之后进行的改组、兼并、合并、分立、资产交换或收购、出售等重大活动。
1.1.7 公司自设立以来的公司文件记录，包括：1.1.7.1 董事会会议纪录、股东会会议纪录及监事会会议纪录；1.1.7.2 向公司主管部门或机构提交的报告、公司编制的或由其管理层委托编制的报告或分析、对员工所作的管理报告；1.1.8 公司的公司名称、商业名称（如果有别于公司名称）、登记号、注册地址、主要办事处所在地。
2．公司股东的文件1.2.1 公司股东是否将其所持有的公司的股份设置了质押或其他第三者权益，如有，请提供有关合同及登记备案文件。
3．公司成立至今是否存在任何收购或处置资产的事项，如有请提供相关文件资料。
尽职调查提纲及文件清单 中英文
尽职调查提纲及文件清单中英文Contents and document list of Due Diligence Report一：企业基本情况、发展历史及结构：The basic information, evolvement and organizational structure of the company法定注册登记情况 Registration股权结构 Ownership structure下属公司 Subsidiaries and branches重大的收购及出售资产事件 Key events of purchasing and selling assets经营范围 Business scope二：企业人力资源 Human resources管理架构（部门及人员）Management structure (Departments and staffing)董事及高级管理人员的简历 Resume of Directors of the Board and members of the upper management team酬薪及奖励安排 Policies on compensations, rewards and penalties员工的工资及整体薪酬结构 Salary structure员工招聘及培训情况 Recruitments and training arrangements退休金安排 Benefits Policy, e.g. Pensions三：市场营销及客户资源 Marketing, Sales and Customer resources产品及服务 Products and services重要商业合同 Important business contracts市场结构 Market structure销售渠道 Distribution channels销售条款 Sales policies and terms销售流程 Sales management procedure定价政策 Pricing policy信用额度管理 Credit & Risk exposure management市场推广及销售策略 Marketing and sales strategy促销活动 Promotion activities售后服务 Post-sales services客户构成及忠诚度 Customer base composition and customer loyalty四：企业资源及生产流程管理 Enterprise resources and production management1. 加工厂 Factory and plant2. 生产设备及使用效率 Equipments and production capacity3. 研究及开发 Research and development4. 采购策略 Purchasing policy5. 采购渠道 Purchasing channels6. 供应商 Suppliers7. 重大商业合同 Important business contracts五：经营业绩 Business performance会计政策 Accounting policy历年审计意见 Auditing results of the last three years if available三年的经营业绩、营业额及毛利详尽分析 Analysis on business performance, sales revenue and gross profit of the last three years if available三年的经营及管理费用分析 Analysis on operation and administration expenses of the last three years if available三年的非经常项目及异常项目分析 Analysis on non-frequent and abnormal activities of the last three years if available各分支机构对整体业绩的贡献水平分析 Analysis on the contribution of each subsidiary to the overall business performance六、公司主营业务的行业分析 Industry analysis行业现状及发展前景 Current situation and anticipation of industry development trend中国特殊的经营环境和经营风险分析 Analysis on business environment and operational risks in China公司在该行业中的地位及影响The subject company’s position and influence in the industry七：公司财务情况 Financial status三年的资产负债表分析 Three years Balance Sheet if available资产投保情况分析 Analysis on assets insurance status外币资产及负债 Capital and debts in foreign currency历年财务报表的审计师及审计意见Auditors’ opinion on the financial reports of the past years最近三年的财务预算及执行情况 Financial budgets and performing status of the last three years if available固定资产 Fixed assets或有项目（资产、负债、收入、损失）Contingent Items on assets, debts, income, losses无形资产（专利、商标、其他知识产权）Intangible Assets, e.g. patent, logo and other intellectual property rights八：利润预测 Profitability forecast未来两年的利润预测 Profit forecast of the next two years预测的假设前提 Assumptions of the forecast预测的数据基础 Foundation of the forecast本年预算的执行情况Current year’s budget performing status九：现金流量预测 Cash flow forecast资金信贷额度 Commercial and Bank Credit Limits贷款需要 Needs on loans借款条款 Borrowing terms十：公司债权和债务Creditor’s rights and liability（一）债权Creditor’s Rights债权基本情况明细 Details of rights债权有无担保及担保情况 Collateral/guarantee status on the rights债权期限Duration of the creditor’s rights债权是否提起诉讼 Legal actions pursued（二）债务 Debts and Liabilities1.债务基本情况明细 Details of the liability2.债务有无担保及担保情况Collateral/guarantee status on the Liabilities3.债务抵押、质押情况 Mortgage and pledge4.债务期限 Duration of the liabilities5.债务是否提起诉讼 Legal actions pursued十一：公司的不动产、重要动产及无形资产 Properties, valuable assets and intangible assets土地权属 Land property房产权属 House property车辆清单 Automobiles专利权及专有技术 Patents and self-developed technologies以上资产抵押担保情况 Mortgage and collateral status on the above listed assets十二：公司涉诉事件 Lawsuits作为原告诉讼事件 Lawsuit put out by the subject company, as Plaintiff作为被告诉讼事件 Lawsuit against the subject company, as Defendant十三：其他有关附注 Other issues and comments公司股东、董事及主要管理者是否有违规情况 Violations by any of the shareholders, directors and executives if there’s any公司有无重大违法经营情况 Significant business operational violations by the company上级部门对公司重大影响事宜 Impact and influence from government administrative departments on the subject company十四：企业经营面临主要问题 Business obstacles and operational difficulties困难或积极因素 Obstacles & difficulties and the negative impacts or positive if there’s any应对措施 SolutionsDUE 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。
尽职调查清单(中英文)
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 regardedas another “Company” and should separately provide answers and all relevant documents in relation to the items indicatedin 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 informationthat 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)。
尽职调查报告所需文件清单
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Ref. 编号 Information requested 所需资料
3.4 Access to the Target's general ledger and underlying supporting information 目标公司的总帐和其相关证明，如:凭证 4 Related party transactions (NOTE: all information listed is required for 2005, 2006 and for the latest period available in 2007) 年度及2007最近期的金额 最近期的金额) 关联交易 (2005, 2006年度及 年度及 最近期的金额 4.1 Identify and provide details of all related party balances and repayment terms 关联方的身份及所有与关联方帐户的余额及还款条款的明细 4.2 Provide details of all significant related party transactions, including non-trade transactions with non-Target entities/operations such as management fees and corporate charges 所有重大关联交易的详情，包括与「非投资目标」单位的交易如管理费和企业费 4.3 Details of the Target's intercompany transfer pricing policy 请详述贵公司关联公司的转移定价政策 5 Financial budget and forecasts 财务预算给预测 5.1 Copy of management's budget for 2005, 2006 and 2007 管理层2005,2006, 2007年年度预算报告 5.2 An analysis of actual and budget, including explanations for variances to budget 实际营运与预算的差异分析 5.3 Management explanations of major assumptions used to prepare future forecast (if available) and plan t请管理层详细解释未来财务预测（如有）所采用的假设及拟采取的计划
新尽职调查所需材料清单
尽职调查需收集的资料清单（一）信托贷款业务所需资料清单
（一）信托贷款业务所需资料清单
附注：1、信托贷款业务是他益信托时，受益人参照“委托人”一栏提供所需资料。
2、信托贷款类业务中若保证人为自然人，需取得其贷款卡及密码
（一）信托贷款业务所需资料清单(附表)
（二）股权投资业务所需资料清单
附注：股权受益权投资、股权受益权买入返售适用本规定
（三）财产（权）信托业务所需资料清单
附注：财产（权）信托业务中的担保人、抵（质）押人参照“（一）信托贷款业务所需资料清单”提供相应资料。
（四）融资租赁业务所需资料清单
附注：融资租赁业务中的担保人、抵（质）押人参照“（一）信托贷款业务所需资料清单”提供相应资料。
（五）信贷资产转（受）让业务所需资料清单
注：委托人为金融机构所需资料参照信托贷款类银行委托人标准执行
私人股权投资信托尽职调查资料清单
证券投资类资料清单
总注：1、以上所有资料的复印件均需加盖公章
2、房地产类项目按《房地产信托业务管理办法》执行。
(财务会计)四大会计师事务所之一尽职调查所需资料清单中英文对照
Target – Project [ ]Information Request List (“IRL”) – Accounting and TaxAs of [ , ]审阅对象—项目会计及税务资料清单截止年月日The following is IRL for conducting a review of financial, certain operational and tax information of ________(the “Group”; references to “Company” or “Target” refer to any of the subsidiaries or legal entities of the Group). The “historical period” referred to herein is defined as the years ended___________, ______, and ______ (“Fiscal______, _______and ______”) and the ____ months ended _________, ______and ______ (“Interim _____ and ______”). Thus, the historical period has ____ separate periods within it. Please note that this IRL has three sections: I. Financial and Accounting; II. Tax; and III. Discussion Items.以下为对__________（以下简称“贵集团”；倘提及“贵公司”或“审阅对象”乃指贵集团之任何子公司或法定实体）进行的财务、经营及税务各方面的审阅,所需由贵公司准备的资料清单。
尽职调查清单中英文
1Due Diligence IssuesDaniel Chan Bonded Processing ArrangementsIssues relating to Bonded ProcessingArrangementsz factory transfer¾transfer of partially finished goods to anotherfactory for further processing before export¾non-refund of VAT on inputs3Bonded Processing Arrangements(cont’d)z import processing (“buy-sell”)¾title to imported materials ¾under customs supervision (no customsduties & import VAT)z processing & assembly (“consignment”)¾no title to imported materials¾no VAT on processing fees Bonded Processing Arrangements(cont’d)z equipment import¾VAT and duty free ¾preferential treatment may be changed5Licenses & PermitsAll licenses & permits (issued by national,provincial or other levels of governmentauthorities)z e.g. chemical manufacturing WFOE¾permits for production of dangerouschemical products¾permits for emission of waste TaxesSmugglingzimported machinery z import VAT and Custom duties receiptsIndividual Income Tax z withholding taxzdual employment contract Potential issue of retroactive payment oftaxes exempted under tax holiday, in assetacquisition scenario7Tax Implications on TransferAcquisition of equity interestz capital gain is subject to EIT Tax Implications on Transfer (cont’d)Acquisition of AssetzVAT on sale of equipment and machinery, inventory-exemption on used equipment zEIT on WFOE’s gain zstamp tax of either 0.03% or 0.05%z deed tax on real property and land use rights3% -5%9Transfer PricingPotential Tax Audit –Income TaxAdjustment Transactions with affiliatesztangible property zintangibles –cost sharing arrangement?z servicesTransfer Pricing Defense z functional analysiszcomparability studies Land and Building IssuesTypes of land use rightsz collectively-owned, allocated or grantedDocuments evidencing land use rights and buildingownershipz land grant contract, land use rights certificate, buildingownership certificateLand use rights or building ownership encumbered?z mortgaged?Occupation of building zbuilding completion certificate and approval for fireprotectionTrademark (“TM”)Determine types of TM the WFOEpossesses; identify the TM for the goodsand/or services that will be acquiredOwnership (own or user rights)z TM searchesz any sub-license grantedAny TM infringement litigation11EmploymentCross-border issues (expatriates visa, income tax liabilities, etc)Employment termination issuesSeverance payments for terminationInsurance policies: employment, asset, medical, etc.Due Diligence Checklist尽职调查文件清单This is a checklist for due diligence exercise on a foreign invested enterprise, which is in the nature of a wholly foreign owned enterprise (“WOFE”), a Chinese-foreign equity joint venture (“EJV”) or a Chinese-foreign cooperative joint venture (“CJV”).以下系对外商投资企业（公司”）进行尽职调查所需的文件清单，该公司之性质为外商独资企业（“外资企业”）、中外合资经营企业（“合资企业”）或中外合作经营企业（“合作企业”）。
尽职调查报告英文
尽职调查报告英文【篇一：尽职调查报告(共 3 篇)】篇一：尽职调查中英文并购尽职调查清单( 1)法定注册登记情况( registration )( 2)股权结构( ownership structure )( 3)下属公司( subsidiaries and branches )( 4)重大的收购及出售资产事件( key events of purchasing and selling assets )( 5)经营范围( business scope )2. 企业人力资源( human resources )( 1)管理架构(部门及人员)[ management structure( departments and staffing )]( 2)董事及高级管理人员的简历( resume of directors of the board and members of the upper management team )3. 市场营销及客户资源( marketing, sales and customer resources )( 1)产品及服务( products and services )( 2)重要商业合同( important business contracts )( 3)市场结构( market structure )4. 企业资源及生产流程管理( enterprise resources and production management )( 1)加工厂( factory and plant )( 2)生产设备及使用效率( equipments and production capacity )( 3)研究及开发( research and development )( 4)采购渠道( purchasing channels )( 5)供应商( suppliers )5. 公司主营业务的行业分析( industry analysis )( 1)行业现状及发展前景( current situation and anticipation ofindustry development trend )6. 公司财务情况( financial status )( 1)最近三年的资产负债表分析( three years balance sheet if available )( 2)外币资产及负债( capital and debts in foreign currency )( 3)历年财务报表的审计师及审计意见( auditors opinion on the financial reports of the past years )( 4)最近三年的财务预算及执行情况( financial budgets and performingstatus of the last three years if available )( 5)固定资产( fixed assets )( 6)无形资产(专利、商标、其他知识产权)( intangible assets,e.g. patent, logo and other intellectual property rights )7. 利润预测( profitability forecast )( 1)未来两年的利润预测( profit forecast of the next two years ) 8. 公司债权和债务( creditors rights and liability )1 )债权( creditor s rights )( 1)债权基本情况明细( details of rights )( 2)债权有无担保及担保情况( collateral/guarantee status onthe rights )( 3)债权期限( duration of the creditor s rights )( 4)债权是否提起诉讼( legal actions pursued )2 )债务( debts and liabilities )( 1)债务基本情况明细( details of the liability )( 2 )债务有无担保及担保情况( collateral/guarantee status onthe liabilities )( 3)债务抵押、质押情况( mortgage and pledge )( 4)债务期限( duration of the liabilities )( 5)债务是否提起诉讼( legal actions pursued )9. 公司的不动产、重要动产及无形资产( properties, valuableassets and intangible assets )( 1)土地权属( land property )( 2)房产权属( house property )( 3)车辆清单( automobiles )( 4)专利权及专有技术( patents and self-developedtechnologies )( 5)以上资产抵押担保情况( mortgage and collateral status onthe above listed assets )10. 公司涉诉事件( lawsuits )11. 股东出资情况（1）各股东出资情况（2）各股东与股份公司的关系及关联交易（1）公司股东、董事及主要管理者是否有违规情况（violations byany of the shareholders, directors and executives if there s any ）13. 企业经营面临的主要问题（business obstacles and operational difficulties ）（1）困难或积极因素（obstacles difficulties and the negative impacts or positive if there s any ）（2）应对措施（solutions ）篇二：尽职调查报告（格式模板）尽职调查报告尽职调查范围与宗旨在本报告中，除非根据上下文应另做解释，否则下列简称和术语具有以下含义（为方便阅读，下列简称和术语按其第一个字拼音字母的先后顺序排列）：本报告所使用的简称、定义、目录以及各部分的标题仅供查阅方便之用；除非根据上下文应另做解释，所有关于参见某部分的提示均指本报告中的某一部分。
尽职调查所需资料目录(中英对照)
尽职调查所需资料日录（L}J英对照）Table of Contents for Due DiligenceA．公司法定成立文件(Incorporation Documents of the Company)1．公司历史背景的解释（包括任何股东变更、资产抛售、公司分立等）Explanation on the historical background of the Company (including e.g. whetherthere were any change of shareholders, major disposal of assets or spin-oft thecompany)2．公刊设立的完整文件，包括可行性报告、向审批机构递交的中请、审批机构的批复、行业主管部门的前置审批／许可、项日核准以及其他政府机构出具的批准或鸶记文件Complete set of incorporation documents of the Company, including feasibility studyreport, applications submitted to and official replies from the relevant examination andapproval authorities, preliminary examination and approval from competent authorityfor relevant industry, project approval and approvals or registration certificates issuedby other governmental authorities3。
政府机构就外商投资鼓励类项日出具的确认书（如有）Confirmation letter issued by governmental authorities for encouraged foreign-invested project(if any)4．股东协议（或合资合同）及其修改文件Shareholder's agreement (or joint venture contract), including any amendment.5．章程、其修改文件及相关的董事会和／或股东会决议Articles of association including any amendment, and relevant resolutions passed bythe board of directors and/or shareholdrs' meeting of the Company6。
尽调清单中英文
尽调清单中英文DocumentationRequestListforLegalDueDiligence尽职调查文件清单InstructionsThisDocumentsRequestList(the“Request”)hasbeenpreparedforthepurposeofconductinglegalduediligenceon[X](the“Com SubsidiariesoftheCompanywithanindependentlegalpersonstatus arenot includedintheRequest.Ifnecessary,aseparaterequ dentlegalpersonstatus are includedintheRequest.Documentsaskedforimpliescopiesofsuchdocuments,unlessotherwisespecified.Foreachitembelow,itshouldbeassumedthat a Foreachitembelow,ifallrelevantdocumentshavebeenprovided,pleasechecktheboxtotherighttoindicatethattheitemofrequ Ifinformationormaterialsaskedforis:(i)notapplicabletotheCompany,(ii)applicable,butnotexpectedtobeavailable,or(i If,priortotheclosingofthetransaction,anyeventoccursoryouobtainanyadditionalfactsthathaveamaterialeffectonthein “Officialdocuments”referstoapprovals,certificates,licenses,contracts,formalapplications,etc. Agovernmentauthorityincludesitslocalorsubordinateorgans.“Recent”or“recentyears”meansthepast[X]years,unlessotherwisespecified. “Materialamount”refersto[￥X].“Affiliate”refersto:1)TheparentcompanyoftheCompany;2)ThesubsidiariesoftheCompany;3)OthercompaniesunderthecontrolofasameparentcompanyoftheCompany;4)TheinvestorshavingjointcontrolovertheCompany;5)TheinvestorshavingsignificantinfluenceontheCompany;6)ThejointventuresoftheCompany;7)TheassociatedcompaniesoftheCompany;8)Theprincipalindividualinvestorsandtheclosefamilymembersofsuchindividuals.“Principalindividualinvestors”ref9)ThekeymanagersoftheCompanyorofitsparentcompanyandtheirclosefamilymembers.“Keymanagers”refertothemanagerswhamilymembersofaprincipalindividualinvestororofakeymanagerrefertothefamilymemberswhomayinfluence,orbeinfluenc 10)Othercompanieswhicharecontrolledorjointlycontrolledbytheprincipalindividualinvestors,orkeymanagers,orthelymembersofsuchindividualshavesignificantinfluence.PLEASEPROVIDETHEFOLLOWING:请提供下列文件1BasicInformation 1基本信息Provided/已提供1.1Currentbusinesslicense,showinglatestannualinspection1.2IftheCompanyispartofagroup,theshareholdingstructureofsuchgroupinachartshowingallimportantrelationshipsandcfincorporation1.3Internalorganizationchartandotherinformationshowingdepartmentsandauthorityofofficers1.4AlistofcitiesandcountrieswheretheCompany’sassets(tangibleandintangible)andemployeesarelocated1.5Listofcurrentdirectors,supervisorsandseniorofficersoftheCompanyandtheirlettersofappointment1.6Authorizationsgivenbytheboardorbydirectorstospecially-appointedagentstodealwithsomeparticularmatter1.7ReportsrecentlypreparedbytheCompanyregardingbusinessandimportantmattersfacingtheCompany2HistoricalChanges2.1PriortotheestablishmentoftheCompany: 2.1公司成立以前：□(1)发起人会议的决议和会议记录□(1)resolutions&minutesofmeetingofpromoters(2)agreementsenteredintobythepromoters (2)发起人之间达成的协议□2.2AttheCompany’sestablishmentorduringma2.2公司成立期间或公司进行重大变更期间：□jorchangetotheCompany:(1)feasibilitystudyreports,projectproposalsandotherapplicationssubmittedtogover nmentauthoritiesforthepurposeofapprovi ngtheintendedbusinessactivitiesoftheCo mpany (1)为取得公司拟开办业务有关批准而提交予政府部门的可行性研究报告、项目建议书或其他申请文件□(2)officialdocumentsfromortogovernmentauthoritiesrelatingtotheabove,includingif applicableapprovalsfromgovernmentregul atorsforcertainindustriesorclassesofco mpanies(suchasapprovalfromMIITfortelec ommunicationscompanies,orforaprojecten couragedbythestate,acertificatetothate (2)与上述有关的政府部门复函或给政府部门的函件，包括相关行业主管部门或相应级别的主管部门的批准（如工业和信息化部对电讯公司的批准，或国家对鼓励项目的批准等等）□ffect)(3)SASACapprovalifstate-ownedassetsareinvolved (3)如涉及国有资产，国有资产监督管理部门的批准文件□2.3SincetheestablishmentoftheCompanyuntilthepresent2.3公司自成立至今□(1)businesslicenses,includinganyamendmentsandshowingallannualinspectionpassed (1)营业执照，包括变更的营业执照和所有年检纪录□(2)amendmentstoinformationregisteredwithAIC(2)工商局的变更登记证明□(3)AOA,includinganyamendments (3)章程，包括所有章程修正案□(4)JVcontracts(ifapplicable),includingany(4)合资合同（如适用），包括任何合资合同的□amendments 修订或补充(5)capitalverificationreports;assetappraisalreportsforin-kindcontributions(5)验资报告；以非现金出资的资产评估报告□(6)MOFCOMapprovalsforFIEestablishment,includinganyamendmentsandshowingallannual inspectionpassed (6)商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)organizationalcodecertificates,includinganyamendmentsandshowingallannualinspectionpassed(7)组织机构代码证，包括任何变更和年检记录□2.4ForallchangestotheAICregisteredinformation(suchasamendmentofAOA,amendmentofJ Vcontracts,increaseofcapital,changeofd 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）□irectors,changeofbusinessscope,acquisition,merger,divestiture,restructuring,etc.)(1)公司股东会及董事会决议□(1)shareholderandboardresolutionsoftheCompany(2)该等变更或交易的相关合同□(2)contractsrelatingtosuchchangeortransaction(3)shareholderandboardresolutionsofotherp(3)交易相对方的股东会决议和董事会决议□artiestosuchtransaction3Shareholders 3股东Provided/已提供3.1Generalinformationregardingtheshareholders(includingwhetheranyarestate-owned enterprisesorFIE)andhistoricaldealings /interactionsamongthem 3.1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□3.2Businesslicenseorpersonalidentificationcardofshareholders3.2营业执照或个人身份证明□3.3AnyagreementsamongsomeorallshareholdersregardingtheCompany3.3部分或全部股东关于公司的任何合同、协议□4Financing 4融资Provided/已提供4.1SAFEofficialdocuments,suchasforeignexchangeregistrationcertificate,foreigndebtregistrationcertificateandfo4.2MOFofficialdocuments,suchasthefinancialregistrationcertificate,includinganyamendmentsandshowingallannualin4.3Contractsrelatingtoalldebt,financingorguarantees,includingthoserelatingtosecurityinterests(mortgages,pledg。
四大会计师事务所之一尽职调查所需资料清单中英文对照
Target – Project [ ]Information Request List (“IRL”) – Accounting and TaxAs of [ , ]审视对象—项目会计及税务资料清单截止年月日The following is IRL for conducting a review of financial, certain operational and tax information of ________(the “Group”; references to “Company” or “Target” refer to any of the subsidiaries or legal entities of the Group). The “historical period” referred to herein is defined as the years ended___________, ______, and ______ (“Fiscal______, _______and ______”) and the ____ months ended _________, ______and ______ (“Interim _____ and ______”). Thus, the historical period has ____ separate periods within it. Please note that this IRL has three sections: I. Financial and Accounting; II. Tax; and III. Discussion Items.如下为对__________（如下简称“贵集团”；倘提及“贵公司”或“审视对象”乃指贵集团之任何子公司或法定实体）进行旳财务、经营及税务各方面旳审视,所需由贵公司准备旳资料清单。
尽职调查所需要的材料清单
尽职调查所需要的材料清单第一篇：尽职调查所需要的材料清单XX公司尽职调查所需要的材料清单：一、公司设立以及存续1、有关公司申请设立时的工商材料以及验资报告2、历次公司变更情况1)公司股权变更的所有材料（包括股东会决议、增资、减资的材料以及股权转让的所有资料）2)公司的股东之间或者股东与股东之外的第三人是否存在委托持股的材料。
3、公司的存续及变更（包括公司的注册资本、经营范围等公司登记事项的变更）方面的材料4、年检情况5、公司章程制定、修改的资料6、相关资质证明文件（公司的营业执照副本等7、以上资料由公司提供，律师还需去工商局查询公司的工商档案。
二、公司的组织构架及法人治理1、公司的组织构架资料2、公司的法人治理结构资料股东会、董事会、监事会、总经理的职权以及议事规程。
3、公司有无子公司、分公司及在外地设立办事处等/ 44、公司股东、董事及主要管理者是否有违规情况、公司有无重大违法经营情况、上级部门对公司有重大影响的事宜等。
三、公司的知识产权的所有资料包括但不限于：1、公司商标方面的所有资料2、公司专利方面的有关登记的所有材料（重点对象）,请先整理已经取得专利的清单,清单包括专利名称、专利号、类型、专利权期间、使用专利的产品名称、专利摘要等，以及拟取得或正在申请的专利的详细情况及清单。
3、公司专有技术的介绍（不涉及具体的技术秘密）、该项专有技术对企业经营的影响材料以及保护材料；4、公司商业秘密的介绍（不涉及具体的商业秘密）该项商业秘密对企业经营的影响材料以及保护材料；四、公司的土地以及房产1、公司取得土地使用权的土地的材料（包括取得土地使用权的合同、权证等）2、公司租赁的土地的材料3、房产以及建筑物的材料（包括取得房产的合同、权证等）五、公司主要生产设备1、公司主要生产设备的权属材料；2、公司主要生产线的立项、报批、验收等材料。
六、公司各类生产许可证的获取及材料1、公司生产经营许可、环保、质量认证以及其他与生产经营有2 / 4关的必需的许可、核准、批准的所有材料。
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Target – Project [ ]Information Request List (“IRL”) – Accounting and TaxAs of [ , ]审阅对象—项目会计及税务资料清单截止年月日The following is IRL for conducting a review of financial, certain operational and tax information of ________(the “Group”; references to “Company” or “Target” refer to any of the subsidiaries or legal entities of the Group). The “historical period” referred to herein is defined as the years ended___________, ______, and ______ (“Fiscal______, _______and ______”) and the ____ months ended _________, ______and ______ (“Interim _____ and ______”). Thus, the historical period has ____ separate periods within it. Please note that this IRL has three sections: I. Financial and Accounting; II. Tax; and III. Discussion Items.以下为对__________（以下简称“贵集团”；倘提及“贵公司”或“审阅对象”乃指贵集团之任何子公司或法定实体）进行的财务、经营及税务各方面的审阅,所需由贵公司准备的资料清单。
以下提及之“历史期间”是指截至年、年及年月日止之年度（以下简称“、及财政年度”）以及截至年及年月日止个月期间（“____ __及___ __中期”）。
因此，历史期间包括_ __个独立期间。
请注意资料清单包括三个部分：1）财务及会计；2）税务；3）讨论事项。
I. Financial and Accounting财务及会计General综合1.Annual audited financial statements of the Group and Companies for Fiscal____, _____and _____.贵集团及各集团公司_ ___、__ ___ 及______财政年度的已审计财务报表。
2.Confidential information memorandum about the Group.贵集团之商业计划书。
3.Monthly unaudited financial statements of the Group and Companies for the historical period.贵集团及各集团公司历史期间每月未经审计的财务报表。
4.Assistance in gaining access to [name of accountants]’s [Year] and [Year] audit working papers of theGroup and Companies.协助获取__________ （审计师名称）为贵集团及各集团公司进行__ ___年度及_ ____年度审计的工作底稿。
5.Determine whether the Group is using accounting methods where other acceptable or even preferablemethods should be used. Compare the accounting policies of the Company to the accounting policies of certain competitors as described in publicly available reports.了解贵集团是否应采用其它认可或更可取的会计方法。
将贵公司的会计政策与公开报告中所提到之竞争对手的会计政策作比较。
6.Summary of audit adjustments recorded during the historical period.历史期间内审计调整记录概要。
7.Copies of any independent accountant’s management letters or outside consultants’ reports issued duringthe historical period.历史期间内由独立会计师签发的经营管理建议书或外间顾问报告之副本。
8.Reconcile unaudited financial statements for Interim [ ] and [_____] to the general ledger.将___ _及__ _ __年度未审阅之中期财务报表和总帐进行对帐。
9.Written summary of services provided to or by and charges to or from related parties during the historicalperiod, including other businesses owned by executive management. Also, include in the summary the basis (such as, whether it is tax-driven, it has a commercial basis, it is non-arms length, etc) of these transactions.历史期间内所提供给关联公司或从其得到之各项服务，以及有关收入支出的书面概要，包括经营管理层拥有的其它业务。
另外，在概要中包括进行这些交易的基准（如是否为税务原因驱使，其商业基础，非公平性等）。
10.Group and department organizational charts and legal entity charts. Separately identify consolidatingentities and non-consolidating entities, include reason(s) for not consolidating into the Group accounts.贵集团组织结构及法定实体组织图。
独立识别属与合并及不属于合并之各个实体，指出不与集团报表进行合并之原因。
11.Copies of the Compan y’s articles of incorporation, such as joint ventures agreement and any supplementaryamendments, copies of business commercial and commercial registration and any other governmental approvals documents.贵公司所有成立文件之副本，如合资公司协议及任何有关补充和修改。
商业登记、营业执照及任何政府批准文件之副本。
12.Copies of exclusive or significant contracts entered by the Group.贵集团已签订之重要或独家性的合同副本。
13.List of licenses, patents, copyrights and other intangible assets owned by the Group. Also separately listthose that are not owned but are used by the Group (include the costs, variable or fixed, of using these intangible assets).贵集团拥有之牌照、许可证、专利及其它无形资产之清单。
同时，分别列出以上各项正由贵集团使用但并非由贵集团拥有之无形资产（包括使用以上无形资产之固定及变动成本）。
14.Documents relating to material patents, copyrights, licenses, trademarks, etc – issued or pending.有关重要专利、版权、牌照、许可证、商标等之文件 - 已办理或正在办理。
15.List of board members and list of all shareholders and size of holdings; current shares outstanding.董事会名单，所有股东之名单及其股权，及现时发行之股份。
16.Schedule of all options, warrants, rights and any other dilutive securities with exercise price and vestingprovisions.所有期权，认股权证及其它会稀释股本之证券的明细表，包括其行使价及授予条款。
17.Extract of banking facilities granted to the Group.贵集团银行贷款额度之摘录。
Historic consolidating financial statements (Group level) 历史合并财务报表（集团层面）18.Consolidations (balance sheets, income statements and cash flows) and the consolidation adjustments foreach period in the historical period.历史期间每一财政期间的合并项目及合并调整（资产负债表、损益表及现金流量表）。
Historic income statement analysis (Company level) 历史损益表分析（公司层面）19.Reconciliation of gross sales to net sales during the historical period.历史期间内，销售总额与销售净额的调节。