法律尽职调查提纲问卷-中英文版

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法律尽职调查清单（中英文）

法律尽职调查清单（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。

尽职调查综合问卷提纲

尽职调查综合问卷提纲一、企业概况1、企业情况（1）注册全称、简称、英文名；（2）注册地址、办公地址；（3）注册资本；（4）法定代表人；（5）企业性质；（6）经营范围和经营方式；（7）注册（创建）日期2、电话及传真号码、邮编3、注册重大变动情况4、企业简史（1）最初业务性质和规模；（2）业务扩展和转变；（3）主要历史事件和变动；（4）历史遗留问题和影响。

5、企业发展过程的合并、联合、重组事件及其原因和背景6、股东情况（1）全体和主要股东介绍；（2）股东的影响力；（3）股东变动情况。

7、企业持有的特许证照和特权种类清单（1）政府的所有批文（包括合资、产品、技改、改制等）；（2）特许经营牌照；（3）知识产权证书。

8、法律状况（1）目前涉及或可能涉及的重大诉讼、仲裁或违法而引起的重大突发事件；（2）法律诉讼涉及的标的（金额）大小；（3）企业之间互相担保情况。

9、罗列企业特许合同，已有的拟申请的专利、商标清单10、罗列企业所有子公司和下属部门的名称、地点、产品、功能、创建日期、股权比例、附企业关系结构图11、企业区位优缺点12、协助企业的机构（法律、财务、广告、公关、银行、保险）名单二、企业所有制和产权关系企业性质：国有、集体、私营、三资、个体。

企业产权是否明晰；有无遗留问题，如虚假出资、资本金不实、挂靠全民、集体所有制企业。

体制是否按《公司法》规范化，改制完成否。

与上级主管部门关系描述：投资者/行业管理/授权/承包/计划单列/租赁/挂靠。

企业股权种类、数量和比例。

企业股权交易和管理：购股权保证、控股权保护政策、股权转让限制和买卖规定。

股东的投票权和控股地位。

股东结构的稳定性和过渡性。

是否考虑职工持股计划和发配策略。

有关的紧密合作伙伴和可能成为股东的名单。

三、企业组织和管理制度1、企业管理机构图（1）现在机构图；（2）机构沿革和重大调整事件；（3）部门职能关系和分工。

2、机构人事（1）行政人员数量；（2）干部统计资料。

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。

调查表(中英文)

INTERMEDIARY QUESTIONNAIRE代理商问卷调查Category P1This questionnaire is a critical part due diligence process related to complia nce with anti‐bribery laws in and elsewhere. Please answer all applicable questions and promptly return this questionnaire to its sender. Completion of this questionnaire is required for your Company’s continued or future relationship with any CLARCOR company. Please attach additional information if necessary to fully complete this questionnaire.此问卷调查为)尽职调查流程中很关键的一部分,遵守某国及其他地区的反腐败法规.请回答相关的问题并尽快回传.如想和任何子公司继续或开展合作的请填写这份问卷调查,另外请附上问卷要求提供的相关附件.Thank you for your cooperation.谢谢您的合作.SECTION A: BUSINESS INFORMATIONA部分:企业信息1.General Information:一般信息:Registered Company Name注册公司名称: Street Address地址: _City城市: __ ___ State/Province省份: __ _ __Country国家: __ _ ___ Postal Code邮政编码: __ _Office Telephone公司电话: __ __Website Address公司网站: __ __Contact Person联系人: __ __ Email邮箱: _ _ _Date Company was Established:公司成立时间: __ _Number of Employees:员工人数: ___ __2. Which of the following best describes your company?贵公司属于以下哪种公司?Individual/Sole Proprietor 个体所有者/独资企业主Private Company 民营企业------Public Company 上市公司Other 其他: __ ____3. Your company’s primary industry:贵公司主营业务:Construction 建筑Engineering工程Defense/Aerospace国防/航空Filtration 过滤Manufacturing制造Oil / Gas / Energy石油/天然气/能源Transportation 交通运输Other其他: ____________________________________4. Your company’s current or pending relationship with a CLARCOR company:贵公司现在或者将来与我公司的关系:Consultant咨询顾问Distributor代理商sales Agent销售代表Supplier供应商Other其他: ____________________________________5. Will your company engage any other third party (e.g., consultant, sales agent, etc.) to assist in your company’s business relationship with the CLARCOR company?贵公司会雇佣任何第三方机构 (例如:咨询顾问公司,销售代理等) 来帮助销售产品吗?No 否 Yes 是If yes, describe their involvement:如选是,请描述他们是怎么参与的 : -----------------------------------------------------------------6. Identify the countries where your company does business:请指出贵公司在那些国家从事业务: _______国外没有业绩,目前仅限于国内____.7. Does your company have any subsidiary organizations?贵公司有子公司吗?No 否 Yes 是(If yes, complete the following for each subsidiary)(如有,请完善以下子公司信息 )Name公司名称:_______________________________________________________________________________ Address地址:_____________________________________________________________________________City城市:_________________________________________________________________________________ State/Province省:________________________________________________________________________Country国家:_____________________________________________________________________________ Postal Code邮政编码:__________________________________________________________________________Office Telephone公司电话:______________________________________________________________________8. Is your company part of any joint ventures?贵公司有合资成分吗?No 否 Yes 是(If yes, complete the following)(如是,请按如下填写)Name of Joint Venture合资企业名称:__________________________________________________________________Address地址:_____________________________________________________________________________ City城市:_________________________________________________________________________________ State/Province省:________________________________________________________________________Country国家:_____________________________________________________________________________ Postal Code邮政编码:__________________________________________________________________________Office Telephone公司电话:______________________________________________________________________Primary Industry of Joint Venture合资企业主营业务:_________________________________________________________9. Please provide background information on your company’s expertise and business activities. Include a brochure or recent annual report, if available.（填写业务范围即可）请提供公司专营业务活动的资质和背景资料,可以的话请提供样本资料或最近的年度报告._____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________SECTION B: REFERENCE INFORMATIONB部分:参考信息1. Provide two external business references with whom CLARCOR may inquire if it chooses.请提供两个贵公司业务上往来的公司,日后查询.（填写不重复的供应商信息）2. Will your company provide a recent audited financial statement?贵公司愿意提供最近的经审计的财务报表吗?No 否 Yes 是如果没有,请提供一份可供公司以后查询贵公司财务状况稳定性的财务参考资料,例如银行,供应商信息等. （请提供除了B部分问题1中第三个供应商的资料）SECTION C: INFORMATION ABOUT “KEY PEOPLE”C部分:”主要负责人”信息1.List all owners, partners or shareholders of your company (percentage should total 100%). Includeany government ownership. You may skip this question if your company is publicly held. However, if your company is publicly held and you know that some of its shares are owned or controlled by a government or government entity, please identify the government or government entity.请列出贵公司的所有人, 合伙人或者股东 (按总为 100%股份比例). 包括任何国有成分.如果您公司是上市公司可以跳过这个问题. 但是,如果您知道公司有部分股份是国有的或者是政府单位所有的,请指出.（只需填写持股人信息）2.List the individuals on your company’s Board of Directors.请列出公司董事会的成员.3. List all company managers who will interact with the company or assist in the sale of its products:Please provide a resume or short biographical background for all of the “Key People” listed above in this Section C (i.e., all non‐entity owners, partners or shareholders, members of the Bo ard of Directors and all company employees who will interact with the company or assist in the sale of its products).请提供C 部分上出现的”主要负责人”的一份简短简历(例如:所有企业主,合伙人或者股东,董事会成员和所有负责销售Clarcor 产品的公司员工)4. Have any of the Key People listed above held a job in the last 5 years with the government, anygovernment agency (including the military) or any government owned or government controlled entity? 在过去的五年里,上面列出的”主要负责人”有否在政府,政府机关(包括军队)或者任何国有企业或国有控股企业工作过吗?No 否 Yes 是(If yes, please complete the information below) (如果有,请填写下面的信息)5. Do any of the Key People provide any services to or have or seek any business with a government, any government agency (including the military) or any government owned or government controlled entity? 这些”主要负责人”是否曾经或正在从事与任何政府,政府机关(包括军队),国有企业或者国有控股企业的商务往来?No 否 Yes (Complete chart below)是(请填写下面表格)6. Do any of the Key People currently hold any position with or have any substantial duties for anypolitical party or political campaign?“主要负责人”有否在任何政党里任职或担任重要职位?No 否Yes(Complete chart below)是(请完成下面表格)7. Are any of the Key People a candidate for any political office?“主要负责人”里面有是政党候选人吗?No 否Yes (Complete chart below)是(请完成下面表格)8. Are any close relatives of any of the Key People:“主要负责人”的亲属里面有没有:a)Employed or otherwise engaged in any capacity by a government, any government agency(includingthe military) or any government owned or government controlled entity?在任何政府,政府机关(包括军队)或者国有企业和国有控股企业里面任职或从事工作?No 否Yes是b) Hold any position with or have substantial duties for any political party or political campaign?在任何政党里任职或担任重要职位?No 否Yes是c) A candidate for any political office?是政党候选人?No 否 Yes是(If “yes” to one or more of these questions, please complete the information below)9. Will your company soli cit or assist in the sale of the company’s products to a government, any government agency (including the military) or any government owned or government controlled entity? 您公司会帮助销售公司的产品给政府,任何政府机关(包括军队),或者国有企业和国有控股企业吗?No 否Yes是(If yes, identify each potential purchaser)(如果回答”是”,请把潜在的购买方详细指出)_____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ SECTION D: COMPLIANCE INFORMATIOND部分:合规信息1.Does your company currently have a written policy addressing bribery?您公司现在有返贿赂的明文规定吗?No 否 Yes (please provide a copy)是(请提供一份附件)2. Please respond to the following questions on behalf of your company and all Key People listed in Section C. Please provide an explanation if the answer to any question is “yes.”请代表贵公司及所有C部分列出的”主要负责人”回应下面的问题.请对答案为”是”的答案进行解释说明.a) Has your company or any of the Key People ever been charged or convicted as part of anyinvestigation or litigation involving (i) bribery, fraud or corruption, (ii) securities orcommodities trading laws, or (iii)anti‐trust or anti‐competition laws?您公司或任何”主要负责人”曾经被调查或起诉涉嫌(i)贿赂,商业诈骗或者腐败(ii)违反证券或商品贸易法律(iii)违反反垄断和竞争法No 否 Yes 是b) Has your company or any of the Key People ever been ever been debarred from competingfor government contracts in any country?No 否 Yes 是______________________________________[Name of Company]公司名称By: ___________________________________[Signature]签字Name:_____________ [Print Name]姓名Title:_____ _____职务Date:_____ ___ 日期。

翻译调查问卷

翻译调查问卷(总14页)--本页仅作为文档封面，使用时请直接删除即可----内页可以根据需求调整合适字体及大小--Dear ladies and gentlemen:We are the researchers who work at Criminal Law Research Institute of Beijing Normal University. Recently, we are studying that foreigners commit crimes in China. The aim of this study is to learn the basic state of foreigners committing crimes in China, particularly the reason of crime, to find some approaches to avoiding crime through improving the foreigners’ living and working condition. We hope to help foreigners to fuse into Chinese social life.Perhaps your answers only reflect your own situation, but more mad more answers could form a big social problem that every person has to deal with. Therefore, your real encounter and feelings is important not only for the research, improving the foreigners’ livi ng and working condition, even for the development of Chinese society and the progress of the legal system.The information that we obtain from this research is only used to do the legal study. This research conducted secretly so that your identity and answers will not be showed to anyone. Your answer will not exact the negative effect on you, so when you answer these questions you can relax yourself.We are grateful for your participation and cooperation for this research.Criminal Law Research Institute of Beijing Normal UniversityMarch, 2014Instructionsmark the “√”,if your situation is meet the option. You can choose not only one option. Some questions need your further explanation, please fill up with your true feelings.2. No matter what your answer is, it will not have any negative effect on you, your family, your friends and others.3. Please complete this questionnaire independently. Don’t discuss with others.4. If you have other views on this research or need consultation and help in legal problems, please write it down or contact us directly.EmailContact person: Lirong GuoNumber:010－；Mailling address: Criminal Law Research Institute of Beijing Normal University, 19 Xinjiekouwai Street, BeijingPostcode: 100875The questionnaire on foreigners committing crimes in China1.What is your gender?2.3.A.MaleB. Female4.What is your age?5.What is your nationality6.What is your education level?7.8.A.Never go to schoolB.Primary schoolC.Middle schoolD.High school or vocational schoolE.University degree or above9.What is your Chinese level?10.11.A.Excellent, no language barrierB.No problem in daily conversationC.You only can say some simple greetings.D.You hardly speak Chinese12.W hat is your job in your own country before you come to China?13.14.A.StudentB.Work in a company, white collarC.Run some small business, ordinary workerD.JoblessE.Others15.When did you come to China?16.W hy do you come to China?17.18.A.TravelB.WorkC.ReadingD.Do business (hope to make a lot of money)E.Visit relatives and friendsF.Others19.W hat is your basic situation in China before you are sent to prison?20.21.A.Study in schoolB.Work in a company, white collarC.Run some small business, ordinary workerD.JoblessE.Others10. Why are you sent to prison?A. theftB. robC. lootD. fraudE. extortionF. rapeG. intentional injuryH. smuggleI. intentional homicideJ. vending narcotic drugs K. others11. How long are you sentenced to in prisonYear/s month/s12. When do you commit your crime?A. The first year when you come to ChinaB. The second year when you come to ChinaC. The third year when you come to ChinaD. after five years when you come to ChinaE. others:13. Did you commit your crime aloneA. yes, I committed the crime on my ownB. no, other people participated in crimeTips: If you choose A, please answer 18th question directly; if you choose B, answer the next question.14. How many people participated in crime including you15. Did Chinese participate in crime A. yes B. No16. When you are committing crime who is your leader?A. meB. ChineseC. people who are hardened and professionalD. no leader, we discuss together17. Why do you commit crime with ChineseA. I could not complete the crime on my ownB. Chinese wanted to use my foreign identity provides convenience for committing crime.C. Chinese know more about Chinese situation, I want to use him.D. we happened to commit crime together18. Some options that about the victim (you can choose not only one option)A. no victim or you do not know the situation of the victimB. the victim is a juvenileC. the victim is an adultD. the victim is an old personE. the victim is femaleF. the victim is ChineseG. the victim is not ChineseH. you know the victim (your friends, neighbor, or others)I. the victim is a stranger19. What is your understanding of your crime before you take action?A. you know this action will violate the criminal law in China, but you think that you will not be caughtB. you know this action will violate the criminal law in China, but you think that you are a foreigner; even if you are caught, you will not be punishedC. you do not know this action will violate the criminal law, but you think it is illegalD. you think your action is legal; it will not incur adverse consequences20. Your crime that commit in China:A. it also violate the law in your own countryB. it do not violate the law in your own countryC. you do not know whether it is a crime in your own country21. Why you commit crime in China? (you can choose not only one option)A. you do not have money; your life is difficultB. you need some money to squanderC. seek thrillD. sexual satisfactionE. suffers wrong; want to ventF. aggressive, want to oppress othersG. chivalrous person, like to help friendsH. others22. When are you caught by the police after you commit crime?A. arrested on spotB. within a dayC. within a weekD. within a monthE. within six monthsF. within a yearG. more than a year23. During the trial process, do you hire a lawyer?A. my family or I hire a lawyer for meB. I do not hire any lawyer, the court appoint lawyer for meC. I do not hire any lawyer and the court does not appoint lawyer for me24. During the trail process, did any translator provide service for you?A. Yes, translator provides service for meB. no translator but I can understand ChineseC. I could not understand Chinese and there is no translator providing service for me.25. How many times did you commit crime in China?A. onceB. more than onceC. many times (more than three times)26. Have you ever committed crime in your own country or other countries before you come to China?A. noB. yes, I have. I commit27. What is your age when you first committed crime?years old.28. If when you are going to commit crime (you have already come to the crime scene or you are on the way to the crime scene) but you encounter police on patrol, how do you behave in such situation?A. only if you will not be caught, you will continue to commit crimeB. depends on the situation; if the action is not detected, you will continue to commit crimeC. scared; you abandon your crime act29. If you find that there are some monitor devices in your guilty place, how do you behave?A. abandons your crime actB. try to avoid these monitor devices and continue to commit crimeC. ignores these devices, continue to commit crime30. Compared with your own country or other countries where you have been there, what is your opinion on Chinese public security?A. excellent feels safeB. just so so;C. less goodD. bad, you do not have a sense of safety31. Except your crime which was accused, do you have illegal entry, illegal residence or illegal employment?A. noB. yes, you have been detected by policeC. yes, you have but you are not detected by policeTips: If you choose A, please answer the 34th question directly; if you choose B, please answer the next question; if you choose C, please answer the 33 question.32. If the police detect your illegal entry, illegal residence, or illegal employment, how do they deal with?A. they do not give any punishmentB. fineC. detentionD. instruct me to leave China within the deadline33. Before you are detected by police, how long did you illegal entry, illegal residence or illegal employment last?A. no more than three monthsB. 3~6 monthsC. more than 6 months less than 1 yearD. more than 1year34. What is the relationship between you and your neighbors?A. you do not know each otherB. you know few of them and chat with themC. you know most of them and you are friends35. Have you ever taken part in any community events (New Year celebrations)A. yes, I have.B. no, I have not.36. Do you know about Chinese law?A. not at allB. a littleC. a lot37. How do you learn about Chinese law?A. reading books or consulting the codeB. you watch some TV program, like Today’s Law or othersC. the lawyer or the legal counsel who are work in my company tell meD. the laws education activity in our communityE. others38. Compared with other countries where you have lived in, do you think that it is very difficult to integrate into Chinese society?A. more difficult than other countries where I have lived inB. easier than other countriesC. no big difference39. What is the most difficult problem to you to live in ChinaA. languageB. foodC. working environmentD. interpersonal communicationE. uncivilized act of strangersF. the hidden rules that prevail in societyG. others40. According to your experience of living in China, do you think it is easier or more difficult to deal with some events as a foreigner, compared with Chinese?A. more difficultB. easierC. no big differenceIf you have any suggestions on Chinese law (criminal law, criminal procedure law, exit and entry law), please write it down:。

法律尽职责任调查问卷

法律尽职责任调查问卷尊敬的受访者：您好！为了落实公司的法律尽职责任，确保公司的合法合规经营和员工的合法权益，我们诚挚邀请您参与本次问卷调查。

您的回答将对公司的法律尽职责任评估和改进提供重要参考，同时您的答案将严格保密，不会泄露给任何第三方。

请您在保证答案准确性的前提下，真诚回答以下问题，感谢您的配合！一、基本情况1. 请问您的性别：（）男（）女2. 请问您的年龄：（）岁3. 请问您的职业：（）___________4. 请问您在公司的工作岗位：（）____________二、公司法律合规意识1. 您是否受过相关法律合规培训？（）是（）否2. 在您的工作中是否会接触到公司涉及法律合规的业务？（）是（）否3. 您是否了解公司的法律合规落实情况？（）是（）否4. 您是否也执行对公司进行法律尽职责任调查，对公司业务的合法性和合规性进行评估？（）是（）否三、公司尽职调查流程1. 公司是否定期实施尽职调查流程？（）是（）否2. 如果是，公司尽职调查流程的流程是什么？3. 公司尽职调查流程的覆盖范围是否包括：经营、财务、税务、劳动保障、营运安全、知识产权等业务领域？（）是（）否4. 公司的尽职调查流程和结果是否被及时汇报和纳入决策，为业务决策和经营管理提供重要参考？（）是（）否四、公司的内部控制1. 公司是否具有完善的内部控制机制？（）是（）否2. 公司的内部控制机制是否包括：内部审计、内部管理制度、内部监控等？（）是（）否3. 公司的内部控制是否足够有效，维护公司的合规经营，有效减少合规风险？（）是（）否五、公司合规风险管理1. 公司是否积极主动管理合规风险？（）是（）否2. 公司在管理合规风险方面是否有一定的应对策略和处理经验？（）是（）否3. 公司是否定期评估合规风险以及应对策略的有效性和适用性？（）是（）否六、公司的法律与法规遵循1. 公司是否严格遵守国家法律和相关法规？（）是（）否2. 公司是否此前存在过违反法律或法规的情况？（）是（）否3. 公司是否存在过因为违反法律或法规而承担过任何法律责任的情况？（）是（）否4. 公司是否在向员工、供应商、客户等方面传递公司法律合规意识和要求？（）是（）否七、公司反腐倡廉1. 公司是否有反腐倡廉的制度要求和机制？（）是（）否2. 公司是否开展过反腐倡廉教育和宣传活动？（）是（）否3. 公司是否存在过公司高层涉及腐败等不良事件？（）是（）否4. 公司是否会在供应商、客户等方面对反腐倡廉问题进行审查？（）是（）否八、其他问题1. 您是否愿意提供您对公司法律合规工作的改进建议？（）是（）否2. 您是否有其他意见或建议需要提供给公司？（）是（）否感谢您用心回答以上问题，您的答案对公司的法律尽职责任评估和改进具有重要参考价值。

法律尽职调查清单(中英文)

法律尽职调查清单（中英文）IntroductionA legal due diligence is an essential step in any corporate transaction, including mergers and acquisitions, private equity investments, and lending deals. The objective of a legal due diligenceis to identify any legal risks associated with the target company and assess potential liabilities that could arise. To ensure a thorough and effective legal due diligence, the following checklist is recommended.前言法律尽职调查是企业交易中的重要步骤，包括并购、私募股权投资和贷款交易。

法律尽职调查的目的是确定与目标公司相关的任何法律风险并评估可能出现的责任。

为确保全面有效的法律尽职调查，建议使用以下清单。

Legal Due Diligence ChecklistCorporate Informationpany Name and Legal Statuspany Registration Number and Registration Certificate3.Articles of Association and Bylaws4.Business Registration and Licenses5.Shareholding Structure and Capitalization6.Board of Directors and Key Management Personnel7.Financial Statements and Audit Reports8.Material Contracts and Agreements9.Litigation, Arbitration, and Regulatory Proceedings10.Related Party TransactionsIntellectual Property1.Patents, Trademarks, and Copyrights2.Trade Secrets and Confidential Information3.Licenses and Agreements Related to Intellectual Property4.Litigation or Claims Related to Intellectual Property5.Ownership and Validity of Intellectual Property Rights6.Intellectual Property ValuationEmployment and Labor1.Employment Agreements and Contractspany Policies and Procedurespliance with Employment and Labor Laws4.Collective Bargaining Agreements and Trade Unions5.Employee Benefits and Compensation6.Litigation or Claims Related to Employment and Labor Matters Real Estate1.Title Deeds and Land Use Permits2.Ownership and Encumbrances on Land3.Leases and Agreements Related to Real Estatepliance with Zoning and Building Regulations5.Environmental and Health and Safety Matters6.Litigation or Claims Related to Real EstateRegulatory Compliance1.Licenses and Permits Required to Operate the Business2.Regulatory Framework for the Industry or Sectorpliance with Environmental, Health and Safety Regulationspliance with Data Privacy and Cybersecurity Regulationspliance with Anti-Bribery and Corruption Laws6.Litigation or Claims Related to Regulatory MattersTax Matters1.Corporate Tax Returns and Financial Statements2.Value Added Tax and other Sales Taxes3.Transfer Pricing and International Tax Matters4.Withholding Taxes and Double Taxation Treaties5.Tax Disputes and Settlements6.Employee Taxes and Social Security Contributions法律尽职调查清单（中文）公司信息1.公司名称和法律地位2.公司注册号和注册证书3.公司章程和规章制度4.工商注册和许可证5.股权结构和注册资本6.董事会和主要管理人员7.财务报表和审计报告8.重要合同和协议9.诉讼、仲裁和监管程序10.关联方交易知识产权1.专利、商标和版权2.商业秘密和保密信息3.与知识产权有关的许可和协议4.与知识产权有关的诉讼或索赔5.知识产权权利的所有权和有效性6.知识产权估值雇佣和劳动1.雇佣协议和合同2.公司政策和程序3.遵守雇佣和劳动法律法规4.集体谈判协议和工会5.员工福利和薪酬6.与雇佣和劳工事务有关的诉讼或索赔不动产1.土地使用许可证和房产所有权证2.土地所有权和限制3.与房地产有关的租赁和协议4.遵守土地规划和建筑法规5.环境、健康和安全事项6.与房地产有关的诉讼或索赔法规合规1.经营业务所需的许可证和证书2.所在行业或领域的法规框架3.遵守环境、健康和安全法规4.遵守数据隐私和网络安全法规5.遵守反贿赂和腐败法律6.与监管事项相关的诉讼或索赔税务事项1.公司税务申报和财务报表2.增值税和其他销售税3.转让定价和国际税务事项4.预扣税和双重征税协定5.税务争议和和解6.员工税费和社会保险费用ConclusionThe legal due diligence process is critical for identifying and assessing potential legal risks associated with a target company. This checklist provides a comprehensive guide for conducting an effective legal due diligence. It is important to note that every transaction is unique, and a customized due diligence approach may be necessary. This checklist serves as a starting point for a thorough legal due diligence.。

企业法律问题尽职调查问卷

xxxx有限公司
中国法律问题尽职调查问卷
本中国法律问题尽职调查问卷（“尽职调查问卷”）中的“目标公司xxxx有限公司。

本调查问卷所提及的问题、文件和/或资料将作为我们工作的基础资料，恳请目标公司完整、准确及全面回答以下问题并提供有关文件及资料。

各目标公司将对所提供文件、资料的真实性和完整性负责。

如果调查问卷中的某些问题或文件不适用于目标公司，请在相应的备注一栏中标注“不适用”，并根据实际情况做出简要说明。

在收悉调查问卷所提及的答复、文件及资料后，我们根据审查上述文件及资料的结果，可能会向目标公司提出补充尽职调查问卷，请各目标公司就某些特定问题，继续向我们提供有关文件及资料。

xx律师事务所
2011年9月25日
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附表
附表一：土地汇总表
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附表二：房产汇总表
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附表三：土地租赁汇总表
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附表四：房屋租赁汇总表
包括出租和租入两种情况，请公司分别填写。

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附表五：贷款/借款合同汇总表
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附表六：担保情况汇总表
包括公司作为担保人及被担保人两种情况，请公司分别填写。

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附表七：重大合同统计汇总表
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附表八：知识产权汇总表
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附表九：保险汇总表
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附表十：诉讼仲裁汇总表。

尽职调查清单(中英文)t

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)。

公司的法律尽职调查问卷

公司的法律尽职调查问卷关于法律尽职调查问卷所要求的文件，是法律顾问为进行法律审慎调查工目的：作所需的主要资料和文件。

进行法律审慎调查之主要目的包括： ?确保公司及其下属公司的全部法律权利﹑义务等均已明确界定，俱为有效﹑具有法律约束力及可强制执行，以保障全体股东的利益；?识别现存或潜在的法律及商业问题，以便尽早解决；?识别首发过程中可能受到的限制，以便尽早取得所需的有关批准﹑许可﹑同意。

本所对提供的文件资料承担保密义务。

保密义务：请按真实、准确、完整的要求，提供本问卷项下所列的文件资料回复要求：和说明。

提供文件时，请在有关文件右上角注明问卷中问题的序号，以资序号标注：识别。

本所在初步查证资料后，可能尚需提供其它补充资料及文件。

补充文件：定义在本问卷中，除非文义另有所指，以下词语应具下列意义：公司指公司；指公司的分支机构、控股子公司、参股公司、合伙、下属公司合资、联营企业及其它合作形式的公司或企业；指公司及其下属公司的股东﹑董事﹑监事﹑高级管理关联人士人员，以及该等人士为控股股东的除公司或其下属公司以外的其他法人或任何与该等人士的关系密切的家庭成员，包括其配偶、年满18周岁的子女及其配偶、父母及配偶的父母、兄弟姐妹及其配偶、配偶的兄弟姐妹、子女配偶的父母；指公司及其下属公司的总经理、副总经理、总工程师高级管理人员及财务负责人；指下列公司或人士：控股股东)50%或以上表决权；(有权行使或控制行使(a)或以上表决权，而其他)30%有权行使(或控制行使(b)或控制(任何公司或人士连同其关联人士有权行使；或30%行使) 的表决权低于有能力控制二分之一以上（含本数）董事会成员(c) 的组成。

2一. 公司文件请提供公司及其控股股东的下列文件及其任何修订文件的复印件：(1) 营业执照；(2) 成立的政府批准文件（如有）；(3) 出资协议（如有）；(4) 公司章程（最新版本）；(5) 历次验资报告；(6) 历次股权变更的协议、决议以及工商变更核准文件；(7) 历次注册资本变更的协议、决议以及工商变更核准文件；(8) 国有资产产权登记证（如有）；(9) 国税局及地税局发出的税务登记证；(10) 组织机构代码证；(11) 所持有的与经营其业务有关的(包括但不限于生产、销售、产品安全及质量)的执照、政府批文及证书；(12) 股权结构图；(13) 下属公司的总表，包括下属公司的名称、成立时间、各下属公司的业务性质及相互之间的业务关系；二. 有关土地使用权及资产文件(A) 请提供公司使用的土地使用权和拥有的房产的下列文件的复印件：(1) 土地使用权证；(2)/ 转让合同书；土地使用权出让(3) 与土地使用权有关的合作开发合同；1(4) / 转让金支付凭证；土地使用权出让金(5) () ；抵押合同及登记文件如有抵押(6) 房屋所有权证；(7)如未领取房产所有权证，则请提供有关的购买合同，或自行(包括土地使用权凭证、建设工程规划许建设的有关文件资料) ；可证、建设用地规划许可证、施工许可证等(8)/ 房屋租赁合同；土地使用权(9)对其所拥有或租赁的任何不动产有所影响的任何类型的关于土地使用权的一切限制、违约条款、契约及协议；(10)/ 房产权抵押、转让的合同和文件。

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。

法律尽职调查提纲问卷-中英文版

Reply Date 回复日期: 201 年_____月_____日有关某某公司的初步法律尽职调查问卷1Reply Date 回复日期: 201 年_____月_____日Preliminary Due Diligence Checklist初步法律尽职调查问卷致某某公司：It is important that we receive the relevant information about China Hualian Group Investment Holdings Limited (the “Company”) as set out in the list below. During the due diligence exercise, we may send the Company supplemental due diligence checklist and request further documents and/or information from the Company.请贵公司就下列表格所述提供相关文件及信息，这对于本次法律尽职调查至关重要。

随着法律尽职调查工作的不断深入和具体情况的变化，我所将向贵公司发出补充尽职调查清单并向贵公司索取进一步的文件及/或信息。

In respect of each listed item below, please provide a copy of the document (unless otherwise stated). Also, please return this checklist by indicating ‘Yes’ if the documents have been provided to us together with this checklist, ‘No’ if the documents have not been provided yet, or ‘N.A.’ if the items are not applicable to the Company and confirm that the Company does not have such document(s) and/or arra ngement(s). If the document has not been provided yet or is not applicable, please provide a brief explanation as to the reason that it has not been provided or is not applicable. In case an answer to the question is necessary, please give your answer below the question or in separate sheet(s) attached hereto. 就如下列出的每一个事项，请提供相关文件的复印本（除非另有定明）。

尽职调查问卷

关于公司的法律尽职调查问卷二零零八年十二月目的：法律尽职调查问卷所要求的文件，是法律顾问为进行法律审慎调查工作所需的主要资料和文件。

进行法律审慎调查之主要目的包括：确保公司及其下属公司的全部法律权利、义务等均已明确界定，俱为有效、具有法律约束力及可强制执行，以保障全体股东的利益；识别现存或潜在的法律及商业问题，以便尽早解决；识别首发过程中可能受到的限制，以便尽早取得所需的有关批准、许可、同意。

本所对提供的文件资料承担保密义务。

请按真实、准确、完整的要求，提供本问卷项下所列的文件资料和说明。

提供文件时，请在有关文件右上角注明问卷中问题的序号，以资识别。

本所在初步查证资料后，可能尚需提供其它补充资料及文件。

保密义务：回复要求：补充文件：定义在本问卷中，除非文义另有所指，以下词语应具下列意义：公司下属公司关联人士高级管理人员控股股东指公司；指公司的分支机构、控股子公司、参股公司、合伙、合资、联营企业及其它合作形式的公司或企业；指公司及其下属公司的股东、董事、监事、高级管理人员，以及该等人士为控股股东的除公司或其下属公司以外的其他法人或任何与该等人士的关系密切的家庭成员，包括其配偶、年满18周岁的子女及其配偶、父母及配偶的父母、兄弟姐妹及其配偶、配偶的兄弟姐妹、子女配偶的父母；指公司及其下属公司的总经理、副总经理、总工程师及财务负责人；指下列公司或人士：（a）（b）(c)有权行使（或控制行使）50%或以上表决权；有权行使（或控制行使）30%或以上表决权，而其他任何公司或人士连同其关联人士有权行使（或控制行使）的表决权低于30%；或有能力控制二分之一以上（含本数）董事会成员的组成。

序号标注：一.公司文件请提供公司及其控股股东的下列文件及其任何修订文件的复印件：营业执照；成立的政府批准文件(如有)；出资协议(如有)；公司章程(最新版本)；历次验资报告；历次股权变更的协议、决议以及工商变更核准文件；历次注册资本变更的协议、决议以及工商变更核准文件；国有资产产权登记证(如有)；国税局及地税局发出的税务登记证；组织机构代码证；所持有的与经营其业务有关的(包括但不限于生产、销售、产品安全及质量)的执照、政府批文及证书；股权结构图；下属公司的总表，包括下属公司的名称、成立时间、各下属公司的业务性质及相互之间的业务关系；有关土地使用权及资产文件土地使用权证；土地使用权出让/转让合同书；与土地使用权有关的合作幵发合同；土地使用权出让金/转让金支付凭证；抵押合同及登记文件(如有抵押)；房屋所有权证；如未领取房产所有权证，则请提供有关的购买合同，或自行建设的有关文件资料(包括土地使用权凭证、建设工程规划许可证、建设用地规划许可证、施工许可证等 )；土地使用权/房屋租赁合同；对其所拥有或租赁的任何不动产有所影响的任何类型的关于土地使用权的一切限制、违约条款、契约及协议；其它涉及土地使用权/房产权抵押、转让的合同和文件。

有关公司的法律尽职调查问卷

有关公司的法律尽职调查问卷公司的法律尽职调查问卷为了确保公司的合法性和合规性，并防止任何法律纠纷和风险的发生，进行一次彻底而全面的法律尽职调查非常必要。

本问卷旨在全面了解公司存在的法律问题和挑战，并提供具体的解决方案和建议。

请您认真回答以下问题，以确保法律尽职调查工作的顺利进行。

一、公司基本信息1. 公司名称：2. 成立日期：3. 公司注册地：4. 主要业务范围：5. 公司注册资本：6. 公司股东：a. 股东姓名及持股比例：b. 股东是否为自然人或法人：c. 股东是否与公司高层有直接或间接的个人或经济利益关系：二、公司人事架构1. 公司高层人员：a. 董事长姓名、职务和股权情况：b. 首席执行官姓名、职务和股权情况：c. 公司其他高层人员姓名、职务和股权情况：2. 公司员工人数：3. 公司是否与劳动权益问题相关的诉讼或争议：三、公司财务状况1. 公司财务报表的准确性和完整性：2. 公司是否与财务欺诈、洗钱或其它非法经济活动相关的诉讼或争议：3. 公司是否存在未公开的财务和税务问题：4. 公司是否存在资金没有或不足的问题：5. 是否有任何未披露的关联方交易：四、公司知识产权1. 公司是否注册了商标、专利和版权：2. 公司的商标、专利和版权是否存在合法性或有效性的争议：3. 公司是否存在侵犯他人知识产权的行为：4. 公司的核心技术和商业机密是否得到适当的保护：五、公司合同和协议1. 公司是否签订了关键的合同和协议（合资协议、合作协议、劳动合同等）：2. 公司签订的合同或协议是否存在合同诈骗或虚假陈述：3. 公司是否存在违约或违反合同的行为：4. 公司是否与合同争议相关的诉讼或仲裁：六、公司法律风险管理1. 公司是否建立了合规管理体系：2. 公司的内部合规制度是否完善并得到有效执行：3. 公司是否有专门的法律事务部门或法律顾问：4. 公司是否存在其他重大的法律风险或问题：七、公司对新法律和法规的适应能力1. 公司是否及时了解和适应新出台的法律和法规：2. 公司是否有足够的法律专业人员或法律顾问来解读和应对新法律和法规：八、合规建议请简要列举出公司所存在的法律问题和风险，并提供相应的合规建议和解决方案。

尽职调查问卷模板

初步问卷为了更加全面、客观、准确地了解贵公司状况，以便针对贵公司可能存在的不足有针对性的提出解决方案，我公司提出如下初步问卷，烦请贵司提供相关信息。

贵公司提供给我公司的任何信息，我公司均负有保密义务。

一、公司基本情况中文名称：英文名称（若有）：法定代表人：有限公司设立日期：股份公司成立日期（若已是股份公司）注册资本：实收资本：注册号：住所：邮编：电话：传真：互联网网址：电子邮箱：联系人及其电话、邮箱：二、公司法律事项概况（一）公司的历史沿革：各变更事项填写模版参照下表，请按事项发生顺序填写。

1、公司成立备注2：股东之间的关系指“自然人股东之间有无近亲属关系？法人股东之间有无投资关系？自然人股东是否持有法人股东股权或在法人股东任职？”，若均无，请填“无”，若暂不知晓，请填“待确认”。

以下问及“关系”与该备注相同。

2、实缴注册资本（若公司注册资本分期缴付）实缴日期：实缴后，公司的股权结构：5、改制（若已整体改制为股份公司）改制时聘请的中介机构（若有）：改制基准日：改制后公司股本结构：（二）公司控股股东及实际控制人基本情况1、自然人控股的，填写自然人基本情况简历：姓名，性别，出生年月，国籍，住所（即身份证上的住址），有无境外永久居留权。

X年X月毕业于XX大学，XX学历，职称（若有）。

X年X月至X 年X月于XX公司担任XX职务（自参加工作之日起至今工作过的所有单位）。

业绩：2、法人控股的，填写法人基本情况，并填写通过其间接控制公司的自然人（实际控制人）的基本情况控股法人股东：XX公司，成立于XX年月日，注册资本XX万元，法定代表实际控制人基本情况：（参照自然人控股股东填写）（三）公司的其他法人股东、控股子公司、参股公司、分公司、办事处，控股股东及实际控制人投资的其他公司的基本情况。

各主体填写模版如下：1、公司的其他法人股东XX公司，成立于XX年月日，注册资本XX万元，法定代表人XX，住所XX，经营范围XX。

法律尽职调查问卷清单(模板)

__________________________________________________ 法律尽职调查问卷清单__________________________________________________2021年10月29日初步法律尽职调查文件清单/问卷目录一、公司的设立及变更文件 (1)二、公司的各项法律资格、登记和备案 (2)三、公司的股东 (3)四、公司的对外投资 (5)五、公司的治理结构 (6)六、公司的业务 (7)七、公司的关联交易和同业竞争 (8)八、公司的重大合同 (9)九、公司的债权债务和担保 (10)十、公司的主要财产（土地、房产、机器设备、知识产权） (12)十一、公司的劳动管理 (16)十二、公司的保险 (17)十三、公司的税务 (18)十四、公司的环境保护 (19)十五、公司的生产、产品及服务质量 (20)十六、公司的诉讼、仲裁和行政处罚 (21)十七、其他 (22)注：初步法律尽职调查文件清单/问卷（“本清单”）为执行法律尽职调查工作（“本项目”）的目的而编制。

请被调查单位真实、完整、准确地回答本清单所列载的问题并提供有关文件。

被调查单位应对其所提供文件和情况的真实性、准确性和完整性负责。

一、公司的设立及变更文件二、公司的各项法律资格、登记和备案三、公司的股东四、公司的对外投资五、公司的治理结构六、公司的业务七、公司的关联交易和同业竞争八、公司的重大合同九、公司的债权债务和担保十、公司的主要财产（土地、房产、机器设备、知识产权）十一、公司的劳动管理十二、公司的保险十三、公司的税务十四、公司的环境保护十五、公司的生产、产品及服务质量十六、公司的诉讼、仲裁和行政处罚十七、其他。

尽职调查问卷范本

尽职调查问卷范本敬启者：因xx公司（以下简称“贵司”）拟在境外首次公开发行股票及在境外交易所上市（以下简称“上市”），我xx律师事务所（以下简称“本所”）受聘为贵司上市之中国法律顾问，需对贵司的有关法律事项进行尽职调查并出具尽职调查报告，并对上市所涉及的中国法律问题提供咨询意见及出具法律意见书。

为此目的，敬请贵司按本函所附问卷之要求，向本所提供相关文件及相关信息。

贵司向本所提供的文件及相关信息均将被本所依赖，并构成本所出具法律意见书、尽职调查报告等法律文书的依据。

公司应当保证所提供的文件及信息的真实性、准确性及完整性，并对此承担法律责任。

本所及本所经办律师将遵守职业道德和保密约定，对接收的商业信息承担保密责任。

为规范文件的整理，敬请贵司统一使用A4纸复印本问卷中所列明的相关材料，并在复印件上加盖公司公章，以便本所存档。

尽职调查是一个持续的过程。

随着尽职调查的不断深入，我们可能会根据需要要求贵司提供进一步的文件和信息。

在准备文件资料过程中，如有任何问题，请随时联系我们，谢谢！xx律师事务所xxx/xxx 律师尽职调查问卷1.公司设立及变更的基本文件1.1公司设立时股东之间的协议；1.2公司设立之时的章程及历次修改补充章程或章程修正案及相应的董事会及/或股东会决议；1.3公司设立之时及现时有效的营业执照，以及设立之后历次变更后的营业执照；1.4公司历次验资报告和资产评估报告；1.5公司历次股权转让合同或增资协议；1.6公司董事会、监事会组成人员及董事、监事委派书；（以上文件我们将通过到公司所在地的工商局查询复印工商档案资料获得，如果在工商查询后仍有需要补充，我们会再要求公司补充提供）1.7公司股东的营业执照/商业登记证；1.8公司实际控股人的身份证明；1.9公司的企业法人组织机构代码证；1.10请列明公司境内外的其它所有关联公司。

2.公司业务经营状况2.1详细说明公司现时所从事的业务及所生产经营的产品；2.2公司为从事其核准经营范围内的业务而应取得的相关政府部门的批准、许可、证书或备案文件；2.3公司获得的企业认证；2.4公司获得的产品认证；2.5尚未履行完毕的重大合同清单（包括签约方、合同名称、标的金额等主要情况说明）及有关合同副本。

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