海外融资及上市企业尽调资料清单-中英文对照版
尽调清单(英文版)
个税申报数据
checkbook stubs and bank reconciliation
✉ ✉
发票领购薄（含：公司名+核定税种+近期期购票）
◎ ◎ ◎ ◎ ◎ ◎ ◎ ◎
✉ ✉
--社保缴纳系统数据及商业保险 开票系统数据 同左 同左 政府补贴政策及已收补贴项目凭证（单位及个人）
✉
◎ ◎ ◎ ◎ ◎ ◎ ◎ ◎
checklist
工商备案资料的调阅
Corporate equity structure the list of the company and its shareholder and senior the introduction of company management team
营业执照片
Other licenses he management system of the company Balance sheet: in last three years income statement：in last three years cash flow statement: in last three years all project profit and loss balance sheet（every month）：in last three years the detail list of expense： in last three years
bank statement：in last three years the company capital journal important customer（more than 5% of business income）：contact， statement， Cooperative employee salary calculation table（in last three years） list of staff involve in-service and department personal：in last three years payroll in last one year employee resume fix assets inventory 印章使用登记薄及相关合同及台账 ----序时薄（近三年的） 余额表（近三年的） --内外账差异原因
尽职调查企业提供资料清单(全面尽调详尽版)
尽职调查企业提供资料清单
致公司董事会：
为了更加全面、客观、准确地了解贵司状况，推进贵公司股份转让工作，我们根据相关政策法规及编制有关文件的要求提出如下初步清单，请予提供相关资料及有关文件，为提高工作效率，在提供文字材料的同时，请尽可能提交电子版本。
请贵公司董事会及全体董事应保证所提供的资料的真实性、准确性、完整性，承诺其中不存在虚假记载、误导性陈述或重大遗漏，并就其保证承担个别和连带的法律责任。
请贵公司对清单内容尽可能准备，若有关内容对贵公司确实不适用的，贵公司可针对实际情况加以说明。
若有关内容暂时不能提供，则请贵公司作好前期准备工作，待条件成熟时尽快予以提供。
若对清单内容有任何疑问，请及时与我们有关人员联系。
我们亦将根据实际工作的进展情况，进一步提出跟进的问题清单。
在此，我们对贵公司付出的艰辛劳动表示衷心的感谢！
**有限公司
2013年5月31日
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尽职调查清单英文版
□
1.7ReportsrecentlypreparedbytheCompanyregardingbusinessandimportantmattersfacingtheCompany
1.7公司最近有关业务及重要事项的报告
□
2
HistoricalChanges
2历史变更
Provided/已提供
2.1PriortotheestablishmentoftheCompany:
“官方文件”指批准、证书、许可、合同、正式申请等。
政府部门包括其地方派出机构或下属机构。
“最近”或“近年”指过去【X】年，除非另有说明。
“重大数额”指【￥X】。
“关联方”指：
（一）公司的母公司。
（二）公司的子公司。
（三）与公司受同一母公司控制的其他企业。
（四）对公司实施共同控制的投资方。
（五）对公司施加重大影响的投资方。
对于以下每一项，如果所有相关文件均已提供，请在右侧方框中打勾表明该项文件已提供完毕。
如果所要求提供的信息或资料（i）并不适用于公司，（ii）适用于公司，但在本次调查中不可提供，或（iii）需要稍晚提供，请向我们提供一份单独的回复或做必要说明。
如果在交易结束前，发生了任何事件或您获得任何额外的信息，且该等事件或信息会对您根据本清单回复的文件信息产生影响，请立即通知我们。
融资企业尽调材料清单
融资企业尽调材料清单第一篇：融资企业尽调材料清单项目单位基本情况介绍（一）项目单位基本情况包括但不限于：历史、现状、股权结构、股东情况、公司治理与组织结构、主营业务、所处行业、注册资本、基本户开户银行，开户账号等（二）相关证照（重点）营业执照组织机构代码证，国税、地税税务登记证，法定代表人证明书，开户许可证，贷款卡复印件，公司章程复印件，特许经营证书（属于特许行业的还须出具主管、部门的特许经营证书，如金融许可证）等，需加盖公章。
（三）项目单位人力资源情况包括：高管和核心业务人员简历、员工数量、结构，技术人员数量和骨干技术人员情况（四）项目单位近三年经营情况（五）项目单位近三年经审计的年度财务报告，并须有财务报表说明（重点）（六）项目单位债权债务、抵押担保情况（七）项目单位在各银行的评级、授信情况（八）信托计划资金用途, 请提供项目可行性报告（重点）（九）信托计划还款计划分析（重点）（十）实际控制人介绍（十一）质押股权详细情况（重点）(包括稠州银行详细介绍)第二篇：尽调清单(最新)银行融资一、借款人/担保人/项目公司需要提供的材料：1、最新年检的营业执照正副本、机构信用代码证、法定代表人身份证及签字样本、开户许可证、贷款卡、行业资质证书。
2、公司章程、验资报告3、公司简介、授信申请（借款人提供）、征信查询授权书（见模板）4、最近三年的审计报告（财务报表）及最新一期的财务报表（如成立不足三年，请提供全部审计报告及最新一期财务报表）5、当期金融机构融资明细及对外担保明细（金融机构名称、金额、利率、起止日、保证人及担保方式）6、上及当期纳税申报表、当年购销合同二、项目资料1、立项或备案批复2、项目可行性研究报告及批复3、环评批复4、土地成交确认书或出让合同5、土地出让金及税费、拆迁补偿款缴纳凭证6、土地使用权证、建设用地规划许可证、建设工程规划许可证、建设工程施工许可证7、资本金到位凭证公司简介模板一.公司基本情况（文字表述）申请人名称、成立时间、法定代表人、注册资本、实收资本、注册地址、经营地址、占地面积平方米（约亩）建筑面积平方米、经营范围、环保资质、行业资质。
DD_301 尽调清单_ 预尽调资料需求清单(版本2 英文版)
1.Finance：
1
Financial Statements
1.Please provide audited Financial Statements（balance sheet, income statement and cash flow） for2015, 2016and 2017 Sep, and assets(inventory, tangible asset, intangible asset, Account receivable)andliability (bank loan) breakdown as end of 2017 Sep.
1.Please specify company development milestones
2
Entity structure and shareholder info.
1.Please specify the company structure, shareholder structure and investment percentage, major shareholder agreement info.Copy of the incorporation documents of the company and its subsidiaries.
1.
Business models
1.Please explain business modelsofXX
2.Please give the breakdown of revenue and margins by product type and brands in recent 3 years
尽职调查资料要求清单Information-request-list---OOC
INFORMATION AND DOCUMENTATION REQUIRED资料要求清单Comments注明The list below is the information necessary for the due diligence work. The objective of the list is to make sure that our team can smoothly start its due diligence work according to the date noted on engagement. It is possible that the list doesn’t cover all the information we needed in our work. So, we would ask for other information not included in the list.以下清单列明在对贵公司进行财务评阅之所需资料，此清单之目的是为了确保有足够的资料使得评阅小组能够在业务约定书约定之开始工作日期顺利开展工作。
The following list maybe not includes all documents and information we needed, so additional information will be required to provide during our financial due diligence. 清单所列之资料可能未有全面概括所需资料，因此在评阅过程中可能会提出获取附件中未列出的资料。
1Related legal materials有关法定资料1.1Organization chart (including investors, investors’holding company,subsidiaries and etc.) and list the legal name of these companies;公司组织结构图(包括该公司之投资者、投资者之母公司、公司的子公司等)并列出该些公司之法定名称；1.2Organization chart of the management and organization structure;公司管理层组织结构图和组织机构情况；1.3Business license issued by SAIC;国家工商管理局发出的营业执照；1.4Joint venture agreement and contract, articles of association, import and exportlicense and other related documents; (if any)公司合同、章程、进出口许可证(或其他经营性之许可证)及其他相关文件；（如有）1.5M inutes of Board and Shareholders’ meetings;股东会议及董事局会议之会议记录；1.6Foreign exchange registration certificate; (if any)外汇登记证；（如有）1.7Insurance contracts (Fixed assets, Employees and others);保险合同(固定资产、劳工及其他)；2HR related information人事相关资料2.1Staff compensation and benefits and compensation available to employees;贵公司的员工薪酬及福利制度；2.2Headcount of each functional department and workshop;各车间及职能部门2006年度平均人数；2.3Social securities commitment (whether in written or oral ), if any;请提供社会保险的相关承诺（书面或口头形式），如有；3General operation业务之概况3.1General description and business plan of the Company;概述贵公司之一般业务性质及商业计划3.2Details of its main equipment including the date of acquisition, date of puttinginto use and any possible improvement project;贵公司经营场所之主要设施，设备之详情、购买及投入使用之年份及改良计划；3.3The flowchart of the Company’s business;贵公司营运流程图；3.4The detailed information of the development of the Company;贵公司的发展之详细资料；3.5Appraisals and due diligence reports prepared by other external parties, if any;贵公司由其他外部机构出具之评估报告或尽职调查报告，如有请提供；4Important contract重要合约Please provide the copies of important contract. For examples:请提供所有重要合约的副本。
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.。
4-2 尽调清单_ 预尽调资料需求清单(英文版)
Account receivable) and liability (bank loan)
breakdown as end of 2017 Sep.
2.All the bank statements and bank
name, age , position, etc
3. Business and Products :
1.
Business
models
1.Please explain business models of XX
2.Please give the breakdown of revenue and
margins by product type and brands in recent 3
reconciliations as at 3() Sep 2017.
3.Breakdown and ageing report of trade
receivables/ trade payables as at the end of
each historical periods.
4.List of bank loans liabilities as at 3() Sep 2017
transportation, pricing, branding promotiont
location choose, etc.)
growth potential and threats
2.Please explain the rationale of the company's
expanding strategy (such as products type and style
海外融资及上市企业尽调资料清单-中英文对照版
传真(Fax)：
电子信箱(Email)：
公司网站（CompanyWebsite）
许可文件（licensefile）
包括：企业资质证明、生产许可证、进出口特许证明等文件
BriefHistoryoftheclient企业（项目）的简单发展历史
Currentshareholdingstructure.目前的股权结构
No.
Shareholder股东名称
Percentage股权比例
Nature性质
Hale Waihona Puke 附注（1）自然人股东，包括自然人的姓名及简要背景；
（2）法人控股股东与其他主要股东或有实质控制权股东简要背景；（3）控股股东下属分公司、子公司和参股企业、联营企业情况。
Informationtemplate forcandidatescompany海外融資及上市企業（項目）盡職調查清單
1.CorporateInformation企业基本状况
CorporateInfo公司基本信息
公司名称(Companyname)：
地址(Address)：
联系人(ContactPerson)：
海外并购尽职调查文件清单中英对照
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 betweenand , 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，请提供以下企业关于业务、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.假设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全部有关文件。
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，我们打算了以下提纲列明所需要批阅的文件和信息(排序不分先后)。
海外并购初步尽职调查清单 国际并购初步尽职调查清单 中英文版
海外并购初步尽职调查问卷及文件清单初步尽职调查问卷及文件清单Questionnaire List of Preliminary Due Diligence问卷填写说明及按照本清单提供文件的基本要求：Questionnaire Instructions and Basic Requirements for Providing Documents1.请根据公司整理、提供文件的具体情况，按照如下要求填写问卷并提供文件：Please fill in this questionnaire and provide documents pursuant to the following requirements in accordance with the actual condition of preparation and provision of documents by the Company.（1）如公司能够提供清单列出的某项文件，请在这项文件后代表“有”一栏“□”处画“√”，并请提供完整、准确的文件文本（包括其附件及任何修订、补充文件）复印件；若文件以几种文字写成，请提供该文件的各种文字版本。
If the Company can provide the documents numerated in the list, then please checkYes below and provide the photocopy of the complete and accurate documents(including their file attachments, amendments and supplements thereto). If adocument is written in several languages, then the version of each language shall beprovided.（2）如公司查明没有清单列出的某项文件，请在该项文件后代表“没有”一栏的“□”处画“√”；如公司认为清单列出的某项文件不适用，请在该项文件后代表“不适用”一栏的“□”处画“√”。
初步法律尽职调查清单-境外公司
xx律师事务所
初步法律尽职调查文件清单（境外公司）
致：x
自：xx律师事务所
关于：法律尽职调查
日期：20xx年x月xx日
本初步法律尽职调查文件清单（本“清单”），系根据XX委托，为其拟对Xx.进行B轮融资之目的，对Xx.及其关联公司进行全面法律审查调查而发出。
1、本清单适用于：Xx.及其境外关联公司（统称“公司”）。
2、请公司：
(1)仔细阅读本清单，按照本清单准备并提供有关文件和/或信息；对某些不适用的
或者无法提供的项目，请在以下表格的相关栏目中注明并说明具体原因；
(2)将按照本清单准备的所有文件以及根据以下表格中所列提示填写好的本清单反
馈，尽快提供给我们；
(3)鉴于本清单的调查范围系根据我们目前所掌握的初步情况而准备的，随着项目
和调查的深入，我们可能会调整调查范围并要求相关公司进一步提供补充文件。
如公司对本清单有任何疑问，请随时与我们联系，联系人为：x
预先感谢公司对我们工作的大力支持。
尽职调查内容(中英)
尽职调查提纲Contents 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Solutions。
尽调清单_ 预尽调资料需求清单(英文版)模版
Pre-due Diligence Document ChecklistIntroductionWhen conducting a pre-due diligence investigation on a company, itis essential to gather as much information as possible about the company and its operations. This pre-due diligence document checklist provides a template for the required documents and information that should be obtained from the company before conducting due diligence.General Information•Company name•Incorporation documents•Business registration certificate•Shareholder register•Organizational chart•Operating licenses and permits•Bank account details•Tax registration•Financial statements for the previous three to five years•Budgets and forecasts for the current and next financial yearLegal•Material contracts•Litigation, claims, and disputes•Intellectual property rights•Employee contracts•Employee benefits and compensation plans•Insurance policies and coverage•Environmental issues•Non-disclosure agreementsOperational•Business model•Market analysis and prospects•Sales and marketing strategy•Production processes and facilities•Supply chain management•Regulatory compliance•IT systems and infrastructure•Research and development plansDue Diligence Scope•Scope definition/confirmation•Preliminary financial analysis•Summary of key findings•Recommendations/optionsConclusionThis pre-due diligence document checklist provides a comprehensive list of the required documents and information that should be obtained before carrying out due diligence. By gathering these documents, youwill be able to perform a thorough investigation of the company and make informed decisions. Remember that additional documents may be required based on the specific industry, jurisdiction, or transaction type.。
跨境并购项目中国尽职调查文件初步清单-人事部分(中英文)
1Please provide the following documents and the statements regarding the following status.请提供下列文件并就下列情况提供说明。
2Where the request is not applicable, please fill in with "N/A".如有关要求确实不适用，请填入“不适用”。
3Agreements, licenses etc referred to below cover rights granted either to or by the Company下述协议和许可等，其中包含由公司授予的或授予公司的权力。
1.1. orgnization.请提供本企业的愿景（长期发展目标）、使命和企业价值观1.2. Please list the HR management and organization development actions in and plans for请列举企业在年已经实施和计划在2008-2010年实施的人力资源或组织发展方面的举措2.1. Operating history. Please specify any M&A activities happened before including acquisition, business spin-off, asset purchase etc. Please specify how you handle employment issues in such cases.运营历史：请说明公司历史上发生的如兼并收购，业务剥离，所有权变化等事件；请说明在这些事件过程中，公司员工的劳动关系进行了如何的处理；2.2. Employee category, the description for every category including: competancy requirement,working experience, management range and etc. Please also clarify the principle and standard to divide those category and the headcount in every grade.公司内员工的级别划分，每一级别的描述，包含能力要求、工作年限、管理范围等,请说明岗位级别的评估原则和标准，并请提供目前在每一级别上的具体员工数量;2.3. Organization structure(detail as every in-direct employee especially those who have people management responsibility);the headcount for every department and if there is any headcount change plan, as increase or retrench in 2008-2009, please provide the reason and planed headcount.公司组织架构图（请细到每一位有人员管理职能的管理人员和办公室人员）；各部门人数，各部门2008.2009和2010年计划的人员变动情况；如果未来一到三年计划人数有变动，请说明原因；2. Organization Structure 组织机构状况Human Resources 劳动人事1Please provide the following documents and the statements regarding the following status.请提供下列文件并就下列情况提供说明。
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。
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Information template for candidates company海外融資及上市企業（項目）盡職調查清單1.Corporate Information 企业基本状况●Corporate Info 公司基本信息公司名称(Company name)：地址(Address)：联系人(Contact Person)：联系电话（TEL）/手机(Mobile)传真(Fax)：电子信箱(Email)：公司网站（Company Website）许可文件（license file）包括：企业资质证明、生产许可证、进出口特许证明等文件●Brief History of the client 企业（项目）的简单发展历史（1）公司设立时的有关批准文件或发起人协议、出资协议等；（2）公司历次工商变更的《企业法人营业执照》以及工商变更登记资料；（3）公司历次股权变更协议；（4）公司历次注册资本调整及验资报告、评估报告；（5）自设立以来的历次公司章程。
●Current shareholding structure. 目前的股权结构No. Shareholder 股东名称Percentage股权比例Nature性质附注（1）自然人股东，包括自然人的姓名及简要背景；（2）法人控股股东与其他主要股东或有实质控制权股东简要背景；（3）控股股东下属分公司、子公司和参股企业、联营企业情况。
●Structure of Company公司架构（1）公司直接或间接控股的子公司及参股公司，以及对企业财务状况和经营成果等有实质影响的其他下属公司；（2）公司其它形态的对外投资（含任何海外投资或海外经营）：包括但不限于股票、债券类有价证券投资。
●When was/will the Off-shore listing vehicle and WOFE structure ready. Theprogress of transferring core business to listing vehicle.是否已经建立了境外离岸公司并成立了境内独资企业,以及向境外离岸公司转移企业主营业务的进度。
2.Business Description 生产、产品或者服务●Nature of the business, key products or service provided经营的基本模式，主要产品或者服务提供的基本状况●The cyclicity as well as the fluctuation and seasonality of the industry aswell as the future evolution trend of the industry.所在行业的周期性、波动性或者季节性变化以及未来的发展趋势●Key issues facing the client, particularly the bottle neck problem thatimpedes the client’s further development and expansion目前企业存在的问题（特别是阻碍企业进一步发展，扩大规模的瓶颈问题）3.Market and Competition市场、行业以及竞争状况●Client’s position in the industry/sub-industry, client’s market share in itskey market. Does the client hold any monopoly or dominate position?企业或者项目在同业中的地位，是否在一定的区域或行业市场处于主导或者垄断地位●What are the key successful factors in the industry where Client is operating公司所在行业和市场的核心竞争因素是什么?●Major competitors of the client, comparison between the client and its majorcompetitors with regard to the above key successful factors.企业主要的竞争对手有那些，主要竞争对手与企业在市场核心竞争因素方面的比较。
No. Competitors 竞争对手Market Share 市场份额Comments评价●Top five major customers and their percentage as % of the total business.最主要前五位客户的情况以及占总销售收入的比例。
No. Major Customers 主要客户% as sales 占销售比例Comments评价●Price change of the major materials or component in last three years and thefuture trend of price change of key materials.主要原材料和部件在过去三年来价格的变化情况以及未来发展变化趋势.●Any potential new entrants in the market and potential substitute that replacethe client’s key product or service.是否存在着潜在的新竞争者和其它替代性的产品或服务●Management’s comments regarding entry barriers and switching cost of theindustry管理层对进入本行业存在的壁垒以及顾客更换成本等问题的其它解释和说明4.资源和战略 Client’s resource and strategy●What are the key resources that could back up the clients’ core competenceand competitive advantage (ie unique location, IP ,proprietary technology, brand equity and relationship with customers or suppliers) 支持客户战略发展和形成竞争优势的资源（如地理位置，独家技术和知识产权，品牌及客户关系等）Tangible Resources有形资产（设备，场地等）Name名称Details详细情况Comments评价Intangible Resources无形资产（专利，专有技术，品牌等）Name名称Details详细情况Comments评价●What is the long term strategy of the Client and what is the core competenceto support the strategy? Management’s comments on the sustainability and vulnerability of the client’s strategy and business model.公司的长期发展战略和支持其战略的核心竞争力是什么？管理层对公司发展战略和商业模式可靠性以及特点的评价5.财务状况 Key Financials●Last three years financials 过去三年经过审计的主要财务指标Item 项目（in￥Million 人民币百万）Year 03 Year04 Year05 CAGR％增长率Turnover 销售收入Gross Profit 毛利Profit After Tax 净利润EBITDA 税息折摊前利润Registered Capital 注册资本Net Assets 净资产Cash and Equivalent 现金及等价物●Financial Forecast for next three years未来三年财务预测Item 项目（in￥Million 人民币百万）Year 1(E) Year 2 (E) Year 3 (E) CAGR％增长率Turnover 销售收入Profit After Tax 净利润●Key financial ratios in last three years and the trend of these ratios主要财务指标和财务状况发展变化趋势Key Financial Ratios 主要财务指标Year Year Year Change％变化流动比率 (CURRENT RATIO)总资产周转率 (ASSETS TURNOVER)资产负债率 ( DEBT TO ASSETS)财务杠杆比例( GEARING RATIO)毛利率 (GROSS MARGIN RATE)税后利润率 (NET PROFIT RATE)总资产回报率 (RETURN ON ASSETS)净资产回报率 (RETURN ON EQUITY)●Important assets重要资产情况（1）公司开户银行、银行帐号、税务登记号等；（2）公司所有的房屋产权证明；（3）公司所有的土地使用权证明；（4）公司所有的其他形态资产所有权证明。
●Loan/Mortgage/Pledge/Guarantee借款/抵押/质押/担保情况●Current preferential taxation policies (if any) and possible change after theproposed restructuring.目前的税收优惠政策以及未来企业重组后可能带来的税收政策的变化（1）公司需要缴纳的税种和费用的资料，依法应缴纳的税种名称、税率等，包括但不限于营业税、增值税、所得税等；（2）公司税务登记证明、公司历年完税证明和最近两年实际纳税情况说明；（3）公司享受的税收优惠及税务部门的批准文件；（4）公司最近三年是否受到税务部门处罚。
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6.管理团队和职工 Management team and employee●Basic information of senior management team and employees, any shareholdingrestructuring.高管层的基本状况，企业重组并购后的股权安排计划●Any possible redundancy expenses after the restructuring, particularly forpreviously state owned company.企业重组后是否存在职工身份转换以下下岗安置问题？7.融资计划 Financing plan●The amount of capital needs to be raised from the strategic investors and whatis the proposed valuation from the client.企业希望从战略投资者处融资的数额以及企业对自身的估价●The client’s intention of listing overseas and timeline preference.企业海外上市的意向和时间安排8.其他事项 Other Issues●Major restructuring and shareholding changes in last three years.近三年来的重大资产重组和股权变更活动●Any major existing or contingent litigations and guarantee commitment. Anymajor contingent or potential liability or legal obligation (Such as liabilities not recorded in accounting books, tax and pension payable) 重大或者潜在的诉讼、担保等情况以及任何潜在的负债或者法律责任（包括没有计入财务账册的任何潜在负债，如欠交养老金、未计提税款等，以及任何形式的重大担保以及法律承诺等等）●Any legislation or proposed legislation from both national and localgovernments that would impact the operation or the proposed restructuring of the client国家以及地方政府对企业经营的支持或限制性政策以及其它法律法规●Any other major issue that would impact the client其他对企业未来发展有影响的重大活动诉讼及行政处罚1、公司过去三年中，所发生的诉讼、仲裁或其他法律程序、行政法规，以及它们的结果和对公司经营状况的影响2、公司所涉及的现有、或经合理预期可能产生的诉讼、仲裁、行政处罚或其他纠纷的情况其它资料1、公司规章和管理制度2、公司自成立以来历次股东大会、董事会、监事会决议3、公司历年来取得的各种荣誉、称号及及其依据4、公司的对外宣传资料。