尽职专项调查资料中英文对照版.docx

.Due Diligence lists尽职调查资料清单1. Basic information company and History 一、企业基础资料及历史沿革1.1 The latest business license ,organization code certificate ;最新营业执照、组织机构代码证1.2 Articles of Association currently; 现行有效企业章程1.3 Detailed written description of the following main profiles:下列关键概况具体书面说明: 1.3.1 History 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.企业所处行业及企业行业地位介绍资料；包含经营范围、经营方法、市场占有情况等；1.4 The latest shareholding structure, organization chart (all departments and affiliated companies are contained).最新股权架构、组织结构图(含全部职能部门、下属企业)1.5 Companies engaged in business activities Certificates (or franchise certificate).企业所从事业务活动资质证书(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；内部职员持股、工会、信托、委托持股情况及相关协议（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).企业设置以来历次增(减)注册资本验资汇报(工商局登记复印资料)，企业历次评定汇报（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(含子企业，自设置始)2. Corporate governance and internal Control企业治理及内部控制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 .企业设置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 .全套企业现行有效内部控制制度。3. Business Information企业业务资料3.1Sales 销售情况3.1.1Two years one time sales revenue of the company (two years one time equal to January 1 to April , hereinafter the same).企业近两年一期(两年一期指1月1日-4月，以下相同)销售收入情况；3.1.2 Sub regional sales situation two years one time . 近两年一期分区域销售情况;3.1.3Major customer sales situation two years one time, and be sure to provide important client and the basic information of the supplier, It should include contact person, telephone, fax, zip code, address and other information;( if applicable) 近两年一期关键用户销售情况，并烦请提供关键用户及供给商基础信息，需包含联络人、联络电话、传真、邮编、地址等信息；(如适用)3.1.4Provide the mode of the sales ,the channel of distribution and the advantage area of sales currently;提供企业现在销售模式、销售渠道和销售优势区域；3.1.5Provide the company sales ,the development trend of the sales revenue and the trend of the prediction.提供企业销售量、销售收入发展态势和改变趋势估计；3.1.6The sales contract of the important client( accounting for 80% of total revenue ) two years one time.( if applicable)近两年一期关键用户(占比总收入80%)销售协议(如适用)；3.2Human resource人力资源3.2.1Company roster企业花名册3.2.2Payment of social security company personnel in two years ( the payment of five insurance payments and the actually payment situation);近两年一期企业人员社保缴纳情况说明(五险一金缴纳政策及实际缴纳情况)3.2.3Remuneration policies and system of the company in two years.近两一期年企业薪酬政策或制度；3.2.4 The company short and long term compensation system of the company , termination benefits , the arrangement of the equity incentive.企业长短期薪酬、解聘福利、股权激励事项安排。3.2.5 Detailed list of staff salaries for two years. 近两年职员薪资明细单3.3 Research and development situation (It depends on the actual)研发情况(如有)3.3.1 List of developed of items;研发项目清单；3.3.2 Research and development capitalized case.研发资本化情况4. Company Property Information企业财产资料4.1Estate房产4.1.1The companys list of buildings assets ;企业房屋建筑物资产清4.1.2Real estate license房产证4.1.3 Land use right certificate of construction in progress, planning permit , construction Permit and construction contract .在建工程土地使用权证、计划许可证、施工许可证及施工协议；4.1.4 The explanation of mortgage of fixed assets, and provide the certificate of title of the mortgage assets, main debt contracts ( such as loan contract and the maximum mortgage of loan contract ) , the creditor own certificate of encumbrance.固定资产抵押情况说明，并提供抵押资产产权证书、主债务协议(如借款协议及最高额抵押借款合相同)、债权人拥有她项权利证书。4.2 Land use rights ,trademark ,patent ,franchise etc.( intangible assets )土地使用权、商标、专利、特许经营权等无形资产4.2.1 Intangible assets list ;无形资产清单；4.2.2 Land use rights certificate ,land contract ,land lease contract ,the explanation of land mortgage ,and provide the certificate of title of the mortgage assets , main debt contracts ( such as loan contract and the maximum mortgage of loan contract ) , the creditor own certificate of encumbrance; 土地使用权证书、土地出让协议、土地租赁协议、土地抵押情况说明，并提供抵押资产产权证书、主债务协议(如借款协议及最高额抵押借款合相同)、债权人拥有她项权利证书；4.2.3 Trademark registration ( if the trademark is the change made , provide the State Trademark Office approved the change of registrant approval); 商标注册证(若系变更取得，提供国家商标局核准变更注册人批文)；4.2.4 Patented technology and non-technical lists and certificate . 专利技术及非专利技术明细表及证书。4.3 Main equipment 关键设备4.3.1Main equipment list 关键设备清单；4.3.2 When the equipment was imported ,to provide the equipment of agent contract , the voucher of tariff payments .如系进口设备，提供设备代理协议、关税交款凭证；4.3.3 A copy of motor vehicle driving license ;机动车辆行驶证复印件；4.4 Lease assets list ; Approval ,contract of lease ,permanent assets s lease.租赁资产清单；固定资产租赁、出租协议/协议、批文。5 Company Financial Information 企业财务资料5.1 Financial statements and audit report biennially (It depends on the actual ); 近两年一期(.1.1-.4.30)财务报表及审计汇报（如有）；5.2 Financial account data has been extracted by authorized public accountant . 授权会计师提取财务账套数据；5.3 The statements of all bank account biennially ( transaction flow are included );This period all new accountant of bank ,cancelation data ,certificates of deposit or account certificate (Depending on the actual situation);This period open letter of credit ,open file or agreement of bank acceptances ; The statement or agreement of financial products and other similar products .( Depending on the actual situation); Listing has opened a bank account settlement could be inquiry by basic household . 近两年一期全部银行账户对账单(含交易流水)；本期全部银行新开户、销户资料；定时存单或开户证实书(如有)；本期开立信用证、银行承兑汇票等开立文件或协议；银行理财产品等类似产品协议及对账单(如有)；基础户查询已开立银行结算账户清单；5.4 Preparation of audit of bill receivable biennially .( Depending on the actual situation ); 近两年一期应收票据备查账(如有)；5.5 Bad debt provision calculation process biennially ; Reclassification dealings details biennially ; 近两年一期坏账准备计算过程；往来重分类明细；5.6 End inventory list of fixed assets and inventory report . 近两年一期固定资产年底盘点表及盘点汇报；5.7 New contract of long-term deferred for two years biennially ,invoicesetc ;Providing long-term deferred period apportionment table ; 近两年一期长久待摊两年新增协议、发票等资料；提供长久待摊本期分摊计算表；5.8 To provide all loan contract ,guarantee contract ,mortgage contract biennially ; 近两年一期全部借款协议，担保协议、抵押合相同； 5.9 Bank acceptances acceptance protocol biennially ; 近两年一期银行承兑汇票承兑协议；5.10 Credit reports biennially ; 近两年一期人民银行贷款卡信息(信用汇报)；5.1. 1 With suppliers, customers at the end of the bill, or similar information biennially ;( Depending on the actual situation);近两年一期和供给商、用户年底对账单或类似资料(如有)；5.1.2 Related contracts of sales expense ,management costs ,large cost ( large cost means profit before tax exceed 5% ) must be provided; 销售费用、管理费用中，大额费用(大额指税前利润5%以上)请提供相关协议；5.1.3 The government subsidies all the file biennially. 近两年一期全部政府补助文件。6. Company Tax Information企业税务资料6.1 Company tax registration certificate ( national tax and land tax are included );企业税务登记证(国税、地税)；6.2 The company whether has been checked or punished by Tax Department , if it is happened, to provide examined result ,punishment documents nearly three years .近3年是否受过税务部门检验、处罚，如有请提供检验结果、处罚文件；6.3Company taxes ,tax rate and the basic of preferential policies(statute ,policy or approval );企业税种、税率和优惠政策依据(法规、政策或批文)；6.4 Tax returns and income tax information biennially ;近两年一期纳税申报表和所得税汇算清缴资料；6.5 Certificate of high-tech business ;( Depending on the actual situation)高新技术企业证书(如有)7. Affiliates Information关联企业资料7.1 Affiliates (GAAP caliber ) lists (affiliates name ,the current registered capital ,relationship, related party transactions etc), the actual controller of external investments ,director ,executives of external investment ;关联企业(会计准则口径)资料清单(关联企业名称、现在注册资本、关联关系、关联交易等)，实际控制人对外投资情况；董事、高管对外投资企业情况；7.2 Audit report and financial statement biennially ;近两年一期审计汇报或财务报表；7.3 The latest a copy of business license ; 最新营业执照复印件；7.4 The latest articles of association; 最新企业章程；7.5 All related party of business registration information (be printed by Trade and Industry Bureau ,all industrial and commercial registration of changes lists );全部关联方企业注册登记资料(到工商局打印，即全部工商变更登记汇总表)。8. Company Litigation , Arbitration, Administrative penalties Information 企业诉讼、仲裁、行政处罚资料8.1 The company whether there is Pending or foreseeable major litigation, arbitration and administrative penalty cases. If there is, to provide relevant information, such as does not exist, a written explanation;企业是否存在还未了结或可预见重大诉讼、仲裁及行政处罚案件。如存在，提供相关资料，如不存在，请书面说明；8.2 Chairman of the board, general manager ,deputy general manager, chief financial officer .These people whether have the pending or the foreseeable litigation, if it exists , to provide related information ,if there is no situation like this, make a written explanation .董事长、总经理、副总经理、财务责任人是否存在还未了结或可预见重大诉讼、仲裁及行政处罚案件，如存在，提供相关资料，如不存在，请书面说明；8.3 Whether to ban or restrict the equity transfer projects of judgment, award or other circumstances exist, if it exist , please provide relevant information note and the judgment, ruling or circumstances related materials;是否存在严禁或限制股权转让项目标判决、裁决或其它情况，如有，请提供相关情况说明及该判决、裁决或情况相关材料；8.3 Other contingencies其它或有事项。NOTE: Significant litigation, arbitration and administrative penalties case means : the amount of RMB200,000 Yuan or more ,if no loss or 200,000 Yuan less than the mount ,but there is a significant impact on the companys business .( Or to the chairman, president, vice president, chief financial officer of qualifications).注：重大诉讼、仲裁及行政处罚案件是指：金额20万元以上；没有金额和金额不足20万元但对企业经营(或对董事长、总经理、副总经理、财务责任人任职资格)含有重大影响。