法律尽调文件清单-境外收购-中英文模版.doc

Legal Due Diligence Documents Request List
法律尽职调查文件清单

relating to
关于

Shenyang ** Pharmaceutical Manufacturing Stock Co., Ltd.
沈阳**股份有限公司

October **
**年10月

The following documents and information are requested for purposes of our legal due diligence review in relation to the Company. Please understand that this Due Diligence Request List of documents is a preliminary list for the intended documents and information and may be adjusted or supplemented in the process of our due diligence review. Please kindly follow the notes stated below to provide the documents/information.
我们需要下述的文件和信息以对贵公司进行相应法律尽职调查。本尽职调查文件清单是初步清单，在进行尽职调查审阅的过程中，还有可能进行调整和补充，敬请贵公司理解。请贵公司依照下述说明提供相应的文件、信息。

· “Company” in this List means Shenyang ** Pharmaceutical Manufacturing Stock Co., Ltd. and shall include its subsidiaries and branch companies, if any.
本清单中，“公司” 指沈阳**股份有限公司，并应包括其所有子公司和分公司。
· According to your preparation of relevant documents, please either click “ü” in the “ Provided” or “N/A” column. Where a request is not applicable please mark the question N/A and provide a brief explanation in the “Notes/Status”. If you are going to provide certain documents later, please mark out the intending date in the “Notes/Status” column.
请根据文件的提供情况在“已提供”或“不适用”处打“ü”。如有关请求不适用，请在该栏目“不适用”处打“ü”，并在“注释”处简要说明理由。对于待提供的文件，请在“注释”处注明预计提供的时间。
· All documents requested in this List can be provided in photocopies. The Company shall ensure the photocopies are the same as the originals and such photocopies shall bear the official seal of the provider of such documents. We may request the Company to provide an undertaking regarding the accuracy and authenticity of the documents provided if necessary. Please bind the documents in order of this List and note the corresponding serious number; please keep the key information on the copies, including but not limited to dates, seals & signatures, numbers, legible.
本清单要求提供的所有文件均为原件的复印件；但公司应当保证所提供的复印件与原件一致，并在复印件上加盖资料来源方公章。必要时，我们将要求公司就此出具一份由负责人签字并加盖公章的承诺函。请按照本清单顺序装订文件，并在文件上注明与本清单对应的序号；复印件请保证日期、印鉴、证件号码等关键信息的清晰可辨。
· If prior to the completion of the proposed transaction there is any change in circumstances that may lead to the answers and/or documents provided hereunder being inaccurate please update us immediately.
就本文件清单提供的答复及/或文件所涉事项，在拟议的交易完成之前如有任何变化，请及时通知我们。
· If the Company has any sub-entity without independent legal person status, such as branch, distribution center, operational office, representative office or any other business operated by the Company, the sub-entity should be regarded as part of the Company and subject to the disclosure requests hereunder.
若公司有任何不具独立法人地位的下属机构, 如分公司、分销中心、营业部、办事处或公司经营的任何其它业务，该下属机构应视为公司的一部分而应按本文件清单的要求提供文件和相关信息。

Item 文件名称
Provided
已提供
N/A
不适用
Notes/Status
注释
1 Company Documents
公司文件

1.1 Business licence of the Company and its subsidiaries and branches
公司的营业执照
(i)
(ii)

1.2 Annual inspection reports of the Company for the past three years

公司最近三年的年检报告
(i)
(ii)

1.3 Organization and Institution Code Certificate
公司组织机构代码证
(i)
(ii)

1.4 Statistic Registration Certificate
公司统计登记证
(i)
(ii)

1.5 Foreign Trading Rights Registration(if any)
公司外贸经营权登记备案 (如有)
(i)
(ii)

1.6 Any operational licence, permit or approval in relation to the business of the Company or products manufactured or sold by the Company, including but not limited to:
与公司业务或生产、销售公司产品有关的任何经营性执照、许可或批准， 包括但不限于：
1.6.1 Permit for Medicine Production
药品生产许可证
1.6.2 GMP Certification
药品生产质量管理规范(GMP)认证证书
1.6.3 Permit for Medicine Distribution (if applicable)
药品经营许可证（如适用）
1.6.4 GSP Certification (if applicable)
药品经营质量管理规范(GSP)认证证书（如适用）
1.6.5 Registered number of approval and the registration certificate for each type of medicine (if applicable)
每种药品的批准文号和药品注册证（如适用）
(i)
(ii)

1.7 List showing all shareholders (and their respective shares) and subsidiaries of the Company whether onshore or offshore
显示公司所有股东（及其各自股份数额）及子公司（包括国内外机构）的清单
(i)
(ii)

1.8 Articles of association and all amendments and supplements and the relevant resolutions
公司章程及其全部修改及补充文件和相关股东会和/或董事会决议
(i)
(ii)

1.9 Shareholders’ agreement and/or joint venture agreement (if applicable) and all amendments and supplements and the relevant resolutions
股东协议和/或合资企业合同（如适用）及其全部修改及补充文件和相关决议
(i)
(ii)

1.10 Equity transfer agreements and relevant resolutions and approvals relating to each time of equity changes in the Company since its incorporation，including but not limited to:
公司自成立之日起历次发生股权变动的相关股权转让协议及相关决议、批文，包括但不限于：
1.10.1 Equity transfer agreements
股权转让协议
1.10.2 Relevant resolutions
相关股东会和/或董事会决议
1.10.3 Approvals by the competent government authorities (if applicable)
政府有关部门的批复、批准证书和更新后的营业执照（如适用）
1.10.4 Approvals by the competent State asset administration authority and the relevant documents (if applicable)
国有资产管理部门对股权变动的批复及相关文件（如适用）
1.10.5 Proof of tax payment by the transferor of the equity (if applicable)
股权出让方缴付相关税项的完税凭证（如适用）
(i)
(ii)

1.11 Any agreements governing the rights of the shareholders of the Company, such as rights of first refusal, voting agreements, stock escrow agreements, buy-sell agreements
与公司股东权利或公司的股权有关的任何协议，比如优先购买权协议、表决权协议、股权托管协议、购买出售协议等
(i)
(ii)

1.12 All other documents or agreements between or among the Company and its existing stockholders, or among the existing stockholders, including without limitation, those relating to the equity, control, management or funding of the Company
其它任何公司和其现存股东之间的，或现存股东相互之间的文件、协议，包括但不限于与公司的股权、控制权、管理、融资相关的协议
(i)
(ii)

1.13 If there are any existing encumbrances, including without limitation pledge or court injunction, on the shares of the Company, please provide the relevant legal documents, e.g. pledge agreement, pledge registration documents and court injunction orders
如果公司股份上目前设置有任何他项权利，包括但不限于质押或法院保全，请提供相关法律文件，如质押合同、质押登记文件以及法院保全的裁定
(i)
(ii)

1.14 Any asset sales or purchase agreements (with a contract value of RMB [5] million or above) entered into by the Company or which relate to the Company since its incorporation
公司自成立之日起发生的资产收购或转让协议（合同金额在【500】万元人民或以上）及相关决议、批文
(i)
(ii)

1.15 Resolutions and approvals relating to the increase or decrease of registered capital of the Company (if any)
公司注册资本增减（如有）的决议、批文
(i)
(ii)

1.16 Resolutions and approvals relating to the change of business scope of the Company (if any)
公司经营范围变更（如有）的决议、批文
(i)
(ii)

1.17 All Investment verification reports and capital contribution certificates of the Company
公司所有验资报告及出资证书
(i)
(ii)

1.18 Audited financial reports of the past three years
公司最近三年经审计的财务报告
(i)
(ii)

1.19 Any reports on the Company and its businesses other than the financial reports prepared during the past 12 months (if any)
除财务报告之外，在最近十二个月内准备的关于公司及其业务的任何报告（如有）
(i)
(ii)

1.20 Documents in respect of establishment of any branch, operational office, liaison office or any other business operated or investment made (such as joint venture or stocks) by the Company (such as approval, notification, registration certificate, business licence)
有关设立任何分公司、营业部、办事处或公司经营的任何其它业务或进行的任何其它投资（如合资企业、股票）的文件（批复、通知、登记证、营业执照等）

1.21 A list of all the current directors of the Company and the party appointing each director
公司现有全体董事以及各董事委任方名册

1.22 Resumes and copies of identification certificates of all the current directors of the Company
公司现有全体董事简历、身份证明

1.23 All Certificate(s) of Approval for the establishment of the Company as a foreign investment enterprise (FIE)
公司成为外商投资企业的全部批准证书

1.24 All approval letters issued by the FIE examination and approval authority
外商投资企业审批机关出具的全部批复

1.25 Customs registration certificate
公司海关登记证明

1.26 Foreign exchange registration certificate
公司外汇登记证

1.27 Minutes/resolutions of the Board of Directors for the past three years
公司过去三年的董事会会议记录及决议

1.28 Evidence of round-trip investment foreign exchange registration made by PRC residents indirectly holding equity in the Company, including but not limited to application letter, registration form and modified registration form (if applicable)
间接持有公司股权的中国境内居民办理返程投资外汇登记的证明材料，包括但不限于申请书、登记表及变更登记表 （如适用）

2 Tax
税务

2.1 Tax registration certificate (state and local tax)
公司税务登记证（国税及地税）

2.2 Annual tax return for the past three years
公司过去三年的年度税务申报表

2.3 Government approval in respect of investment grant (tax rebates)
公司有关投资奖励（退税）的政府批复

2.4 Approval of tax authority in respect of tax liability and exemption
公司有关纳税义务或免税的税务机关批复

2.5 Documents evidencing that the Company enjoys any special tax treatment (such as tax holidays or reductions)
证明公司享有任何税收特殊待遇之文件（如减免税期或税收减免）

3 Finance
财务

3.1 RMB/foreign currency loan agreements of Which the Company is a party
公司为合同一方的贷款合同（含人民币和外币合同）

3.2 Any mortgage, guarantee or security documents and the relevant registration documents
与公司或公司财产有关的任何抵押、担保或保证文件及相关登记文件

3.3 Other borrowing/financing documents (including guarantees and any government concession loans)
与公司有关的其它借贷/融资文件（包括保证合同及任何政府特许贷款）

3.4 Shareholder loan agreements (if any)
公司股东贷款协议 （如有）

3.5 Any loans made by the Company to any affiliated company or any third party or by any affiliated company to the Company
公司向任何关联公司或第三方提供的或任何关联公司向公司提供的贷款

3.6 Details of payments due to and/or from the Company under all loan agreements
各贷款协议项下公司应收和/或应付的款项明细

3.7 Foreign debts registration, Foreign Loan Contract Status Form, Feedback Form for Changes in Foreign Debts, Document for Verification and Approval of Principal Repayment and Interest Payment
公司外债登记证及外债签约情况表、外债变动反馈表及还本负息核准件

3.8 Finance Registration Certificate
公司财政登记证

4 Compliance with Applicable Laws
遵守适用法律

4.1 Documents relating to any failure to comply with applicable laws or requirements including but not limited to the following:
若公司知悉其未能遵守任何领域的适用法律或要求，请提供相关的文件，包括但不限于下列领域：

4.1.1 Government approvals and permits of any description;
违反任何性质的政府批准和许可；

4.1.2 Examination and approval, registration and filing requirements;
违反任何审批、登记和备案要求；

4.1.3 Payment of taxes (including Value Added Tax and import tariffs) and any government charges or levies;
未支付税费(包括增值税与进口关税)和任何其它政府收费和征缴；

4.1.4 Operation of bank accounts or regulations relating to foreign exchange
违反银行账户的使用或外汇管理

4.1.5 Labour management
违反劳动管理

4.1.6 Environmental protection, health & safety
违反环境保护、卫生与安全事项

4.1.7 Anti-corruption
违反任何反贪污、反腐败、反贿赂的法律法规

4.1.8 Unfair competition or misappropriation of confidential information, including but not limited to unauthorized use of intellectual property rights of third parties (including patent, trademark, copyright, tradename, know-how etc.)
不正当竞争行为或侵犯他人商业秘密、保密信息的行为，包括但不限于未经授权使用他人的知识产权（包括专利、注册商标、版权、商号、专有技术等）

4.1.9 Potential liability to the Company should the breach or alleged breach be established (fines, compensation payments etc).
如违法或声称的违法活动被证实，公司的潜在责任(罚款、补偿金等)

4.2 Any standing compliance department within the Company, any regular internal audit system of the Company, and code of conduct adopted by the Company
公司内部是否有常设的确保合规性的专门部门，是否有定期的内部审计制度，是否有专门的行为规范，如有，请提供相关文件

5 Intellectual Property and IT Systems
知识产权与信息技术系统

5.1 All Trademark Registration Certificates and Domain Name Registration Certificates
所有的商标和域名注册证

5.2 All Patent Certificates
所有的专利证书

5.3 All Certificates of Copyrights (including software certificates)
所有的著作权登记证书（包括计算机软件登记证书）

5.4 Statements of status of any pending applications for patent, trademark or copy right registration
对任何尚在进行中的专利、商标或版权登记申请的说明

5.5 All technology transfer or license agreements and technology research and development agreements to which the Company is a party
所有公司作为其中一方的技术转让或使用许可合同，以及研究开发协议

5.6 All trademark transfer or license agreements to which the Company is a party
所有公司作为其中一方的商标转让或使用许可合同

5.7 All patent transfer or license agreements to which the Company is a party
所有公司作为其中一方的专利转让或使用许可合同

5.8 All licensing agreements for copyrights, brand or other intellectual property rights (including know-how) to which the Company is a party
所有公司作为协议一方对著作权、品牌或其他知识产权(包括专有技术(know-how))使用协议

5.9 Copies of the Company’s internal trade secret and confidentiality policies
公司内部有关商业秘密以及保密的任何政策文件

5.10 Correspondence, if any, alleging that the Company has infringed on or misappropriated another’s intellectual property rights
任何声称公司侵犯或非法使用第三方知识产权的通信文件（若有）

5.11 Any use of pirate computer software by the Company, and if yes, written explanation of such use. Evidence of the Company purchasing authentic software.
公司是否存在使用任何盗版计算机软件的情形，如存在，相关情况的书面说明。公司购买正版计算机软件的凭证。

6 Material Agreements
重大协议

Please provide signed and dated copies of any contract or agreement:
请提供下述任何合同或协议之经签字并标注日期文本的复印件：

6.1 Which involves aggregate amount in excess of RMB[1] million per annum or total contract value which amount to more than [5] percent of turnover of the Company
涉及年度金额超过人民币【100】万元或合同总金额超过公司年营业额【5】%的合同/协议

6.2 Which contains unusual or onerous terms or which will cause the Company to make a loss
含有特别的或义务繁重的条款或将使公司遭受损失的协议

6.3 Which is not entered into in the ordinary course of the Company’s business or on arms’ length terms
不是在公司正常经营中达成的或在不公平条款基础上达成的协议

6.4 Which involves a party which is, or is connected with, one of the parties to the Company or any current or former director or employee of the Company or their families
涉及公司投资方之一或与任一投资方有关的一方或涉及公司现有的或过去的任何董事或雇员或其家庭的协议

6.5 Which may be terminated or varied to the detriment of the Company in the event that a third party acquires more than a 50% interest in the issued share or registered capital of the Company or any of the proposed subsidiaries
在发生第三方收购公司或其任何子公司超过50%股权的情况时，可被终止或变更并对公司产生不利影响的任何协议

6.6 Which relate to sale or marketing (distribution and/or agency) agreements
有关销售或营销（经销和/或代理）的协议

6.7 Which in any way restricts the Company’s freedom to carry on the whole or any part of its business in any part of China/the world in such manner as it thinks fit
以任何方式限制公司在中国/世界任何地方以其认为适宜的方式开展其全部或任何部分业务的自由的协议

6.8 Which relates to long term investment or co-operation
有关长期投资或合作的协议

6.9 Which entrusts or contracts out the management of the Company or any part of its business
公司或其任何业务的承包或管理协议

6.10 Which relates to the provision of guarantee or security for a third party’s debts (including the relevant registration documents)
为第三人提供的保证或担保 （包括相关的担保登记文件）

6.11 Which are agency agreements entered into with each import/export agent
与各进/出口代理达成的代理协议

6.12 Which relates to connected party transactions, connected party means a party controls, being controlled by, or under the control of a same person with the Company
与公司关联方进行交易的相关协议，公司的关联方是指对公司有控制权、受公司的控制、或与公司均受同一第三方控制的个人或实体

7 Business Arrangements
业务安排

7.1 Any standard terms for the sale or pu