Documentation Request List for Legal Due Diligence


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 response to the Request, please inform us immediately.

“Official documents” refers to approvals, certificates, licenses, contracts, formal applications, etc.

A government authority includes its local or subordinate organs.

“Recent” or “recent years” means the past [X] years, unless otherwise specified.

“Material amount” refers to [¥X].

“Affiliate” refers to:

1)      The parent company of the Company;

2)      The subsidiaries of the Company;

3)      Other companies under the control of a same parent company of the Company;

4)      The investors having joint control over the Company;

5)      The investors having significant influence on the Company;

6)      The joint ventures of the Company;

7)      The associated companies of the Company;

8)      The principal individual investors and the close family members of such individuals. “Principal individual investors” refers to an individual investor who can control or jointly control a company, or has significant influence on a company;

9)      The key managers of the Company or of its parent company and their close family members. “Key managers” refer to the managers who have the authority and responsibility for planning, directing and controlling the activities of the Company. The close family members of a principal individual investor or of a key manager refer to the family members who may influence, or be influenced by, that individual in dealing with transactions with the Company.

10)   Other companies which are controlled or jointly controlled by the principal individual investors, or key managers, or the close family members of such individuals, or on which the principal individual investors, or key managers, or the close family members of such individuals have significant influence .

















1     Basic Information 1     基本信息 Provided/已提供



1.1          Current business license, showing latest annual inspection 1.1          最新的营业执照(正副本),显示最近一次的年检记录信息
1.2          If the Company is part of a group, the shareholding structure of such group in a chart showing all important relationships and connections between the group companies (including holding of shares in trust), as well as each company’s country of incorporation 1.2          如果公司为集团的一部分,集团的股权结构图,说明集团组成公司之间的重要关系(包括信托持股关系),以及每个公司的成立地
1.3          Internal organization chart and other information showing departments and authority of officers 1.3          内部组织结构图以及其他信息,说明公司内部部门组成以及部门主管的权力和职责
1.4          A list of cities and countries where the Company’s assets (tangible and intangible) and employees are located 1.4          公司资产(有形和无形)以及员工所在城市和国家列表
1.5          List of current directors, supervisors and senior officers of the Company and their letters of appointment 1.5          公司目前的董事、监事以及高级管理人员名单以及其任命函
1.6          Authorizations given by the board or by directors to specially-appointed agents to deal with some particular matter 1.6          董事会或董事授权特别指定代理人处理某项特殊事务的授权书
1.7          Reports recently prepared by the Company regarding business and important matters facing the Company 1.7          公司最近有关业务及重要事项的报告




2     Historical Changes
2     历史变更 Provided/已提供



2.1          Prior to the establishment of the Company: 2.1          公司成立以前:
(1)           resolutions & minutes of meeting of promoters (1)           发起人会议的决议和会议记录
(2)           agreements entered into by the promoters (2)           发起人之间达成的协议
2.2          At the Company’s establishment or during major change to the Company: 2.2          公司成立期间或公司进行重大变更期间:
(1)           feasibility study reports, project proposals and other applications submitted to government authorities for the purpose of approving the intended business activities of the Company (1)           为取得公司拟开办业务有关批准而提交予政府部门的可行性研究报告、项目建议书或其他申请文件
(2)           official documents from or to government authorities relating to the above, including if applicable approvals from government regulators for certain industries or classes of companies (such as approval from MIIT for telecommunications companies, or for a project encouraged by the state, a certificate to that effect) (2)           与上述有关的政府部门复函或给政府部门的函件,包括相关行业主管部门或相应级别的主管部门的批准(如工业和信息化部对电讯公司的批准,或国家对鼓励项目的批准等等)
(3)           SASAC approval if state-owned assets are involved (3)           如涉及国有资产,国有资产监督管理部门的批准文件
2.3          Since the establishment of the Company until the present 2.3          公司自成立至今
(1)           business licenses, including any amendments and showing all annual inspection passed (1)           营业执照,包括变更的营业执照和所有年检纪录
(2)           amendments to information registered with AIC (2)           工商局的变更登记证明
(3)           AOA, including any amendments (3)           章程,包括所有章程修正案
(4)           JV contracts (if applicable), including any amendments (4)           合资合同(如适用),包括任何合资合同的修订或补充
(5)           capital verification reports; asset appraisal reports for in-kind contributions (5)           验资报告;以非现金出资的资产评估报告
(6)           MOFCOM approvals for FIE establishment, including any amendments and showing all annual inspection passed (6)           商务部门批准外商投资企业成立的批准,包括任何变更或年检记录
(7)           organizational code certificates, including any amendments and showing all annual inspection passed (7)           组织机构代码证,包括任何变更和年检记录
2.4          For all changes to the AIC registered information (such as amendment of AOA, amendment of JV contracts, increase of capital, change of directors, change of business scope, acquisition, merger, divestiture, restructuring, etc.) 2.4          工商变更登记信息(如章程修改、合资合同修改,增资,变更董事、经营范围变更、收购、吸收、合并、分立、重组等等)
(1)           shareholder and board resolutions of the Company (1)           公司股东会及董事会决议
(2)           contracts relating to such change or transaction (2)           该等变更或交易的相关合同
(3)           shareholder and board resolutions of other parties to such transaction (3)           交易相对方的股东会决议和董事会决议




3     Shareholders 3     股东 Provided/已提供



3.1          General information regarding the shareholders (including whether any are state-owned enterprises or FIE) and historical dealings / interactions among them 3.1          股东的基本信息(包括是否国有企业或中外投资企业)以及股东之间的关系
3.2          Business license or personal identification card of shareholders 3.2          营业执照或个人身份证明
3.3          Any agreements among some or all shareholders regarding the Company 3.3          部分或全部股东关于公司的任何合同、协议




4     Financing 4     融资 Provided/已提供



4.1          SAFE official documents, such as foreign exchange registration certificate, foreign debt registration certificate and foreign debt repayment approvals, including any amendments and showing all annual inspection passed 4.1          外汇管理部门文件,如外汇登记证,外债登记证和外债偿还核准,包括任何变更和年检记录
4.2          MOF official documents, such as the financial registration certificate, including any amendments and showing all annual inspection passed 4.2          财政部门文件,如财政登记证,包括任何变更和年检记录
4.3          Contracts relating to all debt, financing or guarantees, including those relating to security interests (mortgages, pledges, liens, etc.) and credit facilities 4.3          所有与借款、融资或保证有关的合同,包括与担保权益有关的合同(抵押、质押、留置等)和信用贷款合同
4.4          Information and documents relating to the performance of the above contracts, including: 4.4          有关前述合同履行情况的信息和文件,包括:
(1)           whether all reporting and registration requirements have been complied with (1)           是否全部报告及登记要求均已得到遵守
(2)           whether all material covenants including financial covenants/ratios have been complied with (2)           是否全部重大承诺包括财务承诺/比率均已得到遵守
(3)           whether any event of default has occurred (3)           是否发生任何违约行为
(4)           whether any notice or demand has been served on the Company in relation to default or non-compliance with any of the provisions of loan or security documentation (4)           与违反或未遵守贷款或担保文件的任何规定相关的任何通知或要求是否已送达公司
(5)           any further action taken by lenders to enforce any security interests (e.g. appointment of receivers, commencement of winding up proceedings etc.) (5)           贷款人为强制执行任何担保权益采取的任何进一步行动(如指定接管人、开始清算程序等)
4.5          Receipts or documents from the bank showing payments made on debt 4.5          银行关于收到还款的收据或其他文件
4.6          Information and documents relating to bank accounts (of all types) of the Company 4.6          银行账户(所有类型)的信息和文件
4.7          Information and documents relating to other financial arrangement other than banking loan with the Company, including cash advances, financial lease, deferred payment arrangements, sale and leaseback, swaps, hedges and similar risk management arrangements, debentures, bonds, notes or similar debt instrument issued by the Company 4.7          除银行贷款以外公司的其他融资安排的相关信息和文件,包括现金预付款、融资租赁、延期付款安排、售后回租、掉期交易、套头交易及类似的风险管理安排、公司发行的债券、公债、票据或类似债务文件
4.8          Potential factors that may cause the Company to default on its debts or other payables 4.8          可能导致公司违反还款义务和偿还其他应付款义务的潜在因素
4.9          Audited annual financial reports for recent years, semi-annual reports and quarterly financial reports for year-to-date 4.9          近三年度的年度审计报告、半年度报告和季度报告
4.10       Current and future financial plans and budgets 4.10       目前和将来的融资计划和预算





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