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1、尽职调查所需资料目录（中英对照）尽职调查所需资料目录（中英对照） Table of Contents for Due Diligence A. 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. whether there were any change of shareholders, major disposal of assets or
2、 spin-off the company) 2.公司设立的完整文件，包括可行性报告、向审批机构递交的申请、审批机构的批复、 行业主管部门的前置审批/许可、项目核准以及其他政府机构出具的批准或登记文件 Complete set of incorporation documents of the Company, including feasibility study report, applications submitted to and official replies from the relevant examination and approval authorities, prel
3、iminary examination and approval from competent authority for relevant industry, project approval and approvals or registration certificates issued by other governmental authorities 3.政府机构就外商投资鼓励类项目出具的确认书（如有） Confirmation letter issued by governmental authorities for encouraged foreign-invested proj
4、ect (if any) 4.股东协议（或合资合同）及其修改文件 Shareholders 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 by the board of directors and/or shareholdrs meeting of the Company 6.原审批构就股东协议（或合
5、资合同） 、章程、营业执照及其他批准证书的修改或变更 所出具的批复以及相关登记文件 Approvals of any amendment or modification to shareholdrs agreement (or joint venture contract), articles of association, business license and other approval certificates from the original examination and approval authorities, together with registration cert
6、ificates relevant thereto 7.最新的营业执照及年检证明 Most recent business license together with all annual inspection certificates 8.除营业执照外，经营目前公司业务所需的所有有效的许可证书或批准文件及年检证明 Apart from the business license, all valid permits, approvals required for th operation of Companys current business and all relevant annual
7、inspection certificates 9.所有注册登记文件，包括外汇登记证、外贸经营权证明、海关登记证明、税务登记证 明、财政登记证明、组织机构登记证明、统计登记证明等 All registration certificates, including foreign exchange registration certificate, foreign trade right registration certificate, customs registration certificate, tax registration certificate, financial regist
8、ration certificate, organization identity code certificate, statistics registration certificate, etc. 10.公司注册地址的细节，如果注册地址与其主要经营场所不同，则还应提供主要经营 场所的细节 Details of the Companys registered address, if different from the principal place of business, please also provide details of the principal place of bus
9、iness B. 公司资本结构（Capital Structure） 1.会计师事务所就股东出资情况出具的验资报告 Capital verification reports issued by an accounting firm regarding the capital contribution of the Shareholders 2.资产评估机构就股东实物投资出具的评估报告，以及国有资产管理部门对评估报告的 确认文件（如适用） Asset valuation reports on shareholders capital contribution in kind issued by
10、a competent asset valuation institution, and ratification thereof issued by the state-owned assets administration authorities (if applicable) 3.公司结构变动（如增资、股权转让、合并、分立等）的完整文件，包括相关合同、董 事会决议、股东会决议、向审批机构递交的申请及审批机构的回复等 Complete set of documents for any change of the Companys structure (e.g. capital increa
11、se, equity transfer, merger, division or split, etc.), including all relevant contracts, board resolutions, resolutions of shareholders meeting, applications submitted to and approvals obtained from the relevant examination and approval authorities for such change, etc. 4.会股东转让公司股权的有关转让协议、向其他股东发出的转让
12、通知、其他股东的同意 书 Agreement relating to any previous transfer of equity interest in the Company, transfer notices issued to the remaining shareholders by the transferring shareholder, and the remaining shareholders consent letter on the transfer 5.股东名册及公司向股东出具的出资证明书 The Companys register of shareholders
13、and capital contribution certificates issued to the shareholders by the Company 6.公司股东信息，包括其名称、地址、联系方式（电话及传真）及持股比例 Information of all shareholders of the Company, including their full names, addresses, contacts (telephone and fax number) and their respective shareholding ratio in the Company 7.公司控制实
14、体（或实际控制人）的名称、营业执照或其他注册登记文件（或身份证明 文件） Name, business license or other registration certificates (or identity certificate) of the controlling entity (or actual controller) of the Company 8.公司与股东或控制实体（或实际控制人）在过去两年中签订的全部协议及其他相关文 件 All agreements entered into between the Company and shareholders or the c
15、ontrolling entity (or the actual controller) over the last two years, and other documents relevant thereto 9.公司建立的任何分公司、办事处或其他经济组织的清单、注册文件及主管经理人员的 名称与完整的地址 Lists and registration documents of any branch, liaison office, or other business organization established by the Company, including full names
16、and complete addresses of the managers in charge thereof 10.公司与其子公司签订的全部协议 （如管理合同、 控制协议、 利润及损失转移协议等） 及其他相关文件 All agreements between the Company and its subsidiaries (e.g. management contract, control agreement, profit and loss transfer agreement, etc.) and other documents relevant thereto 11.关于同公司或其子公司有关的兼并、合并、重组或分立的合同或意向声明 Contracts, statements of intent regarding merger, consolidation, restructuring or division relating to the Company or any of its subsidiaries 1
