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1、Documentation Request List for Legal Due Diligence尽职调查文件清单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 Req
2、uest. 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 eac
3、h 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 sati
4、sfied.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 occ
5、urs 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 s
6、ubordinate 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)
7、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 individu
8、al 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 responsib
9、ility 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 com
10、panies 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 .本尽职调
11、查文件清单（“清单”）是为对【X】（“公司”）进行法律尽职调查而准备。公司具有独立法人资格的子公司的相关文件并不在本清单之列。如有必要，我们将为子公司准备单独的尽职调查文件清单。对公司不具有独立法人资格的分支机构应提供文件的相关要求已包含于本清单中。除非另有说明，本清单中所要求文件均为复印件。对以下每一项，尽管并非每一项都明确标明提供“所有”文件，但应假设所有满足本清单中所设定标准的文件均应提供。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
12、，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。“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。（六）公司的合营企业。（七）公司的联营企业。（八）公司的主要投资者个人及与其关系密切的家庭成员。主要投资者个
13、人，是指能够控制、共同控制一个企业或者对一个企业施加重大影响的个人投资者。（九）公司或其母公司的关键管理人员及与其关系密切的家庭成员。关键管理人员，是指有权力并负责计划、指挥和控制企业活动的人员。与主要投资者个人或关键管理人员关系密切的家庭成员，是指在处理与企业的交易时可能影响该个人或受该个人影响的家庭成员。（十）该企业主要投资者个人、关键管理人员或与其关系密切的家庭成员控制、共同控制或施加重大影响的其他企业。Practitioners Notes/提示This document request list is adapted for privately-owned limited compa
14、nies in the PRC. However, appropriate revisions should be made for each target company.本尽职调查文件清单适用于中国的私营有限责任公司。但是，针对每一个目标公司进行调查时应当对清单做出适当的调整。For example, it should not be used without substantial revisions for state-owned companies, agricultural enterprises, listed companies or companies that issue
15、securities.如，本清单在未进行必要改动之前不应适用于国有企业、农业生产企业、上市公司或发行其他证券产品的公司。PLEASE PROVIDE THE FOLLOWING:请提供下列文件1 Basic Information1 基本信息Provided/已提供Practitioners Notes/提示Give an introduction to the Company.公司介绍1.1 Current business license, showing latest annual inspection1.1 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 Co
16、mpany 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 companys country of incorporation1.2 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
