尽职调查Information-request-list---OOC.doc
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1、INFORMATION AND DOCUMENTATION REQUIRED资料要求清单Comments注明The list below is the information necessary for the due diligence work. The objective of the list is to make sure that our team can smoothly start its due diligence work according to the date noted on engagement. It is possible that the list does
2、nt cover all the information we needed in our work. So, we would ask for other information not included in the list. 以下清单列明在对贵公司进行财务评阅之所需资料,此清单之目的是为了确保有足够的资料使得评阅小组能够在业务约定书约定之开始工作日期顺利开展工作。The following list maybe not includes all documents and information we needed, so additional information will be
3、required to provide during our financial due diligence. 清单所列之资料可能未有全面概括所需资料,因此在评阅过程中可能会提出获取附件中未列出的资料。1 Related legal materials有关法定资料1.1 Organization chart (including investors, investors holding company, subsidiaries and etc.) and list the legal name of these companies;公司组织结构图(包括该公司之投资者、投资者之母公司、公司的子
4、公司等)并列出该些公司之法定名称;1.2 Organization chart of the management and organization structure;公司管理层组织结构图和组织机构情况;1.3 Business license issued by SAIC;国家工商管理局发出的营业执照;1.4 Joint venture agreement and contract, articles of association, import and export license and other related documents; (if any)公司合同、章程、进出口许可证(或
5、其他经营性之许可证)及其他相关文件;(如有)1.5 Minutes of Board and Shareholders meetings;股东会议及董事局会议之会议记录;1.6 Foreign exchange registration certificate; (if any)外汇登记证;(如有)1.7 Insurance contracts (Fixed assets, Employees and others);保险合同(固定资产、劳工及其他);2 HR related information人事相关资料2.1 Staff compensation and benefits and co
6、mpensation available to employees;贵公司的员工薪酬及福利制度;2.2 Headcount of each functional department and workshop;各车间及职能部门2006年度平均人数;2.3 Social securities commitment (whether in written or oral ), if any;请提供社会保险的相关承诺(书面或口头形式),如有;3 General operation业务之概况3.1 General description and business plan of the Company
7、;概述贵公司之一般业务性质及商业计划3.2 Details of its main equipment including the date of acquisition, date of putting into use and any possible improvement project;贵公司经营场所之主要设施,设备之详情、购买及投入使用之年份及改良计划;3.3 The flowchart of the Companys business;贵公司营运流程图;3.4 The detailed information of the development of the Company;贵
8、公司的发展之详细资料;3.5 Appraisals and due diligence reports prepared by other external parties, if any; 贵公司由其他外部机构出具之评估报告或尽职调查报告,如有请提供;4 Important contract重要合约Please provide the copies of important contract. For examples:请提供所有重要合约的副本。例如:4.1 Main suppliers contracts; 与主要供应商之合约;4.2 Main sales contracts;主要的销售合
9、同;4.3 Loan agreement;借款合同;4.4 Seniors managements contracts;高级管理人员雇佣合同;4.5 Construction contracts;工程合约;4.6 Assurance agreements;担保合约;4.7 Loan contracts which are valid for the period under review;审阅期间尚未清偿之贷款合约;4.8 Assets pledge agreements;资产抵押合约;4.9 Other important contracts;其他有重大影响之合同;5 General fin
10、ancial materials 一般财务资料5.1 Accounting policy (for most major items on the financial statement);贵公司的主要会计政策 (财务报表的各主要项目);5.2 Detailed summary of your accounting and management reporting systems;贵公司会计及报表系统的详细说明;5.3 Audit report and management letter from statutory auditors;法定审计师提供的审计报告和管理建议书;5.4 Provid
11、e balance sheets as at YTD February and March 2006提供截至2006年最近日期(2月底及3月底)的资产负债表;5.5 Provide account ledger for the above mentioned period;提供截至2006年最近日期(2月底及3月底)的科目余额表;5.6 Provide the trial balance as of YTD February and March 2006提供截至2006年最近日期(2月底及3月底)之试算平衡表;5.7 Provide the details of risk management
12、。提供公司有关风险管理的详情。6 Land, buildings and equipment土地、房屋及设备6.1 List of the land use right owned by the Company, please describe the location, area of the land, the ownership of the land and the ownership of any buildings, factories and other equipment on the land;有关所拥有之土地使用权,请列出该地之位置、面积、拥有该土地使用权之公司名称及该土地
13、工厂或其他设施之业权;6.2 The nature of the lands the Company is using and the method the Company got this using right;拥有土地之性质(如土地使用权)及取得该拥有权之方法;6.3 The nature of the lands the Company is using and the method the Company got this using right;土地使用证、土地批文或免地价之批文之副本;6.4 Land use contracts;土地使用合同;6.5 Land transfer
14、contracts;土地转让合同;6.6 Land lease contracts;土地租赁合同;6.7 Property ownership certificates;房屋之房产证;6.8 Assets appraisal report;贵公司的资产评估报告;6.9 Assets appraisal report;所有租赁协议之副本;7 Balance sheet items资产负债表Please provide the information for the year ended YTD Feb and Mar 2006.请提供与公司截止2006年最新日期(2月底及3月底)之资产负债表有关
15、之以下资料内容。Fixed assets固定资产7.1 Detailed list of fixed assets as at YTD Feb and Mar 2006;截止2006年最新日期(2月底及3月底)的固定资产明细表;7.2 Detailed list of fixed assets movement in different accounting period listed above, disposal details since the establishement, and plans of sale, lease, sub-lease or other dispositio
16、ns of existing properties;列出固定资产於每个会计年度内的增购变卖及报废明细表(自成立之日起),以及目前准备购买、租赁或处置其他现有固定资产的计划;7.3 Whether there is any pledge of fixed assets to other parties and any supporting documents;说明固定资产有否用作抵押并提供有关文件;7.4 The existence of any major idle fixed assets;固定资产闲置情况;7.5 Describe any important accounting poli
17、cy (depreciation, appraisal, capitalization and other);说明会计政策(折旧、评估、资本化及其他会计政策);7.6 Describe any capitalized expenses and the accounting policy;说明资本化费用的会计政策,以及相关资本化费用的情况;7.7 Describe any fixed assets re-valuation,indicate increase to the fixed assets book and the basis for such increase;说明固定资产有无评估增值
18、的情况以及增值的依据;7.8 Describe any lease agreements and terms of assets leased to or by the Target Company;说明固定资产有无租入或租出的情况,及相应的条款;Construction in progress (if applicable)在建工程(如适用)7.9 Detailed list of Construction in progress;在建工程明细表;7.10 Important construction contracts and decoration contracts;重要的工程合同以及装
19、修合同;7.11 The budget of construction projects and related working capital arrangement and forecast;各项工程预算以及资金安排和预测;7.12 The details of capitalized expenses;资本化费用的详情;Accounts receivable应收帐款7.13 List of accounts receivable (including related companies balances);列出应收帐款清单(包括关联公司往来);7.14 An ageing analysi
20、s of accounts receivable as at YTD Feb and Mar 2006 (030days, 3190days, 91180days, 181365days, above 1 year);应收帐款帐龄分析(030天,3190天,91180天,181天365天,1年以上), 截止2006年最新日期(2月底及3月底);7.15 Basis of bad and doubtful debts provision;坏帐准备计提原则;7.16 List of sold or pledged trade debts;请提供已出售或抵押之应收款项的清单;Cash and equ
21、ivalents现金及现金等价物7.17 Reconciliation of latest cash balances with bank accounts;最近一期的银行对帐单及银行余额调节表;Other assets其他资产7.18 List of other assets and their nature (if applicable, its ageing analysis);列出其他资产的明细并注明业务性质(如可能,作帐龄分析);Intangible assets, other deferred assets and goodwill无形资产,其他递延资产及商誉7.19 Breakd
22、own of the above items;列出无形资产、其他递延资产和商誉的清单以及相关的摊销政策;7.20 Basis of amortization;指出摊销基础;Equity所有者权益7.21 Breakdown of equity and the movement during the review period;所有者权益明细及复核期间的增减变动情况;Short-term loan短期借款7.22 Breakdown of outstanding short-term loans as at latest balance sheet date, and relevant loan
23、 agreement, guarantee agreement, and pledge agreement; 截至最近资产负债表日未偿还短期借款明细,及相关借款合同、担保合同、抵押合同等;Accounts payable应付帐款7.23 Suppliers balances at the latest balance sheet date with the aging analysis;按供货商名列出应付帐款清单,并请提供相应的账龄分析;7.24 Purchase turnover with major suppliers for YTD Feb and Mar 2006;2006年最近日期(
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