尽职调查Information-request-list---OOC

2025-05-15 0 0 125.5KB 13 页 10玖币

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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 doesn’t 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 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

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）

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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 compensation 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;

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 Company’s business;

贵公司营运流程图；

3.4 The detailed information of the development of the Company;

贵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；

2-15

4.2 Main sales contracts;

主要的销售合同；

4.3 Loan agreement;

借款合同；

4.4 Seniors management’s 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 financial 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 Provide 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；

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INFORMATIONANDDOCUMENTATIONREQUIRED资料要求清单Comments注明Thelistbelowistheinformationnecessaryfortheduediligencework.Theobjectiveofthelististomakesurethatourteamcansmoothlystartitsduediligenceworkaccordingtothedatenotedonengagement.Itispossiblethatthelistdoesn’tcoveralltheinformationweneededinourwork.So,w...

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