海外融资及上市企业尽调资料清单-中英文对照版.docx

Information template for candidates company海外融資及上市企業（項目）盡職調查清單1. Corporate Information 企业基本状况l Corporate Info 公司基本信息公司名称(Company name)：地址(Address)：联系人(Contact Person)：联系电话（TEL）/手机(Mobile)传真(Fax)：电子信箱(Email)：公司网站（Company Website）许可文件（license file）包括：企业资质证明、生产许可证、进出口特许证明等文件l Brief History of the client 企业（项目）的简单发展历史（1）公司设立时的有关批准文件或发起人协议、出资协议等；（2）公司历次工商变更的企业法人营业执照以及工商变更登记资料；（3）公司历次股权变更协议；（4）公司历次注册资本调整及验资报告、评估报告；（5）自设立以来的历次公司章程。l Current shareholding structure. 目前的股权结构No.Shareholder 股东名称Percentage股权比例Nature性质附注（1）自然人股东，包括自然人的姓名及简要背景；（2）法人控股股东与其他主要股东或有实质控制权股东简要背景；（3）控股股东下属分公司、子公司和参股企业、联营企业情况。l Structure of Company公司架构（1）公司直接或间接控股的子公司及参股公司，以及对企业财务状况和经营成果等有实质影响的其他下属公司；（2）公司其它形态的对外投资（含任何海外投资或海外经营）：包括但不限于股票、债券类有价证券投资。l When was/will the Off-shore listing vehicle and WOFE structure ready. The progress of transferring core business to listing vehicle. 是否已经建立了境外离岸公司并成立了境内独资企业,以及向境外离岸公司转移企业主营业务的进度。2. Business Description 生产、产品或者服务l Nature of the business, key products or service provided经营的基本模式，主要产品或者服务提供的基本状况l The cyclicity as well as the fluctuation and seasonality of the industry as well as the future evolution trend of the industry.所在行业的周期性、波动性或者季节性变化以及未来的发展趋势l Key issues facing the client, particularly the bottle neck problem that impedes the clients further development and expansion目前企业存在的问题（特别是阻碍企业进一步发展，扩大规模的瓶颈问题）3. Market and Competition市场、行业以及竞争状况l Clients position in the industry/sub-industry, clients market share in its key market. Does the client hold any monopoly or dominate position?企业或者项目在同业中的地位，是否在一定的区域或行业市场处于主导或者垄断地位l What are the key successful factors in the industry where Client is operating公司所在行业和市场的核心竞争因素是什么?l Major competitors of the client, comparison between the client and its major competitors with regard to the above key successful factors.企业主要的竞争对手有那些，主要竞争对手与企业在市场核心竞争因素方面的比较。No.Competitors 竞争对手Market Share 市场份额Comments评价l Top five major customers and their percentage as % of the total business.最主要前五位客户的情况以及占总销售收入的比例。No.Major Customers 主要客户% as sales 占销售比例Comments评价l Price change of the major materials or component in last three years and the future trend of price change of key materials.主要原材料和部件在过去三年来价格的变化情况以及未来发展变化趋势.l Any potential new entrants in the market and potential substitute that replace the clients key product or service.是否存在着潜在的新竞争者和其它替代性的产品或服务l Managements comments regarding entry barriers and switching cost of the industry 管理层对进入本行业存在的壁垒以及顾客更换成本等问题的其它解释和说明4. 资源和战略 Clients resource and strategyl What are the key resources that could back up the clients core competence and competitive advantage (ie unique location, IP ,proprietary technology, brand equity and relationship with customers or suppliers) 支持客户战略发展和形成竞争优势的资源（如地理位置，独家技术和知识产权，品牌及客户关系等）Tangible Resources有形资产（设备，场地等）Name名称Details详细情况Comments评价Intangible Resources无形资产（专利，专有技术，品牌等）Name名称Details详细情况Comments评价l What is the long term strategy of the Client and what is the core competence to support the strategy? Managements comments on the sustainability and vulnerability of the clients strategy and business model. 公司的长期发展战略和支持其战略的核心竞争力是什么？管理层对公司发展战略和商业模式可靠性以及特点的评价5. 财务状况 Key Financialsl Last three years financials 过去三年经过审计的主要财务指标Item 项目（in￥Million 人民币百万）Year 03Year04Year05CAGR增长率Turnover 销售收入Gross Profit 毛利Profit After Tax 净利润EBITDA 税息折摊前利润Registered Capital 注册资本Net Tangible Assets 净有形资产Net Assets 净资产Cash and Equivalent 现金及等价物l Financial Forecast for next three years未来三年财务预测Item 项目（in￥Million 人民币百万）Year 1(E) Year 2 (E)Year 3 (E)CAGR增长率Turnover 销售收入Profit After Tax 净利润l Key financial ratios in last three years and the trend of these ratios主要财务指标和财务状况发展变化趋势Key Financial Ratios 主要财务指标Year YearYear Change 变化流动比率 (CURRENT RATIO)总资产周转率 (ASSETS TURNOVER)资产负债率 ( DEBT TO ASSETS)财务杠杆比例( GEARING RATIO)毛利率 (GROSS MARGIN RATE)税后利润率 (NET PROFIT RATE)总资产回报率 (RETURN ON ASSETS)净资产回报率 (RETURN ON EQUITY)l Important assets重要资产情况（1）公司开户银行、银行帐号、税务登记号等；（2）公司所有的房屋产权证明；（3）公司所有的土地使用权证明； （4）公司所有的其他形态资产所有权证明。l Loan/Mortgage/Pledge/Guarantee借款/抵押/质押/担保情况l Current preferential taxation policies (if any) and possible change after the proposed restructuring.目前的税收优惠政策以及未来企业重组后可能带来的税收政策的变化（1）公司需要缴纳的税种和费用的资料，依法应缴纳的税种名称、税率等，包括但不限于营业税、增值税、所得税等；（2）公司税务登记证明、公司历年完税证明和最近两年实际纳税情况说明；（3）公司享受的税收优惠及税务部门的批准文件；（4）公司最近三年是否受到税务部门处罚。如有，请说明并提供处罚凭证。6. 管理团队和职工 Management team and employeel Basic information of senior management team and employees, any shareholding scheme for the management team and employees before and after the restructuring. 高管层的基本状况，企业重组并购后的股权安排计划l Any possible redundancy expenses after the restructuring, particularly for previously state owned company.企业重组后是否存在职工身份转换以下下岗安置问题？7. 融资计划 Financing planl The amount of capital needs to be raised from the strategic investors and what is the proposed valuation from the client.企业希望从战略投资者处融资的数额以及企业对自身的估价l The clients intention of listing overseas and timeline preference. 企业海外上市的意向和时间安排8. 其他事项 Other Issues l Major restructuring and shareholding changes in last three years.近三年来的重大资产重组和股权变更活动l Any major existing or contingent litigations and guarantee commitment. Any major contingent or potential liability or legal obligation (Such as liabilities not recorded in accounting books, tax and pension payable)重大或者潜在的诉讼、担保等情况以及任何潜在的负债或者法律责任（包括没有计入财务账册的任何潜在负债，如欠交养老金、未计提税款等，以及任何形式的重大担保以及法律承诺等等）l Any legislation or proposed legislation from both national and local governments that would impact the operation or the proposed restructuring of