DUE DILIGENCE DOCUMENTS CHECKLIST

尽职调查文件清单

In order for the and to conduct the due diligence review regarding a proposed transaction between and ,
we will need to receive certain information and documentation from with respect to the business, assets and operations of following
entities:
为便于 和 就有关 与 的交易进行尽职调查，
请 提供下列企业关于业务、资产和经营方面的信息和文件：

[]
[]
[]

“
(Each a Company” “ ”）
and collectively the Companies
(单独或合称为 “ 公司 ”)

If the Company has any sub-entity with independent legal person status ( “ Subsidiary ” ), the Subsidiary should be regarded as another
and should separately provide answers and all relevant documents in relation to the items indicated in this Documents Checklist.
若公司有任何具有独立法人地位的下属机构 ( “ 子公司 ”） ，该子公司应视为另一个 “公司 ”并另行按本文件清单所列事项提供答复及所有有
关文件。

To expedite the due diligence process, we have compiled the following outline which lists the documentation and information that we will need
to review (set forth in no particular order).
为了加快尽职调查的进程，我们准备了下列提纲列明所需要审阅的文件和信息 (排序不分先后 )。

As our due diligence progresses, additional documents and information may be requested. We would appreciate receiving your preliminary
response as soon as possible.

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随着我们尽职调查的进行，可能需要贵司进一步提供文件和信息，我们希望贵司能尽快提供初步反馈。

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Item 备注
(with the name and Reference Number Listed)
文件名称 (To be Provided /N/A)
已提供 (列明文件名称及文号 )
(待提供 /不适用 )

Part I Corporate Structure and Shareholding of each Company

第一部分 公司的组织结构和持股情况
1.1 Articles of Association and Joint Venture Contract (if any) and any
amendments/revisions thereto.
公司章程和合资合同 (如有 )及其任何补充 /修订。
1.2 Approval letter for the Articles of Association and Joint Venture
Contract (if any) and any updates thereto.
公司章程和合资合同的批复 ( 如有 )及其任何更新。
1.3 Approval certificate for establishment of foreign invested company
and any updates thereto.
外商投资企业批准证书及其任何更新。
1.4 Project Proposal and Feasibility Study Report (if any).
项目建议书及可行性研究报告 (如有 )。
1.5 Project verification letter.
项目核准函。
1.6 Business License and any updates thereto.
营业执照及其任何更新。
1.7 Details of any increases of capital, reductions of capital or other
capital reorganizations involving the company that may have
occurred since their respective dates of incorporation.
公司从合法注册之日至今一切增资、减资及资产重组的情况。
1.8 All the approvals, opinions, agreements, contracts and other
documents with respect to the reorganization, recapitalization, and
changes of corporate structure and shareholding of the company.
任何有关改制、重组以及公司结构和股权变更的批复、意见、协
议、合同和其他文件。

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Item 备注
(with the name and Reference Number Listed)
文件名称 (To be Provided /N/A)
已提供 (列明文件名称及文号 )
(待提供 /不适用 )
1.9 If applicable, names and addresses of all directors and legal
representatives (if relevant) of the company, stating title and any
other directorships held.
公司董事及法定代表人 (如有 )名单、地址、职务及是否还担任其
他公司董事 (如适用 )。
1.10 All asset valuation reports in relation to the company.
与公司有关的所有资产评估报告。
1.11 Annual inspection report of SAIC of the past three years (if any).
最近三年的工商年检报告 (如有 )。
1.12 Minutes/resolutions of meetings of the board of directors, board of
supervisors and shareholders for the last three years.
过去三年的董事会、监事会和股东会的决议及记录。
1.13 Please also provide or confirm the following:
请提供或确认以下信息：
(1) A list of all share options, share pledges, warrants or similar
arrangements affecting the shares of the company.
影响公司股权的所有股票期权、质押、认股权证或类似的
安排清单 ;
(2) Are there any shareholders agreements relating to the
company or any other agreements among shareholders and/or
third parties relating to the voting, disposal or acquisition of
shares or securities of such company
是否存在关于其他公司的股东间协议或关于股东之间和 /
或与第三方之间的任何与其他公司的股票或其他证券的投
票权 ,处置权或取得有关的协议 ?
(3) Corporate ownership chart of the company and their affiliates;
and

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已提供 (列明文件名称及文号 )
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公司和其关联方的股权结构图 ; 以及
(4) Operational structure chart of the company and their affiliates.
公司和其关联方的组织结构图。

Part II Financial Status of each Company

第二部分 公司的财务状况

2.1 Copies of current financial statements, management accounts (if any)

and audited financial reports of the past three years of the company
and as a whole (if consolidated). For company, copies of capital
verification ( 验资报告 ), reports, certificates and other documents
confirming the timing, form and valuation of all contributions to the
registered capital of company.
公司现有的财务报表、 管理账户 (如有 )、合并报表 (如有 )及最近三
年经审计的财务报告 ,任何证明公司注册资本的出资时间。 出资形
式及出资价值的验资报告、证明或其他文件。

2.2 A schedule of all indebtedness owed by the company, details of any

borrowings or other amounts currently outstanding to the bankers of
the company, and details of any proposed discharge of such
indebtedness.
公司负债的全部状况 ,包括目前对银行所有尚未还清的借款或其
他欠款的数量以及详细情况 ,以及任何对该等负债的偿还计划。

2.3 Details of all loans made to or by the company, including all loans
and indebtedness to directors, officers, employees or shareholders of
any of the company or any other Companies in which any such
director, employee or shareholder is interested.
有关公司间贷款的详细情况 ,包括与董事、 管理人员、 员工或股东

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之间的贷款和负债情况或与该等董事、管理人员、员工或股东利
益相关的公司之间的贷款和负债情况。

2.4 All outstanding mortgages, charges (whether registered or not) and

other security arrangements and documents relating to or affecting
the company.
所有现存的与公司有关的或影响公司的抵押、质押 (不论是否登
记 )或其他担保安排。

2.5 Details and copies of all guarantees, indemnities and other contingent
obligations (a) given by the company in relation to the obligations of
any other person and (b) given by any other person in respect of the
obligations of any of the company.
所有有关保证 ,补偿或其他或有负债的详细情况及复印件 ,包括 (a)
公司对其他任何人士做出的该等安排 ; (b) 或其他任何人士对公司
做出的该等安排。

2.6 All hire purchase or instalment purchase agreements, finance leases,

letters of credit, performance and other bonds, details of advance
deposit payments for materials and similar documents involving or
relating to the company, or a confirmation that the company have not
entered into any such arrangements.
所有分期付款采购协定、财务租赁、信用证、履约保函或者其他
保函、预付款和 /或类似安排的详 /情况 ,或者公司出具确认书确认
不存在上述情况。

2.7 Details of factoring, off-balance sheet or other unusual financing

arrangements and copies of related documentation.
有关应收款银行买断、表外融资或者其他特殊融资安排的详细情
况及相关文件复印件。

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已提供 (列明文件名称及文号 )
(待提供 /不适用 )

2.8 Details of all contingent liabilities and commitments not recorded in

the books of the company.
或有负债 ,或者其他没有记入公司报表的付款承诺的详细情况。

2.9 List of debtors more than three months old and details of standard
discount and credit terms and credit or collection policies.
超过三个月的债务人名单、标准销售折扣、应收款期、以及其他
授信和收款政策。

2.10 Financial projections for each of the company for the next five years.
公司未来五年的财务预测。

2.11 Describe in detail the dividend policy of the company.

请详细描述公司的股利政策。

Part III Government Regulation regarding each Company

第三部分 有关公司的政府文件

3.1 Copies of all licenses, permits or other authorizations issued to the

company by any government agency and of any related agreements
and material correspondence, and with respect to the company,
copies of the following:
以下和公司相关的所有执照、许可或其他由任何政府机构或相关
合同和重要信件赋予公司的授权的复印件：

(1) Local Tax Registration Certificate;

地税登记证 ;
(2) State Tax Registration Certificate;
国税登记证 ;

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(3) Finance Registration Certificate;

财政登记证 ;
(4) Foreign Exchange Certificate;
外汇登记证 ;
(5) Customs Registration Certificate(if any);
海关登记证 (如有 );
(6) Enterprise Legal Person Code Certificate;
组织机构代码证 ;
(7) License for Open Account;
开户许可证 ;
(8) Loan Card;
贷款卡 ;
(9) Foreign Debt Registration Certificate (if any);
外债登记证 (如有 );

(10) Social Security Registration Certificate;

社保登记证 ;
(11) Statistics Registration Certificate;
统计登记证 ;
(12) State-owned Assets Registration Certificate (if any);
国有资产产权登记证 (如有 ) ;
(13) Planning Permit for Use of Construction Land;
建设用地规划许可证 ;

(14) Construction planning permit;

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已提供 (列明文件名称及文号 )
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建设工程规划许可证 ;
(15) Construction permit;
建筑工程施工许可证 ;
(16) Report of acceptance of construction;
竣工验收报告 ;
(17) Details of any filings relating to acceptance of construction
with relevant authority and copies of related correspondence;
在相关机构的竣工验收备案及相应往来的复印件 ;
(18) License for Operating Distribution of Movies;
电影发行经营许可证；
(19) License for Operating Projection of Movies;
电影放映经营许可证；

(20) Certificate of Projection Equipment for Digital Movie; and

数字电影放映设备技术合格证；以及

(21) Any other operating license(s), permit(s) and consent(s) issued

by PRC authorities to the company with respect to its
operation.
所有中国政府颁发给公司的和其经营相关的其他经营证
书、许可和同意。
3.2 Copies of any reports, notices or correspondence relating to any
alleged violation or infringement by the company of any government
regulation, license, permit or other authorization.
如果公司曾经违反任何中国的法律法规、执照、许可或者其他授
权，请提供有关报告，通知或回应的复印件。

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Item 备注
(with the name and Reference Number Listed)
文件名称 (To be Provided /N/A)
已提供 (列明文件名称及文号 )
(待提供 /不适用 )

Part IV Taxation regarding each Company

第四部分 税务

4.1 Details of any tax clearances or rulings obtained within the last 3
years and copies of any tax indemnities taken or given.
过去三年中一切有关税务的支付、裁决的详细情况以及得到或支
付的税务补偿的复印件。

4.2 Details of tax concessions, holidays and incentives granted to the

company.
公司一切税务优惠、减免、鼓励的详细情况。

4.3 Details of any disputes with, or investigations by, any fiscal authority
and of any disagreed assessments or arrangements or proposed
arrangements for the settlement of any arrears, and copies of relevant
correspondence.
与任何财税机关的有关税务的争议或者调查 ,任何对于税务评估
或安排或计划安排的不服及随后的解决方案 ,以及相关回应的复
印件。

4.4 Details and copies of any penalties, fines or interest charges imposed
in relation to any taxes.
一切有关税务的罚款、罚金或罚息的详细情况和复印件。

Part V Property of each Company

第五部分 公司的财产

5.1 Details of any owned or leased properties.

任何有关自有或租赁财产的详细情况。

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文件名称 (To be Provided /N/A)
已提供 (列明文件名称及文号 )
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5.2 For each parcel of land used by the company, please provide the
following information and documents:
对于公司使用的每一块土地 ,请提供下列信息和文件：

(1) land use certificate;

土地使用权证书 ;
(2) land grant contract or lease contract (if any);
土地使用权出让合同或土地租约 (如有 );
(3) temporary licenses to install and repair plants (if any);
安装或维修厂房设备的临时性证书 (如有 );
(4) evidence of payment of all land grant premiums, taxes and
fees with respect to the land; and
土地出让金付款证明 ,相关的税收和费用支付证明 ; 以及

(5) list of all mortgages over the land, together with copies of all
contracts, documents and registration certificates relating to
such mortgage (including the mortgage contracts, loan
contracts, mortgage registration certificates, etc.)
土地抵押情况清单 ,包括与该抵押相关的有关合同 ,文件和
登记证书的复印件 (包括抵押合同 ,贷款合同 ,抵押登记证明
等 )。
5.3 For each building owned or leased by the company, please provide
the following information and documents:
对于任何公司自有或租赁的房产 ,请提供下列信息和相关文件：

(1) list of rented or leased building, and their related agreements

and the relevant permits and registrations;

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租用或租赁房产的清单、相关合同及租赁许可或登记文件 ;

(2) building ownership certificate;

房产证 ;
(3) evidence of payment of all taxes and fees with respect to the
building; and
与房产相关的支付相关税收和费用的证明 ; 以及
(4) list of all mortgages over the building (including the office
properties), together with copies of all contracts and
documents relating to such mortgages (including the mortgage
contracts, loan contracts and mortgage registration certificates,
etc.).
房屋 (包括办公物业 )抵押情况清单 ,以及与该抵押相关的合
同和文件 (包括抵押合同、贷款合同以及抵押登记证明等 )。
5.4 List of any security over the assets or rights of the company and the
guarantee provided by the company together with copies of all
contracts and documents relating to such security and guarantee to
the extent not provided above.
公司所有的资产或权利所设的担保和公司提供的保证的清单 ,以
及和上述担保和保证相关且之前未提供的所有合同和文件的复
印件。

Part VI Business and Operational Matters of each Company

第六部分 公司的业务和运营

6.1 Confirmation (and evidence thereof) that each of the company has all
licenses and permits necessary to carry on its business.
公司确认并证明所有和公司运营有关的执照和许可都已经获得。

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文件名称 (To be Provided /N/A)
已提供 (列明文件名称及文号 )
(待提供 /不适用 )

6.2 A schedule of all material plant, machinery and equipment, motor

vehicles and other tangible assets used by the company, indicating
the ownership and nature thereof and the material terms of any
finance lease or security agreement pursuant or subject to which the
same may be leased or owned.
显示所有的工厂，机器，设备，汽车和其他有形资产的所有权，
金融租赁或设置担保权益的实质条款清单。

6.3 Details of all fines, penalties or other breaches of legislation or

regulations and copies of related correspondence.
所有罚款，处罚或其他违反法律，法规的细节及相应往来的复印
件。

6.4 Details of any complaints, filings or reports relating to

anti-competitive practices, anti-trust, pricing, marketing or other
practices and copies of related correspondence.
任何有关反不当竞争，反垄断，不当价格或市场其他的投诉，备
案或报告的复印件或相应往来的复印件。

6.5 Copies of the operational manuals for finance procedures,

construction/procurement procedures and operation and maintenance
procedures.
财务流程，工程流程，采购流程及运营和维护流程的操作运营手
册。

Part VII Contracts regarding each Company –General

第七部分 有关公司的合同 -概况

7.1 Copies of all contracts to which any of the Companies is or was a

party relating to acquisition or sale of shares or businesses (including

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any acquisition of shares in the company), joint ventures,
partnerships or investments in other entities, or reorganizations.
公司作为或曾作为收购、 股票销售、 商业 (包括公司内的任何股票
收购 )，合资， 合伙、 投资其他实体或重组合同的一方的所有合同
的复印件。

7.2 Copies of all license, distribution, franchise, agency, research and

development, marketing, consulting and management contracts.
所有许可协议、销售协议、特许或专营协议，委托代理协议及开
发协议，市场营销协议，咨询顾问协议及管理协议的复印件。

7.3 Copies of all contracts to which any of the companies is or was a

party relating to raw material supply/product sales.
公司作为或曾作为原材料供应 /产品销售合同一方的所有合同的
复印件。

7.4 Copies of all contracts to which any of the Companies is or was a

party relating to engineering, procurement and construction.
公司作为或曾作为设计采购施工合同一方的所有合同的复印件。

7.5 Copies of key project contracts and all other contracts material to the
business of any of the company.
重大的项目合同和对公司的业务有重大影响的其他合同的复印
件。

7.6 Details of breaches of any contracts.

任何违反合同的详细情况。

7.7 Copies of all contracts:

所有下述合同：

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(1) containing long -term, unusual or onerous provisions;

含有长期，非普通或有法律责任条款 ;
(2) containing exclusivity or non competition provisions;
含有独家或禁止竞争条款 ;
(3) where change of ownership could give grounds for termination
or is otherwise relevant.
所有权变化能带来协议终止或其他相关。
7.8 Contracts with directors or officers of the company or the vendor or
with any affiliate of the vendor or of any such person not being
acquired.
与公司董事，公司的任何管理人员，供应商，供应商的任何关联
企业或其他方的合同。

Part VIII Legal Proceedings, Disputes and Investigations regarding

each Company
第八部分 有关公司的法律程序、纠纷和调查

8.1 Details of all pending or threatened litigation, arbitration

proceedings, or governmental investigations and proceedings
(domestic or foreign), including parties, damages and other remedies
sought, nature of action, details of any actual or potential breaches of
contract or infringement of rights by the company.
任何现实或者潜在的 (国内与国外的 )诉讼 ,仲裁或政府调查的详细
情况 ,包括当事方 ,损失和其他赔偿 ,行为的性质 ,公司任何实际或
潜在的违反合同或侵权的详细情况。

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Part IX Insurance Policies of each Company

第九部分 公司的保险

9.1 Provide a description of all insurance policies as have been taken out
by the company as are required by law.
请提供一份公司购买的全部保险以及根据法律要求公司购买的
全部保险的详细说明。

Part X Environmental Matters regarding each Company

第十部分 有关公司的环境事宜

10.1 Copies of environmental impact assessment report and all permits

relating to environmental matters (including but not limited to
environmental impact assessment report, approval for environmental
impact assessment and evidence of project environmental protection
acceptance).
环境影响评估报告和有关环保的一切许可的复印件 (包括但不限
于环境影响评估报告、环境影响评估报告的批复及项目竣工环境
保护验收的证明 )。

10.2 All notices, complaints, suits or similar documents sent to, received
by or served upon any of the company by any governmental,
department of environmental regulation or any similar governmental,
regulatory body, authority or agency.
任何政府执法机关 ,环保执法机关或类似政府机构 ,监管机构或代
表机构对公司发出的或者为公司发出的所有通知 ,投诉 ,诉讼或者
其他类似文件。

10.3 Details of any infringement of any environmental laws.

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任何违反任何环境法律法规的详细情况。

10.4 Details of any existing environmental management system or

monitoring system implementing environmental controls at the
company.
公司任何现有的实施环境控制的环境管理系统或检测系统的详
细情况。

Part XI Employment Matters regarding each Company

第十一部分 有关公司的劳动人事事宜

11.1 Examples of standard-form employment agreements (and, if

applicable, golden parachute agreements), consultancy agreements,
and all agreements with present or former employees of the
Companies in respect of confidentiality, non-competition or
indemnities.
标准格式的雇佣协议 (及，如适用，金降落协议 )、顾问协议及所
有与现在或先前的员工所签署的关于保密，竞业禁止或补偿协议
的样本。

11.2 Copies of any share option, share incentive, profit sharing, phantom
scheme or similar arrangements for employees .
员工的股票期权、股权激励、虚拟股票期权、分红或类似安排的
复印件。

11.3 Confirmation that all applicable employment regulations have been

complied with by company and all applicable tax, welfare have been
paid by each company.
确认公司遵守了所有适用的劳动法律法规并且支付了所有适用
的税款和福利。

17
 Note
Previously Provided
Item 备注
(with the name and Reference Number Listed)
文件名称 (To be Provided /N/A)
已提供 (列明文件名称及文号 )
(待提供 /不适用 )

11.4 Details of any material or unusual benefits provided to employees

including loan arrangements.
包括贷款安排在内的任何提供给员工的实物或特殊的利益情况
细节。

Part XII Intellectual Property of each Company

第十二部分 公司的知识产权

12.1 Schedule of all intellectual property of the company, and copies of all
relevant registrations, applications, consents, licenses and
sub-licenses.
公司全部知识产权的清单 ,包括相关的登记、申请、同意、授权和
次级授权的复印件。

12.2 Details of any infringement or alleged infringement of the intellectual

property rights of the company, or of any such rights of others by the
company, and related correspondence and documentation.
任何有关公司知识产权被侵犯 ,或任何公司侵犯其他方知识产权
的详细情况以及相关回复和文件。

Part XII Reports regarding each Company

第十三部分 有关公司的报告

13.1 Consultant, engineer or management reports and market studies

related to broad aspects of business and operations of company
prepared at its request.
顾问、工程师或管理层准备的公司业务、运营方面有关的报告，
市场研究报告。

13.2 Recent analyses of the company or its industry by investment

18
 Note
Previously Provided
Item 备注
(with the name and Reference Number Listed)
文件名称 (To be Provided /N/A)
已提供 (列明文件名称及文号 )
(待提供 /不适用 )
bankers, engineers, management consultants, accountants or others.
投资银行、工程师、管理顾问、会计师或其他方最近出具的有关
公司的分析或行业分析。

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