Preliminary Document Request List
Set forth below is a preliminary document request listing based on our current understanding of your business As we continue our due diligence procedures additional documents or information may be requested To the extent possible we would like to utilize your existing reports If you have information that may be similar to the requested items please discuss the applicable items with us before doing additional work When providing the information to us please mark it with the applicable section and item number （ie I2）
初步需提供文件清单
初步需提供文件清单展开职调查工作求进步提供资料希利贵公司现成报告减少贵司工作量果贵公司求工程相类似文件请商讨 请提供文件标明相应章节工程号码（例I2）便应
注：资产负债表科目均需提供X年X月X日止2021年度月底〔2021年2月3月〕科目明细表〔应收应付类应公司名称提供明细固定资产形资产等需工程提供明细〕
损益表需提供截公司成立日X年X月X日止期间2021年度2021年1月月份〔2021年2月3月〕期间损益表科目发生额明细表〔费费类型收入分类客户区〕
述表请科目张表量Excel 准备电子文档
A Overview of the Business 业务概况
1
Chart showing legal organizational and ownership structure of the business
贵公司业务法律组织权架构图
2
Summary of directors officers and key employees of the Target including organizational charts
贵公司组织结构图董事理层职员情况
3
Summary of key historical developments of the Target （ie incorporation change of ownership acquisitions divestitures restructurings etc）
贵公司重历史开展情况概（例：公司成立者变更购分立改组等等）
4
Articles of association business licenses certificates of approval and capital verification reports of the Target Also include licenses under application
贵公司公司章程营业执批准证书历次验资报告 请包括未批核申请证书
5
List of related parties showing the relationship with the Target and business relationship with the target （eg Customers or suppliers）
贵公司关联公司名单列示贵公司者控制方关系〔者〕业务联系〔例贵公司客户供商〕
B General and Contractual Matters般性合事宜
6
Access to minutes of meetings of the shareholdersboard for the last two financial years and current year to date
公司成立日起目前股东会议董事会会议记录
7
All major contracts with vendorscustomersother parties
供货商客户签订合
8
Confidentiality or secrecy agreements to which the Target is a party
贵公司合约方保密秘密协议
9
Agreements with shareholdersrelated parties
股东关联方签订协议
10
Any recent appraisals of the Target’s properties or facilities
期贵公司资产设备评估报告
C Accounting Controls and Policies财务控制政策
11
Overview of the Target’s accountingfinance department and responsibilities by employee including contact information
贵公司会计财务部门总体概况员工职责包括联系方式
12
Description of major accounting policies in place and any changes in the current year to date （revenue recognition fixed assets inventory costing AR and inventory reserves accruals etc）
会计政策公司成立日重转变描述（收入确认固定资产存货计价应收帐款存货跌价准备预提费等等）
13
Overview of the accounting policies and controls in place regarding revenue purchasing credit control cutoff procedures inventory and cash in particular controls to ensure cash sales received are banked in and inventoryland available for sale is updated
收入采购信贷控制结帐程序存货现金等方面现会计政策部控制概述
D Financial Statement Information财务报表信息
For the period ended 31 December 2021 2021 and current year to date
公司成立2021年底期间2021年度2021年1月期间
14
Audited financial statements for the Target including accountant’s report for the period ended 31 December 2021 and for the year ended 31 December 2021
公司成立2021年底期间2021年度审计贵公司财务报表
14
Annual management package including financial statements and explanatory comments （eg variances from budget standards performance highlights etc） for the years ended 31 December 20212021 and current year to date
2021年度2021年度截月份理报表包括财务报表说明（例：预算差异表现点评等）
E Historical Operating Information营运信息
For the period ended 31 December 20212021 and current year to date
公司成立2021年末期间2021年度2021年1月期间
16
Sales （units & dollars） and cost of sales analysis by product major customer andor geographic location
产品品种客户者理位置分销售明细表 包括销售数量销售金额销售钱
17
Cost of sales selling administrative and other incomeexpenses broken down by significant components Explanations for significant fluctuations
销售钱销售费理费损益表工程明细表重波动请提供说明
18
Compliance with social welfare contribution requirements （ie pension medical unemployment etc）
公司雇员缴交社会保险情况〔养老保险医疗保险事业保险等〕包括法律规定缴交社保类型数基数例贵公司缴交类型数基数例
19
Summary of monthly salaries and wages with head count information
月度薪金工资相应职员数表
F Historical Balance Sheet Information历史钱资产负债表信息
As at 31 December 20212021 and current month end
X年X月X日2009年12月31日月底
20
Breakdown of cash in bank including all bank account # amounts on deposit in each account denominated currencies purpose of accounts and latest bank reconciliations
银行存款明细表包括银行帐户帐号帐户存款金额币种 帐户途银行调节表
21
Account receivable listing and aging analysis and recoverability（please indicate any amount due from related companies）
应收帐款明表帐龄分析回收性评估请指出关联企业欠款
22
Ageing and recoverability of other receivable
应收款分客户明细帐龄分析回收性评估
23
Allowance for bad debts rollforward of the allowance （bad debt expense writeoffs） and bad debt written off
坏帐准备变动表（计提坏帐准备销）
24
Aged inventory listing detailing quantity unit cost and provision
存货货龄明细清单详列数量单位钱计提准备金
25
Stock take report for the most recent stock take A list of booktophysical adjustments in this respect and explanations of significant booktophysical adjustments
次盘点日存货总表（存货帐面实际余额间差异调节表说明重调整原）
26
Fixed assets register detailing date of purchase cost useful lives accumulated depreciation and impaired loss if any Identify those assets which are not owned
固定资产清单详细列明采购日期钱效年限累计折旧减值损失列出中非拥资产
27
Breakdown of all other assets （such as prepayment prepaid exp intangible assets）
资产类科目明细〔预付帐款摊费形资产等〕
28
Details of all fixed assets used or occupied （not necessarily owned） by the company and the related ownership details including copies of all ownership documents land use right certificates land use right transfer agreements zoning permits occupation permits and other related and necessary permits consents and approvals
贵公司占（定公司法律定义拥）动产持该等动产具权益详情包括切权文件土权证书土权转出合规划许占许相关需许意批准副
29
Accounts payable listing （aged if available） and reconciliations to the general ledger
应付帐款清单（包括帐龄）总账间余额调节表
30
Schedule of other accruals and liabilities （commissions bonus plans utilities marketing programs and deferred revenue） with description of their calculation methodology if any
应付款预提费明细表（包括佣金奖金方案水电气费市场营销方案递延收益）计算方法具体描述
31
Schedule of short term and longterm debts which includes security description principle amount interest rate payment schedule advance payment privileges or penalties late payment penalties renewal and conservation privileges principal repayment loans and other covenants
短期长期负债清单详列包括金利率抵押物付款方案提前付款优惠惩罚延期支付惩罚续期保存优先权契约
32
Copies of loan agreements and all bank facilities letters including used and used
款协议书包括已提取未提取款复印件
33
Summary of contingent liabilities
负债汇总
G Related Company Transactions 关联企业交易
For the period ended 31 December 20212021 and current year to date
公司成立日X年X月X日止期间2021年度2021年1月1现关联交易
34
Schedule of significant related party transactions for the current year to date showing the name of entity nature amounts terms of trade transfer pricing policy etc
公司成立日贵公司关联方间交易情况列明关联方性质金额交易条款转移定价等等评价关联交易条款公条件交易条款异
35
Details of the nature and quantum of balances with related parties
关联方余额性质金额明细
H Tax authority communications税务局文件
36
Reportsnotices issued by the tax authorities and other communications with respect to the examinations of the tax filings status of the entities concerned such as tax audit reports or notice of settlement of outstanding tax liabilities
税务局出具关纳税情况报告通知税务审查报告缴税通知书
37
Rulings issued by the tax authorities with respect toaffecting the filing positions of the entities concerned （eg approval letter of preferential tax treatment or FEIT holiday taxation basis approval confirmation taxexemption approval documents） together with the correspondence prepared by the entities concerned to apply for such rulings
公司发出申请文件税务局出具关纳税根底规定关税务优惠优惠期限纳税根底批复免税批文
38
Correspondence in respect of any other disputes not mentioned above with the relevant tax authorities
关税务争议文件
I 部门文件Other relevant authorities communications
39
Communications with other relevant authorities which may affect the business activities or operation of the entities concerned such as the Ministry of Foreign Trade and Economic Cooperationlocal Management Committee the State Administration for Industry and Commerce and the Technology Committee etc）
政府机关外贸委工商局技术监督局发出影响公司运作关文件
40
Quarterly and annual EIT returns and the respective tax payment certificates
季度年度企业税申报表完税证
41
Monthly BT returns and the respectively tax payment certificates
月营业税申报表完税证
42
BT returns and tax completion certificates on other BT paid such as transfer of intangible asset immovable properties and etc
关转形资产动产营业税申报表完税证
43
Analysis of transactions of BT payable account
应付营业税明细帐
44
Document on any BT exemptionrefund granted by tax authorities or local government
税务局发出关营业税免税退税文件
J Other taxes税项
45
Payroll information for local and expatriate staff
外藉员工薪金资料
46
Sample contracts each for local and expatriate staff
外藉员工聘请合样
47
Sample copies of monthly IIT returns filed for the local and expatriate staff and the related tax payment certificates issued by the respective tax authorities
月份税清缴申报完税证样
48
Details on any remuneration items of the expatriates and local staff （housing allowance cost of living allowance overseas social insurance etc） that were excluded from the taxable income in the IIT filings
外籍员工缴纳税工资资料住房生活津贴海外社保等
49
Sample copies of tax returns and related tax payment certificates in connection with Real Estate Tax Stamp Duty （and the related dutiable documents） City and County Maintenance and construction Tax Deed tax （and related purchase agreement） etc
关期间关房产税印花税（贴花文件）城建税契税〔包括购置合〕等申报表完税证样）
K Other relevant information 资料
50
Budgeted income statement for 202120212021
202120212021年预算利润表
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Set forth below is a preliminary document request listing based on our current understanding of your business As we continue our due diligence procedures additional documents or information may be requested To the extent possible we would like to utilize your existing reports If you have information that may be similar to the requested items please discuss the applicable items with us before doing additional work When providing the information to us please mark it with the applicable section and item number （ie I2）
初步需提供文件清单
初步需提供文件清单展开职调查工作求进步提供资料希利贵公司现成报告减少贵司工作量果贵公司求工程相类似文件请商讨 请提供文件标明相应章节工程号码（例I2）便应
注：资产负债表科目均需提供X年X月X日止2021年度月底〔2021年2月3月〕科目明细表〔应收应付类应公司名称提供明细固定资产形资产等需工程提供明细〕
损益表需提供截公司成立日X年X月X日止期间2021年度2021年1月月份〔2021年2月3月〕期间损益表科目发生额明细表〔费费类型收入分类客户区〕
述表请科目张表量Excel 准备电子文档
A Overview of the Business 业务概况
1
Chart showing legal organizational and ownership structure of the business
贵公司业务法律组织权架构图
2
Summary of directors officers and key employees of the Target including organizational charts
贵公司组织结构图董事理层职员情况
3
Summary of key historical developments of the Target （ie incorporation change of ownership acquisitions divestitures restructurings etc）
贵公司重历史开展情况概（例：公司成立者变更购分立改组等等）
4
Articles of association business licenses certificates of approval and capital verification reports of the Target Also include licenses under application
贵公司公司章程营业执批准证书历次验资报告 请包括未批核申请证书
5
List of related parties showing the relationship with the Target and business relationship with the target （eg Customers or suppliers）
贵公司关联公司名单列示贵公司者控制方关系〔者〕业务联系〔例贵公司客户供商〕
B General and Contractual Matters般性合事宜
6
Access to minutes of meetings of the shareholdersboard for the last two financial years and current year to date
公司成立日起目前股东会议董事会会议记录
7
All major contracts with vendorscustomersother parties
供货商客户签订合
8
Confidentiality or secrecy agreements to which the Target is a party
贵公司合约方保密秘密协议
9
Agreements with shareholdersrelated parties
股东关联方签订协议
10
Any recent appraisals of the Target’s properties or facilities
期贵公司资产设备评估报告
C Accounting Controls and Policies财务控制政策
11
Overview of the Target’s accountingfinance department and responsibilities by employee including contact information
贵公司会计财务部门总体概况员工职责包括联系方式
12
Description of major accounting policies in place and any changes in the current year to date （revenue recognition fixed assets inventory costing AR and inventory reserves accruals etc）
会计政策公司成立日重转变描述（收入确认固定资产存货计价应收帐款存货跌价准备预提费等等）
13
Overview of the accounting policies and controls in place regarding revenue purchasing credit control cutoff procedures inventory and cash in particular controls to ensure cash sales received are banked in and inventoryland available for sale is updated
收入采购信贷控制结帐程序存货现金等方面现会计政策部控制概述
D Financial Statement Information财务报表信息
For the period ended 31 December 2021 2021 and current year to date
公司成立2021年底期间2021年度2021年1月期间
14
Audited financial statements for the Target including accountant’s report for the period ended 31 December 2021 and for the year ended 31 December 2021
公司成立2021年底期间2021年度审计贵公司财务报表
14
Annual management package including financial statements and explanatory comments （eg variances from budget standards performance highlights etc） for the years ended 31 December 20212021 and current year to date
2021年度2021年度截月份理报表包括财务报表说明（例：预算差异表现点评等）
E Historical Operating Information营运信息
For the period ended 31 December 20212021 and current year to date
公司成立2021年末期间2021年度2021年1月期间
16
Sales （units & dollars） and cost of sales analysis by product major customer andor geographic location
产品品种客户者理位置分销售明细表 包括销售数量销售金额销售钱
17
Cost of sales selling administrative and other incomeexpenses broken down by significant components Explanations for significant fluctuations
销售钱销售费理费损益表工程明细表重波动请提供说明
18
Compliance with social welfare contribution requirements （ie pension medical unemployment etc）
公司雇员缴交社会保险情况〔养老保险医疗保险事业保险等〕包括法律规定缴交社保类型数基数例贵公司缴交类型数基数例
19
Summary of monthly salaries and wages with head count information
月度薪金工资相应职员数表
F Historical Balance Sheet Information历史钱资产负债表信息
As at 31 December 20212021 and current month end
X年X月X日2009年12月31日月底
20
Breakdown of cash in bank including all bank account # amounts on deposit in each account denominated currencies purpose of accounts and latest bank reconciliations
银行存款明细表包括银行帐户帐号帐户存款金额币种 帐户途银行调节表
21
Account receivable listing and aging analysis and recoverability（please indicate any amount due from related companies）
应收帐款明表帐龄分析回收性评估请指出关联企业欠款
22
Ageing and recoverability of other receivable
应收款分客户明细帐龄分析回收性评估
23
Allowance for bad debts rollforward of the allowance （bad debt expense writeoffs） and bad debt written off
坏帐准备变动表（计提坏帐准备销）
24
Aged inventory listing detailing quantity unit cost and provision
存货货龄明细清单详列数量单位钱计提准备金
25
Stock take report for the most recent stock take A list of booktophysical adjustments in this respect and explanations of significant booktophysical adjustments
次盘点日存货总表（存货帐面实际余额间差异调节表说明重调整原）
26
Fixed assets register detailing date of purchase cost useful lives accumulated depreciation and impaired loss if any Identify those assets which are not owned
固定资产清单详细列明采购日期钱效年限累计折旧减值损失列出中非拥资产
27
Breakdown of all other assets （such as prepayment prepaid exp intangible assets）
资产类科目明细〔预付帐款摊费形资产等〕
28
Details of all fixed assets used or occupied （not necessarily owned） by the company and the related ownership details including copies of all ownership documents land use right certificates land use right transfer agreements zoning permits occupation permits and other related and necessary permits consents and approvals
贵公司占（定公司法律定义拥）动产持该等动产具权益详情包括切权文件土权证书土权转出合规划许占许相关需许意批准副
29
Accounts payable listing （aged if available） and reconciliations to the general ledger
应付帐款清单（包括帐龄）总账间余额调节表
30
Schedule of other accruals and liabilities （commissions bonus plans utilities marketing programs and deferred revenue） with description of their calculation methodology if any
应付款预提费明细表（包括佣金奖金方案水电气费市场营销方案递延收益）计算方法具体描述
31
Schedule of short term and longterm debts which includes security description principle amount interest rate payment schedule advance payment privileges or penalties late payment penalties renewal and conservation privileges principal repayment loans and other covenants
短期长期负债清单详列包括金利率抵押物付款方案提前付款优惠惩罚延期支付惩罚续期保存优先权契约
32
Copies of loan agreements and all bank facilities letters including used and used
款协议书包括已提取未提取款复印件
33
Summary of contingent liabilities
负债汇总
G Related Company Transactions 关联企业交易
For the period ended 31 December 20212021 and current year to date
公司成立日X年X月X日止期间2021年度2021年1月1现关联交易
34
Schedule of significant related party transactions for the current year to date showing the name of entity nature amounts terms of trade transfer pricing policy etc
公司成立日贵公司关联方间交易情况列明关联方性质金额交易条款转移定价等等评价关联交易条款公条件交易条款异
35
Details of the nature and quantum of balances with related parties
关联方余额性质金额明细
H Tax authority communications税务局文件
36
Reportsnotices issued by the tax authorities and other communications with respect to the examinations of the tax filings status of the entities concerned such as tax audit reports or notice of settlement of outstanding tax liabilities
税务局出具关纳税情况报告通知税务审查报告缴税通知书
37
Rulings issued by the tax authorities with respect toaffecting the filing positions of the entities concerned （eg approval letter of preferential tax treatment or FEIT holiday taxation basis approval confirmation taxexemption approval documents） together with the correspondence prepared by the entities concerned to apply for such rulings
公司发出申请文件税务局出具关纳税根底规定关税务优惠优惠期限纳税根底批复免税批文
38
Correspondence in respect of any other disputes not mentioned above with the relevant tax authorities
关税务争议文件
I 部门文件Other relevant authorities communications
39
Communications with other relevant authorities which may affect the business activities or operation of the entities concerned such as the Ministry of Foreign Trade and Economic Cooperationlocal Management Committee the State Administration for Industry and Commerce and the Technology Committee etc）
政府机关外贸委工商局技术监督局发出影响公司运作关文件
40
Quarterly and annual EIT returns and the respective tax payment certificates
季度年度企业税申报表完税证
41
Monthly BT returns and the respectively tax payment certificates
月营业税申报表完税证
42
BT returns and tax completion certificates on other BT paid such as transfer of intangible asset immovable properties and etc
关转形资产动产营业税申报表完税证
43
Analysis of transactions of BT payable account
应付营业税明细帐
44
Document on any BT exemptionrefund granted by tax authorities or local government
税务局发出关营业税免税退税文件
J Other taxes税项
45
Payroll information for local and expatriate staff
外藉员工薪金资料
46
Sample contracts each for local and expatriate staff
外藉员工聘请合样
47
Sample copies of monthly IIT returns filed for the local and expatriate staff and the related tax payment certificates issued by the respective tax authorities
月份税清缴申报完税证样
48
Details on any remuneration items of the expatriates and local staff （housing allowance cost of living allowance overseas social insurance etc） that were excluded from the taxable income in the IIT filings
外籍员工缴纳税工资资料住房生活津贴海外社保等
49
Sample copies of tax returns and related tax payment certificates in connection with Real Estate Tax Stamp Duty （and the related dutiable documents） City and County Maintenance and construction Tax Deed tax （and related purchase agreement） etc
关期间关房产税印花税（贴花文件）城建税契税〔包括购置合〕等申报表完税证样）
K Other relevant information 资料
50
Budgeted income statement for 202120212021
202120212021年预算利润表
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