法律盡職調(diào)查提綱問卷-中英文版

1、Date 日期: 201 年8月12日Reply Date 回復(fù)日期: 201 年_月_日 有關(guān)某某公司 的初步法律盡職調(diào)查問卷Preliminary Due Diligence Checklist初步法律盡職調(diào)查問卷致某某公司 ：It is important that we receive the relevant information about China Hualian Group Investment Holdings Limited (the “Company”) as set out in the list below. During the due diligence ex

2、ercise, we may send the Company supplemental due diligence checklist and request further documents and/or information from the Company.請(qǐng)貴公司就下列表格所述提供相關(guān)文件及信息，這對(duì)于本次法律盡職調(diào)查至關(guān)重要。隨著法律盡職調(diào)查工作的不斷深入和具體情況的變化，我所將向貴公司發(fā)出補(bǔ)充盡職調(diào)查清單并向貴公司索取進(jìn)一步的文件及/或信息。In respect of each listed item below, please provide a copy of the d

3、ocument (unless otherwise stated). Also, please return this checklist by indicating Yes if the documents have been provided to us together with this checklist, No if the documents have not been provided yet, or N.A. if the items are not applicable to the Company and confirm that the Company does not

4、 have such document(s) and/or arrangement(s). If the document has not been provided yet or is not applicable, please provide a brief explanation as to the reason that it has not been provided or is not applicable. In case an answer to the question is necessary, please give your answer below the ques

5、tion or in separate sheet(s) attached hereto.就如下列出的每一個(gè)事項(xiàng)，請(qǐng)?zhí)峁┫嚓P(guān)文件的復(fù)印本（除非另有定明）。在作出回復(fù)時(shí), 若相關(guān)文件已經(jīng)連同本清單提供給我們，請(qǐng)?jiān)谇鍐沃凶⒚鳌耙烟峁?；如文件尚未被提供，?qǐng)?jiān)谇鍐沃凶⒚鳌拔茨芴峁?；如相關(guān)事項(xiàng)不適用，則請(qǐng)?jiān)谇鍐沃凶⒚鳌安贿m用”并確認(rèn)公司無該等文件及/或安排。若未能提供相關(guān)文件或相關(guān)文件不適用時(shí)，請(qǐng)簡單說明未能提供的理由或不適用的原因。若需要作出詳細(xì)回饋，請(qǐng)?jiān)趩栴}的下方書寫或另附上附頁。Corporate Information 公司信息Certificate of Incorporation, ce

6、rtificate of change of name (if any).公司注冊(cè)成立證書、更改公司名稱證書（如有）。Yes已提供No未能提供N.A.不適用The latest memorandum and articles of association or constitutional documents in respect of the Company.現(xiàn)時(shí)有效的公司組織章程大綱及章程細(xì)則或者其他組織性文件。Yes已提供No未能提供N.A.不適用The full names and addresses of the directors, secretary and auditors,

7、and the address of the registered office (and place of business, if different) of the Company.董事、秘書、審計(jì)師的姓名或名稱和地址及公司的注冊(cè)地址（如果經(jīng)營場所與公司注冊(cè)地址有所不同，請(qǐng)同時(shí)提供經(jīng)營場所的地址）。Yes已提供No未能提供N.A. 不適用(i) register of directors;(ii) register of members;(iii) register of company secretaries;(iv) register of charges; and(v) regis

8、ter of transfer(i) 董事名冊(cè)；(ii) 股東名冊(cè)；(iii) 公司秘書名冊(cè)；(iv) 押記登記冊(cè);以及(v) 股份轉(zhuǎn)讓登記冊(cè)Yes已提供No未能提供N.A. 不適用The location where the register books and records of the Company are kept.公司法定登記冊(cè)、登記簿、記錄的保存地址。Yes已提供No未能提供N.A. 不適用Resignation letters of the resigned directors and secretaries of the Company.前公司董事及公司秘書的辭職函。Yes

9、已提供No未能提供N.A. 不適用Register of shareholders or shareholders lists (and of the beneficial owners of the shares, if different) setting out the number of shares (including ordinary, deferred, preferred or any other share capital) held with respect to the Company, and where applicable, copies of the lates

10、t annual returns.載有公司登記股東（以及股權(quán)實(shí)益擁有人，如與登記股東不同）及其所持公司股權(quán)數(shù)額（包括普通股、遞延股、優(yōu)先股或任何其它股權(quán)）的股東名冊(cè)及清單，及公司最近的周年申報(bào)表的復(fù)印件（如適用）。Yes已提供No未能提供N.A. 不適用A full and detailed description setting out a history of the ownership of the interest in the Company, from its establishment date until the present day, including a descrip

11、tion of any intermediate changes occurring to interests in the Company. 一份完整且詳細(xì)記載公司自成立起至今的公司股權(quán)歷史沿革說明，包括任何公司股東之間的股權(quán)變動(dòng)的說明。Yes已提供No未能提供N.A. 不適用Details of all shares held by trustees or nominees, and the relevant trust documents, if any.如公司任何股份通過信托或名義股東持有，請(qǐng)?zhí)峁┫嚓P(guān)信托文件。Yes已提供No未能提供N.A. 不適用Details of all cha

12、rges, liens, pledges, encumbrances or other third party rights relating to the shares of the Company, if any.任何公司股權(quán)的抵押、質(zhì)押、留置權(quán)、權(quán)利負(fù)擔(dān)或其他有關(guān)公司股權(quán)的第三方權(quán)利的詳細(xì)情況和資料。Yes已提供No未能提供N.A. 不適用Details of all outstanding, uncompleted or unexercised contracts, warrants, options or conversion rights in respect of the sub

13、scription or purchase of shares in the Company, if any.任何未解決的、未完成的或不可實(shí)施的涉及認(rèn)購或購買公司股權(quán)的合同、認(rèn)股權(quán)證、期權(quán)或可轉(zhuǎn)換權(quán)的詳細(xì)情況和資料。Yes已提供No未能提供N.A. 不適用Details of all rights to call for the allotment, issue, sale or transfer of any share capital of the Company, whether on a change of control or otherwise.任何公司股份的分配、發(fā)行、出售或轉(zhuǎn)讓

14、的權(quán)利的詳細(xì)情況和資料，無論是否發(fā)生控股權(quán)變更或其他情況。Yes已提供No未能提供N.A. 不適用Agreements relating to the purchase, repurchase, sale or issuance of securities, including oral commitments to sell or issue securities.所有涉及購買、回購、出售或發(fā)行證券的合同，包括購買或發(fā)行證券的口頭承諾。Yes已提供No未能提供N.A. 不適用Agreements relating to voting of securities and restrictive

15、 share transfers.所有涉及有股份表決權(quán)和限制股份轉(zhuǎn)讓的合同。Yes已提供No未能提供N.A. 不適用Agreements relating to preemptive or other preferential rights to acquire securities and any waivers thereof.所有涉及優(yōu)先購股權(quán)或其他與購買股份有關(guān)的優(yōu)先權(quán)以及任何涉及放棄該權(quán)利的合同。Yes已提供No未能提供N.A. 不適用The latest business registration certificates of the Company.公司現(xiàn)時(shí)有效的商業(yè)登記證書。

16、Yes已提供No未能提供N.A. 不適用The Companys minute book, including all minutes and resolutions of shareholders and directors, executive committees, and other governing groups (including predecessor corporations).公司的會(huì)議記錄本,包括所有股東會(huì)、董事會(huì)、執(zhí)行委員會(huì)及其它管理層（包括公司前身）的會(huì)議記錄決議。Yes已提供No未能提供N.A. 不適用The Companys organisational cha

17、rt, including its holding companies, and all subsidiaries, associated companies and joint ventures directly or indirectly held by the Company.公司的組織架構(gòu)圖,包括其控股公司，及其直接或間接持有的子公司、關(guān)聯(lián)公司和合資公司。Yes已提供No未能提供N.A. 不適用Joint venture contract or shareholders agreement (if applicable).合資公司的合資合同以及股東之間訂立的股東協(xié)議（如有）。Yes已提

18、供No未能提供N.A. 不適用In cases where a profit guarantee has been granted in favour of any joint venture partner, documentation in relation to the granting of such guarantee and the approval thereof.如任何合資公司的股東享有利潤擔(dān)保承諾，請(qǐng)?zhí)峁┫嚓P(guān)文件證明該利潤擔(dān)保已獲批準(zhǔn)及實(shí)行。Yes已提供No未能提供N.A. 不適用In cases where the joint venture is funded by me

19、ans of shareholder loans, documentation in relation to the granting of such loans and approval/regulation thereof and details.如存在合資公司接受任何股東貸款的情況，請(qǐng)?zhí)峁┫嚓P(guān)文件證明該貸款已獲批準(zhǔn)及實(shí)行，以及該貸款的詳情。Yes已提供No未能提供N.A. 不適用Details of any branch, representative office, agency, place of business or any permanent establishment of

20、the Company outside its place of incorporation, including brief description of business carried on and numbers of personnel involved.公司于成立地以外地方設(shè)立的任何分公司、代表處、辦事處、營業(yè)場所或者任何常設(shè)機(jī)構(gòu)的詳細(xì)情況和資料，包括正在進(jìn)行的業(yè)務(wù)和相關(guān)人數(shù)的簡要描述。Yes已提供No未能提供N.A. 不適用All agreements relating to internal restructuring measures such as mergers, int

21、ra-group purchases, spin-offs etc. together with all relevant corporate documentation and registration.所有涉及公司內(nèi)部重組措施（比如合并、內(nèi)部集團(tuán)收購、分立等）的合同，以及所有相關(guān)的公司文件和登記。Yes已提供No未能提供N.A. 不適用A description of the nature of business of the Company.公司業(yè)務(wù)性質(zhì)的書面說明。Yes已提供No未能提供N.A. 不適用Evidence of exemption under applicable law

22、s for issuance of the Companys securities, if any.根據(jù)相關(guān)法律關(guān)于發(fā)行證券的豁免的證據(jù)（如有）。Yes已提供No未能提供N.A. 不適用Record(s) filed with relevant taxation, custom and other authorities in Hong Kong and other jurisdiction(s) in which it carries on business;公司在香港或其他公司有經(jīng)營業(yè)務(wù)的國家的稅務(wù)部門、海關(guān)部門及其他政府部門所做的任何登記的登記記錄。Yes已提供No未能提供N.A. 不適

23、用Business plans, including executive summary, market analysis and plan, operational plan, and complete financials.商業(yè)計(jì)劃，包括執(zhí)行報(bào)告、市場分析和計(jì)劃、經(jīng)營計(jì)劃和財(cái)務(wù)文件。Yes已提供No未能提供N.A. 不適用Accounts and Financial Information 會(huì)計(jì)及財(cái)務(wù)狀況Audited financial statements of the Company and its subsidiaries for last three financial year

24、s.公司及其子公司最近三個(gè)財(cái)務(wù)年度經(jīng)審計(jì)的財(cái)務(wù)報(bào)表（如適用）。Yes已提供No未能提供N.A. 不適用Latest management accounts, if any.公司最近的管理賬目（如有）。Yes已提供No未能提供N.A. 不適用Budget plan, including revisions to date with respect to the budget plan for the current fiscal year for the Company.公司財(cái)政預(yù)算，包括本財(cái)政年度最近的有關(guān)財(cái)政預(yù)算的任何修改。Yes已提供No未能提供N.A. 不適用The Companys s

25、trategic plan and any information concerning the Companys compliance therewith.公司的戰(zhàn)略規(guī)劃以及任何有關(guān)公司執(zhí)行有關(guān)戰(zhàn)略規(guī)劃的信息。Yes已提供No未能提供N.A. 不適用Disclosure documents used in private placements of the Companys or any of its subsidiaries or affiliates securities, or institutional-loan or bank-loan applications since inc

26、eption.自成立以來，公司為私人配售其公司或者任何子公司、關(guān)聯(lián)公司的證券或者機(jī)構(gòu)貸款申請(qǐng)、銀行貸款申請(qǐng)而披露的所有資料。Yes已提供No未能提供N.A. 不適用Any other agreements with creditors and settlement details.任何與債權(quán)人簽訂的合同以及和相應(yīng)的償付詳情。Yes已提供No未能提供N.A. 不適用Management letters, if any, issued by the Companys management.由公司管理層就審計(jì)報(bào)告向?qū)徲?jì)師出具的函件（如有）。Yes已提供No未能提供N.A. 不適用Details of

27、 any outstanding contingent liabilities and commitments not recorded in the books of the Company.任何沒有被記錄在公司登記冊(cè)的公司尚未履行的或有債務(wù)及承諾。Yes已提供No未能提供N.A. 不適用Assets 資產(chǎn)A schedule of all properties (including real properties, factories, machinery, equipment and personal properties and wherever situated) owned or

28、rented by or licensed to or otherwise occupied by the Company giving a full description.所有公司擁有、租用、許可使用或以其它方式占用的物業(yè)（包括不動(dòng)產(chǎn)、工廠、機(jī)器設(shè)備、裝備以及私人物品，不論所在地）的詳細(xì)清單。Yes已提供No未能提供N.A. 不適用Title deeds and all leases, sub-leases and licenses in respect of all the properties (including real properties, factories, machine

29、ry, equipment and personal properties) owned/leased by the Company.公司擁有或者租用物業(yè)的所有地契（產(chǎn)權(quán)證明）、租約、分租租契以及公司擁有/租用物業(yè)（包括不動(dòng)產(chǎn)、工廠、機(jī)器設(shè)備、裝備以及私人物品）的相關(guān)許可文件。Yes已提供No未能提供N.A. 不適用Details of the use of each property, if any.所有公司使用物業(yè)情況的詳細(xì)情況和資料（如有）。Yes已提供No未能提供N.A. 不適用Details of all mortgages, charges, pledges, debentures

30、 and encumbrances in respect of any assets (including real properties, factories, machinery, equipment and personal properties) of the Company, and all plants or principal facilities which have been leased out by the Companies, if any.所有關(guān)于公司資產(chǎn)（包括不動(dòng)產(chǎn)、工廠、機(jī)器設(shè)備、裝備以及私人物品）的按揭、抵押、質(zhì)押、債權(quán)證及擔(dān)保，以及公司出租的所有工廠及主要設(shè)施

31、的文件復(fù)印件。Yes已提供No未能提供N.A. 不適用Other interests in real property.其他不動(dòng)產(chǎn)上的權(quán)益。Yes已提供No未能提供N.A. 不適用Any documents showing any certification of compliance with, or any deficiency with respect to, regulatory standards of the Companys or any of its subsidiaries or affiliates facilities.任何可證明有關(guān)公司或其子公司和關(guān)聯(lián)公司設(shè)施的相關(guān)規(guī)定

32、被遵守或被違反的文件。Yes已提供No未能提供N.A. 不適用Financing leases and sale and lease-back agreements.商業(yè)租賃和售后回租合同。Yes已提供No未能提供N.A. 不適用Conditional sale agreements.附條件銷售協(xié)議。Yes已提供No未能提供N.A. 不適用Equipment leases.設(shè)備租賃合同。Yes已提供No未能提供N.A. 不適用Loans and Guarantees 借貸及擔(dān)保Loans made by or to the Company，including all loans and ind

33、ebtedness to or by directors, senior management or direct or indirect legal and beneficial owner(s) of the Company.任何公司借貸的資料, 包括公司董事、高級(jí)職員，以及公司直接或間接的法律擁有人和實(shí)益擁有人的借貸資料。Yes已提供No未能提供N.A. 不適用Guarantees or indemnities or securities given by or in favour of the Company.任何公司給予或接受的擔(dān)保、賠償承諾或抵押資料。Yes已提供No未提供N.A.

34、 不適用All debt instruments and credit agreements entered into by the Company, including lease financing, which are currently in effect.任何公司簽訂的債務(wù)文件、信貸協(xié)議，包括現(xiàn)行有效的融資租賃合同。Yes已提供No未能提供N.A. 不適用Loan agreements, bank financing arrangements, line of credit, or promissory notes to which the Company is a party.任何

35、公司作為協(xié)議一方的借貸協(xié)議、銀行融資協(xié)議、授信額度或付款承諾書。Yes已提供No未能提供N.A. 不適用Any loans and guarantees of third-party obligations.任何銀行在借貸或擔(dān)保中承擔(dān)第三方責(zé)任的文件。Yes已提供No未能提供N.A. 不適用Any agreements restricting the payment of cash dividends.任何限制支付現(xiàn)金股息的協(xié)議。Yes已提供No未能提供N.A. 不適用Security agreements, mortgages, indentures, collateral pledges,

36、 and similar agreements.任何公司作為一方簽訂的抵押、按揭、擔(dān)保、保證及質(zhì)押以及其它關(guān)于權(quán)利負(fù)擔(dān)的協(xié)議。Yes已提供No未能提供N.A. 不適用A list of all transactions entered into by the Company, and provide details and copies of documents (including but not limited to, the agreements entered into by the parties) of such transactions, if any.公司參與的交易清單，請(qǐng)?zhí)峁?/p>

37、每一單交易的詳情以及相關(guān)文件（包括但不限于各合同方就該交易訂立的合同）。Yes已提供No未能提供N.A. 不適用All material correspondence with lenders, including all compliance reports submitted by the Company or its accountants.所有與借款方的重要通信文件，包括公司或其審計(jì)師提交的所有合規(guī)審計(jì)報(bào)告。Yes已提供No未能提供N.A. 不適用Banking Arrangements 銀行協(xié)議Names and addresses of bankers.公司往來銀行的名稱和地址。Y

38、es已提供No未能提供N.A. 不適用Overdraft or other facilities and balances outstanding as at a recent date.公司最近的任何透支或者未清的貸款和余額。Yes已提供No未能提供N.A. 不適用Copies of facility letters, loan agreements, loan notes, debentures or other documents relevant to such arrangements.與上述安排有關(guān)的貸款通知書、貸款協(xié)議、債券和其它文件的復(fù)印件。Yes已提供No未能提供N.A. 不

39、適用Taxation 稅務(wù)Names and addresses of the tax advisers, if any.公司稅務(wù)顧問的名稱和地址。Yes已提供No未能提供N.A. 不適用The dates when the tax returns were made, and if so, please provide documentary evidence.公司提交稅務(wù)申報(bào)表的時(shí)間。請(qǐng)?zhí)峁孀C明。Yes已提供No未能提供N.A. 不適用The dates when the tax returns were settled, and if so, please provide docum

40、entary evidence.公司清繳稅項(xiàng)的的具體時(shí)間。請(qǐng)?zhí)峁孀C明。Yes已提供No未能提供N.A. 不適用Details of all matters in dispute, under investigation or under discussion with the Inland Revenue Department or any tax authority, if any.任何正在與被稅務(wù)局（或其他稅務(wù)部門）存在爭議、被稅務(wù)局（或其他稅務(wù)部門）調(diào)查或公司正在與稅務(wù)局（或其他稅務(wù)部門）協(xié)商的事項(xiàng)的詳細(xì)情況和資料（如有）。Yes已提供No未能提供N.A. 不適用Copies of

41、the governmental approval relating to tax matters related to the Company.關(guān)于公司稅務(wù)事項(xiàng)的政府批準(zhǔn)復(fù)印件。Yes已提供No未能提供N.A. 不適用Details of any penalties, fines or interest charged imposed in relation to any taxes.任何公司因稅務(wù)原因而需繳付的任何處罰、罰金或利息。Yes已提供No未能提供N.A. 不適用Agreements, commitments, and miscellaneous matters 營業(yè)協(xié)議，承諾及其

42、它營業(yè)事項(xiàng)Details and copies of all relevant documents relating to capital commitments, if any.與公司出資承諾相關(guān)的詳細(xì)情況和資料及所有相關(guān)文件復(fù)印件。Yes已提供No未能提供N.A. 不適用A list of all contracts/agreements executed by the Company.公司已簽署的主要合同/協(xié)議的清單。Yes已提供No未能提供N.A. 不適用All service and/or management agreements and similar agreements si

43、gned by the Company and other entities, if any.公司與其他實(shí)體簽訂的任何服務(wù)以及/或管理協(xié)議或類似協(xié)議。Yes已提供No未能提供N.A. 不適用Any contracts that may have material effects to the business and operation of the Company. (e.g. cooperation agreement, association agreement, non-competition agreement, market distribution agreement).對(duì)公司業(yè)

44、務(wù)及經(jīng)營有重要影響的合同 (如：合作協(xié)議、聯(lián)營協(xié)議、競業(yè)禁止協(xié)議、市場營銷協(xié)議)。Yes已提供No未能提供N.A. 不適用Details of any shareholders agreements or arrangements or understandings (whether legally binding or not) between the Company on the one hand and its shareholders on the other hand.任何公司與其股東之間的股東協(xié)議、安排或協(xié)定（無論是否具有法律約束力）的詳細(xì)情況和資料。Yes已提供No未能提供N.A

45、. 不適用All agreements that impose restrictions on, or require certain conditions to be satisfied or sent obtained (save as required by law) in order to transfer, assign or otherwise dispose of any assets of the Company, if any.所有對(duì)公司轉(zhuǎn)移、轉(zhuǎn)讓或者其他方法處置公司資產(chǎn)設(shè)定限制、條件（為必須取得、出具或提交）（除法律要求之外）的有關(guān)的協(xié)議。Yes已提供No未能提供N.A.

46、不適用Details of all breaches of the Company, of any agreement which will result in material adverse liability against the Company, if any.對(duì)公司有重大不利影響的公司違約行為。Yes已提供No未能提供N.A. 不適用Details and documents of any material agreements that contain any material and adverse terms against the Company, if any.公司簽訂的

47、包含對(duì)公司重大或不利影響條款的合同的詳細(xì)資料。Yes已提供No未能提供N.A. 不適用Forms of secrecy, confidentiality, and nondisclosure agreements.任何保密合約的格式。Yes已提供No未能提供N.A. 不適用Contracts out of the ordinary course of business.超出公司日常經(jīng)營范圍的協(xié)議。Yes已提供No未能提供N.A. 不適用Indemnification contracts and similar arrangements for officers and directors.員工

48、和董事的彌償協(xié)議和其他類似協(xié)議。Yes已提供No未能提供N.A. 不適用Agreements with officers, directors, and affiliated parties.與員工、董事和相關(guān)聯(lián)方簽訂的協(xié)議。Yes已提供No未能提供N.A. 不適用Any agreements with competitors.任何與競爭方簽訂的協(xié)議。Yes已提供No未能提供N.A. 不適用Any agreements with governmental authorities or institutions.任何與政府部門或機(jī)構(gòu)簽訂的協(xié)議。Yes已提供No未能提供N.A. 不適用Any ma

49、terial insurance arrangements (including property damage, third-party liability, and key employee insurance).任何重大的保險(xiǎn)協(xié)議（包括財(cái)產(chǎn)保險(xiǎn)，第三方責(zé)任保險(xiǎn)和重要職員的保險(xiǎn)）。Yes已提供No未能提供N.A. 不適用Agreements with ISP or domain name(s).與網(wǎng)絡(luò)服務(wù)供應(yīng)商的協(xié)議或同域名有關(guān)的協(xié)議。Yes已提供No未能提供N.A. 不適用Litigation 訴訟Particulars of any pending, potential, threat

50、ened or existing litigation or arbitration or mediation proceedings in which the Company and / or subsidiaries (including those of any predecessor corporations and subsidiaries) was engaged in, together with copies of any statement of claims made, opinions from counsel or details of merits, settleme

51、nt levels and estimated legal costs and all legal correspondence relating to pending litigation in respect of the Company.任何公司以及/或公司子公司所涉、或即將涉及的、受到威脅的或者已經(jīng)存在的訴訟或者仲裁程序的詳細(xì)情況和資料，以及任何訴狀、律師意見或者案件事實(shí)、和解狀態(tài)和預(yù)估的法律費(fèi)用以及其他與公司所涉未決案件相關(guān)的法律往來函件。Yes已提供No未能提供N.A. 不適用Details of all winding up proceedings, whether volunt

52、ary or involuntary, of the Company, (including those of any predecessor corporations and subsidiaries) if any.有關(guān)公司（包括公司前身和子公司）清算程序（不論自愿清盤或強(qiáng)制清盤）的詳細(xì)情況和資料。Yes已提供No未能提供N.A. 不適用Details of all penalties imposed by any governmental authorities, whether Hong Kong or other foreign jurisdictions, to the Compa

53、ny.有關(guān)公司接受香港或其他國家政府機(jī)構(gòu)處罰的詳細(xì)情況和資料。Yes已提供No未能提供N.A. 不適用Details of any litigious or non-litigious proceedings, administrative disposition, administrative dispute, injunctive or other legal proceedings, compulsory enforcement of security, appointment of receivership, or arbitration proceedings which invol

54、ved the Company or its director, de facto responsible person, shareholder or controlling company.任何有關(guān)公司或其董事、實(shí)際負(fù)責(zé)人、股東或其控股公司的訴訟或非訴訟程序、行政處分、行政爭議、禁止令或其他法律程序、有關(guān)證券的強(qiáng)制執(zhí)行、接管人的提名或者仲裁程序。Yes已提供No未能提供N.A. 不適用Details of any court judgment against the Company, pursuant to which the Company has been held to be in

55、violation of the laws of any jurisdiction and liable to any damages or liabilities.任何法院做出的不利于公司的判決，并且該判決裁定公司違反相關(guān)法律規(guī)定并應(yīng)給予賠償。Yes已提供No未能提供N.A. 不適用Any litigation involving (present and future) executive officer or director, including executive officers, responsible officers, licensed representatives, ke

56、y employees, concerning bankruptcy, breach of non-compete agreements, crimes, securities law, or business practices.任何有關(guān)行政總裁或董事（現(xiàn)在或?qū)淼模?包括行政總裁、負(fù)責(zé)人員、持牌代表、重要員工進(jìn)行的有關(guān)破產(chǎn)、違反不競爭協(xié)議、刑事犯罪、證券法或商業(yè)實(shí)踐的訴訟。Yes已提供No未能提供N.A. 不適用Any consent decrees, injunctions, judgments, other decrees or orders, settlement agreement

57、s, or similar matters.任何服罪判決、禁止令、判決、法院命令、和解協(xié)議或類似文書。Yes已提供No未能提供N.A. 不適用All attorneys letters to auditors, including those of any predecessor corporation and subsidiaries.所有審計(jì)授權(quán)書，包括公司前身和其子公司發(fā)出的。Yes已提供No未能提供N.A. 不適用Any summons and notices received from government agencies, including those of any prede

58、cessor or subsidiary corporations, or with continuing effect from an earlier date.任何政府部門發(fā)出的任何傳召和通知，包括向公司前身或其子公司發(fā)出的，或從之前到現(xiàn)在一直有效的傳召和通知。Yes已提供No未能提供N.A. 不適用Any pending or threatened investigations and governmental proceeding.任何尚未解決的調(diào)查和行政程序以及任何可能發(fā)生的調(diào)查和行政程序。Yes已提供No未能提供N.A. 不適用The details of where the Co

59、mpany is a party to any agreement the terms of which are subject to termination or early termination or alteration of the effective terms thereof in the event of any change in the control of the Company. If so, please give particulars.任何公司作為合同一方訂立的終止、提前終止或變更其生效條款可能導(dǎo)致公司控制權(quán)改變的合同的詳細(xì)情況和資料。如果存在該等情形，請(qǐng)?zhí)峁┰敿?xì)

60、說明。Yes已提供No未能提供N.A. 不適用Employee matters 雇員事宜Details and copies of relevant documents, if any, in respect of the Company and subsidiary or affiliated corporations (including all items presently in force and drafts of any pending amendments or new items relating to:公司及其子公司或關(guān)聯(lián)公司（包括所有現(xiàn)行有效和待審核的）有關(guān)下列情況的相關(guān)