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1、PROJECT CLOUDPreliminary Legal Due Diligence Document Request List初步法律尽职调查文件清单Please provide the following documents and information with respect to 崇贤港物流, 崇贤港投资, 北港物流, 富洲电商 and 富卓实业(the “Company”) and each of its subsidiaries, affiliates, variable interest entities and branches. 请提供下列有关崇贤港物流, 崇贤港投资
2、, 北港物流, 富洲电商和富卓实业（“公司”）及其每个子公司、关联公司、协议控制实体和分公司的文件和信息。We recognize that some of the requested documents and information (i) may not be pertinent to the Company; or (ii) may not exist at all. Thus, we ask that you mark the appropriate box (“Provided Herewith,” “To Be Provided” or “Not Applicable”) nex
3、t to each item on the Preliminary Due Diligence Request List and return the list with any documentation you provide to us. To facilitate review, it would be helpful for all copies of the requested materials to be identified by the corresponding number item in the list below. If a document is called
4、for in more than one of the listed items, please produce only one copy of the document and cross reference all of the applicable items on this Preliminary Due Diligence Request List. Please note that this list is a preliminary request only. During the course of our due diligence review, we may need
5、to review other materials not described herein. In addition, the Company will be expected, during the course of preparing for the proposed transaction, to bring to our attention and the attention of the relevant parties and their counsel any other information or documents that might be deemed to be
6、material by a prospective investor, either individually or viewed collectively with other documents or information. If any request is difficult to understand, please discuss it with us.我们理解，某些要求的文件和信息（i）可能与公司无关，或（ii）可能根本不存在。因此，我们请求公司在初步法律尽职调查文件清单的每一项的右边一栏的相应方框中注明“在此提供”、“待提供”或“不适用”，并将该清单与其它提供的文件一起交给我
7、们。为了便于查阅，最好所有要求的文件都以下列清单中相应的栏目的号码编号后提供。如果清单中有多项要求同一个文件，就只需提供一个文本，并在本法律尽职调查文件清单的所有相关项中注明索引。请注意本清单只是初步清单。在进行尽职调查的过程中，我们可能还将要求审查其它未包括在本清单中的材料。另外，请公司在准备交易的过程中把任何对潜在的投资者有重大意义或被认为有重大意义的信息和文件提交给我们以及相关各方和他们的律师，不论这些信息和文件本身重要，还是与其它文件或信息一起具有重大意义。如果有难以理解的要求，请与我们商讨。Unless otherwise specified and except in Sectio
8、ns 1 and 2, reference to the Company in the List shall mean the Company and each of its subsidiaries, affiliates, and entities directly or indirectly controlled by the Company through contractual arrangements. For the period before the Companys incorporation, reference to the Company shall mean the
9、Companys predecessor.除非在第一和第二部分另有明确规定，清单中提到公司的地方指公司及其每个子公司、关联公司、以及公司通过协议安排直接或间接控制的实体。在公司成立以前的期间，清单中提到公司的地方指公司的前身。Preliminary Due Diligence Document Request List初步法律尽职调查文件清单No.编号Description描述Provided Herewith在此提供To Be Provided待提供Already Provided已经提供NotApplicable不适用1. Organization Documents/组织文件1.1Cop
10、y of the Companys entire minute book, including minutes of all meetings, and all written consents, of (a)the Companys Board of Directors, (b)any committee of the Board of Directors and (c)the shareholders, each for the last five years.最近五年内公司的会议记录，包括董事会、董事会下属各委员会以及股东会议的所有会议记录和书面同意法务1.2Memorandum and
11、 Articles of Association or any other constitutional documents of the Company as originally filed and all amendments thereto.公司最初的组织大纲或其他组织性文件及其所有修订法务1.3Resolutions of the Board of Directors authorizing creation and issuance of securities to be issued and sold in the proposed transaction.授权创设并发行本次拟议
12、交易中拟发行及出售证券的董事会决议1.4Share ledger and copies of share certificates issued by the Company; Register of transfer (if applicable).股票分类总帐和公司签发的股权证明的复印件；股票转让登记表（如适用）1.5Samples of any certificates representing securities.证券权证的样本1.6A list of each jurisdiction in which the Company does business (e.g. provide
13、s services, makes sales, operates a sales office or where its employees reside) and a brief summary of the Companys activities in each jurisdiction, including revenue generated and tax concessions received in each jurisdiction.列出公司开展业务（如提供服务、进行销售、设立销售处、员工住所）所在的所有行政管辖地区，并对公司在每一地区内的活动加以简要的描述，包括在每一地区产生
14、的收入和享受的税务优惠财务1.7All voting agreements with respect to shares of the Company in the last five years.最近五年内与公司股票有关的表决协议1.8A list of each jurisdiction in which the Company is authorized or qualified to do business as a foreign corporation and a current good standing certificate from each such jurisdicti
15、on.列出公司经授权或有资格作为外国公司开展业务（如销售产品、设立销售处、员工住所）的所有地区，以及该地区颁发的当前有效的合法续存证明1.9A list and organizational chart of any subsidiaries, branches, representative offices, affiliates, variable interest entities, parent, or predecessor entity of the Company, specifying corporate name, jurisdiction of incorporation,
16、 relationship to the Company, its shareholders or partners and their equity interests, the board representation by the Company, its management, the number of employees thereunder, its business, the location in the corporate structure of major assets and liabilities, the percentage ownership of votin
17、g securities and the revenue generated by each subsidiary (also indicating if any Company is dormant or in a dissolution/liquidation process), and all relevant information and documents, including Business License, Organization Code Certificate and Tax Registration Certificates (for both national ta
18、x and local tax).关于公司的子公司、分支机构、代表处、关联公司、协议控制实体、母公司或前身的列表及结构图，请注明名称、组建地区、与公司关系、股东和合伙人以及他们的股权、公司董事会的代表性、公司管理、管理层员工数量、公司业务、公司主要资产和负债在公司结构中的位置、有表决权的证券的持股比例、每个子公司所产生的收入，并注明公司是否停止营业或处于解散/清算程序；并提供所有相关信息和文件，包括营业执照、组织机构代码证和税务登记证（包含国税和地税）等。财务1.10Any shareholders agreements relating to the Company or any subsi
19、diary, affiliate or variable interest entity of the Company.有关公司、公司的子公司、关联公司或协议控制实体的任何股东协议1.11A list of the Company shareholding interests or other investments in equity of other companies, partnerships or entities.列出公司在其他公司、合伙或实体中的股东权益或其他投资财务、法务1.12Any agreements with investment bankers, finders an
20、d brokers with respect to any equity investment in the Company or its predecessor or any business combination involving the Company or its predecessor. 与投资银行、中介机构和经纪签订的有关向公司或其前身投资的协议以及任何涉及公司或其前身业务合并的协议 1.13All other documents relating to any equity investment in the Company or its predecessor or any
21、 business combination involving the Company or its predecessor, including subscription agreements, private placement memoranda or other offering materials, reports and analyses.其它有关向公司或其前身投资的协议以及任何涉及公司或其前身业务联营的协议，包括认购协议、私募备忘录和其它有关发行股票的资料、报告和分析1.14All materials sent to shareholders, including annual,
22、 quarterly and interim reports. 向股东提供的所有资料，包括年度、季度和中期报告 财务1.15All documents used or received by the Company for the purposes of determining whether directors are independent or qualify as “financial experts” for Audit Committee purposes.公司为了确定董事是否具有独立性、是否符合审计委员会成员的“财务专家”要求所使用和收到的所有文件财务1.16All inside
23、r trading policies and all written materials describing or summarizing the procedures implemented to ensure compliance with reporting obligations for insider transactions, as well as a description of the Companys policy, if any, regarding securities trading black-out periods and a list of the actual
24、 black-out periods.所有有关内幕人交易的政策，描述和概括为确保遵守内幕人交易申报义务而采纳的程序的所有书面材料，对有关禁止交易期的公司政策的描述（如有），以及实际的禁止交易期清单1.17Any Company policy on document retention.公司有关文件保存的政策行政1.18Copies of all corporate governance guidelines and codes of business conduct and ethics, including guidelines on sales practices, of the Comp
25、any or any subsidiary.公司或任何子公司的所有公司治理准则、业务守则、道德规范（包括销售业务准则）行政、业务、法务1.19Information on composition of the board of directors, board of supervisors and their affiliated commissions, including the name, term of office and appointing party of each member; and a list of every person generally authorised
26、by the Company to represent or bind the Company concerned有关董事会、监事会及其下属各委员会的构成的信息，包括每个成员的姓名、任期和指派方；并列出被一般授权代表公司的人员名单人事、法务1.20A list of all powers of attorney or other authorisations given by the Company for specific purposes with copies of the documents granting the power or authorisation.列出公司为特定目的而签
27、发的所有授权委托书及相关授权文件行政、法务1.21Details of the overall management structure of the Company.公司的整体管理架构人事1.22Copies of all contracts between the Company and:(a) any person listed in paragraph 1.20; or(b) any connected person of any such person (including its shareholders, directors and shadow directors or any
28、 associates, affiliates or relatives of such shareholders, directors or shadow directors).公司与如下主体签订的合同的复印件或扫描件：（a） 第1.20项中的任何人员；（b） 任何关联人员（包括公司的股东、董事、隐名董事或任何关联公司、附属公司，或公司股东、董事和隐名董事的亲属等）人事1.23Please confirm if there is any Chinese citizen who is a shareholder of the Company or actually controls the C
29、ompany. If any, please also provide the valid identity certificates of such individuals.说明公司的任何股东或实际控制人是否中国公民。如是，请提供上述人员的有效身份证明人事1.24Please describe the company share structure history, including share transfers, share redemption and share subscription. For each such share transactions please provid
30、e transaction agreements and other related documentation and governmental approvals, permits for such transactions (if applicable) and relevant corporate registration documents请对公司股权结构的历史变动，包括股权转让、股权回购以及股权认购等变动进行描述。针对每一个此种股权交易，请提供交易合同以及针对此项交易的其它相关文件和政府批复、批准（如有）及相关的公司登记文件法务1.25Approval from the indus
31、try authority regarding the incorporation of each Company (if applicable), project application and the approval for projects issued by relevant governmental authority (including development and reform commissions) (if applicable), feasibility report of the project and approval of such feasibility re
32、port by relevant governmental authority (if applicable)行业主管部门对设立公司的批复(如适用)、项目建议书及有关政府部门（包括发展改革部门）对项目建议书的批复(如适用)、可行性研究报告及有关政府部门对可行性研究报告的批复（如适用）行政、法务1.26Approval from the foreign economics and trade department regarding the incorporation of the Company and material changes of the Company, such as the
33、change of registered capital and the scope of business (if applicable).外经贸部门对设立公司和公司注册资本、经营范围变更等主要变更事项的批复(如适用)1.27Joint venture or cooperation agreements (including the subsequent amendments and supplements), articles of incorporation (including the subsequent amendments and supplements), resolution
34、s of the board of directors and shareholders meeting of the Company regarding the amendments to the articles of incorporation and approval from the authorities regarding such joint venture agreements, cooperation agreements and articles of incorporation.合资或合作合同(包括其历次修改和补充)、公司章程(包括其历次修改和补充)、公司董事会及/或股
35、东会关于公司章程修改的决议及审批机关对该等合资或合作合同和公司章程的批复1.28Approval certificates of foreign investment enterprise as of the incorporation and the subsequent amendments (if any).设立时及历次变更（如有）的外商投资企业批准证书1.29Business license, certificate of incorporation or any other corporate certificate of the Company (including without
36、 limitation the license or certificate received upon the incorporation of the Company, upon each of the subsequent changes and the latest annual inspection, if applicable).公司的营业执照、成立证明或其它的公司证明文件(包括但不限于公司设立时领取的、历次变更的及经过最新年检的执照或证明，如适用)行政、法务1.30Each capital verification report and asset assessment docu
37、ment of the Company.公司历次的验资报告和资产评估文件财务1.31If the Company has received non-cash capital injection from departments in charge of state-owned assets, please provide the asset assessment reports, approval from the state-owned asset management department regarding the transaction, confirmation approval r
38、egarding the assessment results or approval or filing documents from the state-owned asset management department regarding the assessment results, and the title registration certificates of state-owned assets of the Company (if any).如果公司曾接受过国有资产占有单位的非现金出资，请提供该次出资的资产评估报告、国有资产管理部门的立项批复、对评估结果的确认批复或国有资产
39、管理部门对评估结果的核准或备案文件，以及公司的国有资产产权登记证(如有)1.32All documents relating to transfer of any equity interest in the Company (including draft documents received or prepared by the Company for any proposed transaction), including but not limited to shareholding transfer agreements in connection with each of the
40、shareholding transfer among shareholders of the Company, board and shareholders meeting resolutions approving the change in the Companys shareholding structure and commitment/confirmation letters from other shareholders regarding the giving up of pre-emptive rights (if any), as well as approval, app
41、roval certificates of foreign investment enterprise and industrial and commercial registration filing documents regarding such shareholding transfer.关于转让公司股权的所有文件（包括公司就任何拟定的交易收到或准备的文件），包括但不限于公司股东历次转让公司股权的股权转让协议、同意公司股权变动的董事会决议/股东会决议以及其他股东放弃优先购买权的承诺/确认函（如有），以及有关该等股权转让的批复、外商投资企业批准证书和工商登记备案文件法务1.33Indus
42、trial and commercial registration or filing documents in connection with establishment and changes in the Companys name, registered capital, address, scope of business, legal representative and shareholders; shareholder registry and capital contribution certificate (if applicable)公司设立及变更名称、注册资本、住址、经
43、营范围、法定代表人、股东的工商登记或备案文件；以及公司的股东名册及出资证明书(如适用)法务1.34Operation certificates of the Companys branches and governmental approval or filing documents regarding the establishment of braches.公司分支机构的营业执照及设立分支机构的政府批准或备案文件法务1.35Latest certificates (for foreign investors, please provide effective registration do
44、cuments issued by local corporation registration department or institutions), articles of incorporation or identity documents (for natural person shareholders) of each of the investors in the Company公司各投资者的最新营业执照(如为境外投资者，请提供当地公司登记部门或机构有效的登记证明文件)、章程或身份证明文件(就自然人股东而言)法务1.36Letters of intent, memoranda,
45、 contracts or agreements among shareholders of the Company regarding the Company or the Companys operation in addition to joint venture or cooperation agreements; if the Company has outside shareholders, please describe whether such outside shareholders have pre-emptive rights or other restricting r
46、ights in connection with changes in the shareholders.除合资或合作合同和公司章程以外，公司股东之间签订的与公司或公司的经营有关的意向书、备忘录、合同或协议； 如公司存在外部股东，请说明外部股东是否对于股东变更具有优先购买权等限制权利法务1.37All registration and certification documents at relevant governmental authorities, including without limitation, tax registration, foreign exchange regi
47、stration, customs registration (if any), fiscal registration, organization code, account opening permit for RMB basic account and statistics registration certificates and others.公司在政府有关主管部门的所有登记和证明文件，包括但不限于税务登记、外汇登记、海关登记(如有)、财政登记证、组织机构代码证书、人民币基本户开户许可证、统计登记证等财务、法务1.38Permit to create company seal/chop issued by the Public Security Authorities for each seal or chop and internal rules regulating the use and management of the seals and chops.公安部门颁发的企业印章刻制许可及公司内部印章使用管理制度法务1.39Quality certification documents, management, quality and environment s
