非訴訟法律服務(wù)的基石
2014-08-28 00:00:00
。 非訴訟法律服務(wù)的基石
。 -----盡職勤勉調(diào)查原則
。 沃薛軍
。 在新世紀(jì)的中國(guó)法律服務(wù)中，有一種趨勢(shì)已經(jīng)越來(lái)越明晰，那就是在經(jīng)濟(jì)發(fā)達(dá)地區(qū)的律師服務(wù)領(lǐng)域里，更多的律師從傳統(tǒng)的訴訟業(yè)務(wù)中掙脫出來(lái)，他們將眼光投向了非訴訟領(lǐng)域。在上海、北京、廣州、深圳等城市，許多大型律師事務(wù)所或外向型律師事務(wù)所的業(yè)務(wù)服務(wù)和收費(fèi)中，非訴訟業(yè)務(wù)的比例已經(jīng)接近甚至超過(guò)了傳統(tǒng)的訴訟服務(wù)。近幾年，資本市場(chǎng)風(fēng)起云涌，又造就了許多新型的法律服務(wù)領(lǐng)域，如PE(private equity)私募股權(quán)項(xiàng)目、PF（project finance）項(xiàng)目融資項(xiàng)目、京都議定書涉及的大氣減排項(xiàng)目等。
這些新型的法律服務(wù)領(lǐng)域都值得作為社會(huì)法律工作者的廣大律師積極進(jìn)行學(xué)習(xí)和探索。特別是在從事新型法律服務(wù)時(shí)，對(duì)法律風(fēng)險(xiǎn)的規(guī)避和把握顯得尤其重要。通過(guò)去年下半年在美國(guó)首都華盛頓的法律學(xué)習(xí)，筆者更深切地了解到在非訴訟法律服務(wù)中的基本問(wèn)題和原則。其中之一就是盡職勤勉調(diào)查原則（due diligence）以及由該原則所引發(fā)的其他原則如保密原則（confidential rule）、客戶沖突規(guī)避原則等。
有關(guān)盡職勤勉調(diào)查原則，筆者編譯了《國(guó)際商業(yè)法律事務(wù)》（2007版）注1第42章“盡職調(diào)查分析”中的格式內(nèi)容（含中英文對(duì)照），供大家在法律實(shí)踐中參考。
注1：《國(guó)際商業(yè)法律服務(wù)》《INTERNATIONAL BUSINESS TRANSACTION》第42章作者，ARNO BRAUNEIS, ROLAND LOHNERT.
Due Diligence Analysis
盡職調(diào)查分析
Legal Due Diligence Request List 法律盡職調(diào)查清單
For the analysis of the company, the following documents are required. If the requested documents do not exist, an expressive negative report is required. In case referral to contracts or agreements is made, all such contracts, regardless whether concluded orally or in writing, are comprised. The whole of the contract, including all annexes or amendments, is to be provided.
為對(duì)公司進(jìn)行分析，請(qǐng)?zhí)峁┮韵虏牧稀Ｈ绻蟮牟牧喜淮嬖?，?qǐng)?zhí)峁┎淮嬖诘恼f(shuō)明。如果涉及合同或協(xié)議，則應(yīng)提供所有的（包括口頭或書面的）合同或協(xié)議，并且應(yīng)提供完整，含所有的附件、對(duì)合同的修改。
In the following the requested documents and data are listed. In the column “Responsibility/Company”, the unit of the COMPANY responsible for providing the relevant information (e.g., technical unit, financial department, legal department) must be mentioned. The person in charge of providing the requested information must indicate whether such documents, respectively, data, can be provided. The following list is not exclusive, further requests being reserved.
以下列舉的是所要求的文件及數(shù)據(jù)。在“責(zé)任、公司”這一欄中，應(yīng)寫明負(fù)責(zé)提供相關(guān)信息的公司部門（如技術(shù)部、財(cái)務(wù)部、法務(wù)部）。負(fù)責(zé)提供所要求信息的人士應(yīng)分別說(shuō)明此類文件、數(shù)據(jù)是否可提供。下列清單并非全部，可能需提供進(jìn)一步的材料。
Number Section/ Responsibility/Document Provided/Not Provided
Subject Matter COMPANY
Request
序號(hào) 部門 責(zé)任/文件提供/文件未提供
內(nèi)容 公司
要求
Ⅰ. Corporate Structure
一． 公司結(jié)構(gòu)
1. Organizational chart of the Company’s group
公司的組織結(jié)構(gòu)圖
2. Short summary of the Company’s history as of its formation
關(guān)于公司設(shè)立歷史的簡(jiǎn)要說(shuō)明
3. Short description of the Company’s development as of its formation
關(guān)于公司發(fā)展概況的簡(jiǎn)要描述
Ⅱ Formation Documents
Commercial Law
二． 公司設(shè)立文件
商法
1. All current extracts from the commercial register concerning the Company and its subsidiaries, affiliates, and representative office (address, seat, and founding documents of any subsidiaries, affiliates, and representative offices)
目前公司及其所有分支機(jī)構(gòu)、成員組織和代表處的工商登記摘要（如地址、營(yíng)業(yè)場(chǎng)所以及設(shè)立文件等）
2. Current articles of association of the Company
公司目前的章程
3. Documents modifying the articles of association (e.g., capital increases, capital deceases, and mergers)
修改公司章程的文件（如增資、減資及兼并）
4. Minutes of all general assemblies
所有公司大會(huì)的會(huì)議紀(jì)要
5. Participations and silent interests of the Company in any company or business, participating loans granted by the Company
公司在其它公司或企業(yè)的投資及隱性收益，公司的銀團(tuán)放貸
6. Silent participations in the Company and participating loans granted to the Company
隱性參與公司投資及公司接受銀團(tuán)放貸的情況
7. Complete information on the shareholders
公司股東的完整信息
8. Complete information on the capitalization of the Company
公司資本總額的完整信息
9. Statements of assignment of shares in the Company, payment of the share capital
公司股權(quán)分配的說(shuō)明及股本出資情況
10. Evidence of ownership in the shares by uninterrupted chain of contractual deeds concerning all transfers of shares
股權(quán)所有權(quán)的證明（不間斷的股權(quán)流轉(zhuǎn)的合同文本）
11. All agreements between the shareholders and between the shareholders and the Company
股東之間及股東與公司之間的所有協(xié)議
12. All shareholders’ resolutions of the last five years, in particular all shareholders’ resolutions regarding capital increases or grant of authorized capital
最近五年的所有股東會(huì)決議，特別是關(guān)于增資或注冊(cè)資本減少的股東會(huì)決議
13. Obligations vis-à-vis shareholders who have withdrawn and/or are withdrawing from the Company and/or their heirs
已經(jīng)或正從公司撤股的股東及/或其繼承人的責(zé)任
Ⅲ. Supervisory Board/Advisory Board
監(jiān)事會(huì)/顧問(wèn)委員會(huì)
1. List of all members of the supervisory board and/or advisory board (all current names, professions, residences, and mandates in other companies)
列出監(jiān)事會(huì)及/或顧問(wèn)委員會(huì)所有成員的名單（名字、職業(yè)、住所及在其它公司的任職情況）
2. Bylaws of the supervisory board and/or advisory board
監(jiān)事會(huì)及/或顧問(wèn)委員會(huì)規(guī)則
3. Minutes of all meetings of the supervisory or advisory board
監(jiān)事會(huì)或顧問(wèn)委員會(huì)的所有會(huì)議紀(jì)要
Ⅳ. Management Board
董事會(huì)
1. List of all managing directors (names, year of birth, duration of occupation in the Company, former occupations, supervisory mandates in other companies)
列舉所有董事名單（名字、出生年月、在公司的任職時(shí)間、以前職業(yè)、在其它公司的監(jiān)事任職情況）
2. Resolutions regarding the appointment for all managing directors
所有董事的任命書
3. Bylaws of the management board
董事會(huì)的規(guī)則
4. Minutes of all meetings of the management board
董事會(huì)的所有會(huì)議紀(jì)要
Ⅴ. Agreements between the Company and Managing Directors or with Members of the Supervisory Board and/or Advisory Board
公司與董事之間或與監(jiān)事會(huì)、顧問(wèn)委員會(huì)之間的協(xié)議
1. Employment agreements and other agreements with the managing directors, supervisory board members and/or advisory board members
聘用董事的協(xié)議或其它與董事之間、監(jiān)事會(huì)成員及/或顧問(wèn)委員會(huì)成員之間的協(xié)議
2. Loan or surety agreements with members of the management supervisory board and/or advisory board
與董事會(huì)、監(jiān)事會(huì)及/或顧問(wèn)委員會(huì)成員之間的貸款或擔(dān)保協(xié)議
Ⅵ. Group Relations
團(tuán)組關(guān)系
1. Survey of the structure of the group of companies and organization
公司及組織內(nèi)團(tuán)組結(jié)構(gòu)概況
2. Inter-company agreements, such as governing agreements, agreements with the management, tax allocation agreements, financing agreements, and central purchasing agreements
公司內(nèi)部協(xié)議，如管理協(xié)議、與管理層之間的協(xié)議、稅務(wù)分配協(xié)議、融資協(xié)議及集中采購(gòu)協(xié)議
Ⅶ. Staff
員工
1. Head of divisions or areas and authorized officers (name, function, age, qualification, occupation before entrance, date of entrance, occupation since foundation, salaries/wages, pension agreements and other voluntary benefits of the Company, leading function in other companies)
部門或地區(qū)負(fù)責(zé)人及授權(quán)人員（姓名、職能、年齡、資格、進(jìn)公司前職業(yè)、進(jìn)公司時(shí)間、自公司成立起的職位、薪水/工資、退休金協(xié)議及公司的其它自愿福利、在其它公司的領(lǐng)導(dǎo)職能等）
2. Organizational chart according to the functional sphere of responsibility, including the names of the respective department heads
根據(jù)職責(zé)制定的部門規(guī)章，包括各相應(yīng)部門領(lǐng)導(dǎo)的姓名
3. Number of employees structured according to the kind of occupation (full time and part time), blue collar workers, white collar workers, apprentices, location, sex, maternity leaves, disabled, works council members
根據(jù)職位不同劃分的員工人數(shù)（全職及兼職）、藍(lán)領(lǐng)、白領(lǐng)、實(shí)習(xí)生、所在地、性別、產(chǎn)假、殘疾、工會(huì)成員）
4. Development of the number of persons employed since formation and further planned development
自公司成立以來(lái)員工人數(shù)的發(fā)展及后續(xù)的員工人數(shù)計(jì)劃發(fā)展數(shù)
5. Detailed description of existing share option plans for employees, description of share incentive schemes or bonus plan arrangements, share options or profit-sharing arrangements
對(duì)現(xiàn)有員工股票期權(quán)、股權(quán)激勵(lì)機(jī)制的詳細(xì)說(shuō)明或獎(jiǎng)金計(jì)劃、股票期權(quán)計(jì)劃或利潤(rùn)分享的安排
6. Staff pension fund agreements, pension commitments, list of all fringe benefits
員工養(yǎng)老金協(xié)議、養(yǎng)老金發(fā)放、額外福利的清單
7. Applicable collective bargaining agreements
現(xiàn)行的勞資雙方代表進(jìn)行的談判協(xié)議
8. Sample employment contract
勞動(dòng)合同樣本
9. Sample employment agreement for executive officers
經(jīng)營(yíng)管理人員的勞動(dòng)合同樣本
10. Any other employment contracts, service contracts
其它勞動(dòng)合同、服務(wù)合同
11. List of the members of the works council (if such works council is established), relief from work for works council members
列舉工會(huì)成員名單（如果工會(huì)已經(jīng)成立），工會(huì)成員免除工作的情況
12. Members of the works council delegated to the supervisory board
被委派進(jìn)入監(jiān)事會(huì)的工會(huì)成員
13. Any further benefit for employees of the Company, including medical health care and company cars
公司雇員的其它福利、如醫(yī)療、公費(fèi)用車
14. Pension or life insurance plans
退休金、人壽保險(xiǎn)計(jì)劃
15. Redundancy schemes, any recent redundancies and reorganizations
裁員機(jī)制、最近的裁員及重組情況
16. Commission schemes
代理機(jī)制
17. Employee handbooks and work procedures, including rules relating to holiday entitlement, sickness, hours of work, overtime, travel, relocation, and training programs
員工手冊(cè)及工作程序，包括享受假日、病休、工時(shí)、加班、旅游、重新安置、培訓(xùn)等規(guī)則
18. Health and safety regulations
健康及安全規(guī)則
19. Obligations to re-employ former employees, expected salaries
優(yōu)先雇傭老雇員的規(guī)定，預(yù)計(jì)薪金
20. Memberships in employers’ organizations
在雇主組織中的會(huì)員資格
21. Shop agreements
開(kāi)店協(xié)議
22. Social plans
社會(huì)計(jì)劃
23. Short description of all staff-related disputes whether court pending or not
所有與員工有關(guān)的待決或已決訴訟的簡(jiǎn)要說(shuō)明
Ⅷ. Capital Conditions, Consortium Agreements, Rules regarding Influence among Shareholders
資本現(xiàn)狀、財(cái)團(tuán)協(xié)議、股東之間影響的規(guī)定
1. Pledging or encumbrance of shares by shareholders
股東質(zhì)押、抵押股權(quán)的情況
2. Consortium agreements among shareholders
股東之間財(cái)團(tuán)融資協(xié)議
3. Other agreements between the Company and its shareholders
公司與其股東間的其它協(xié)議
Ⅸ. Legal Proceedings
司法程序
1. All pending administrative, court, or arbitration proceedings and out-of-court settlements, including the names of legal counsel, in which the Company or a member of any board of the Company (management board, supervisory board) is involved
所有公司、董事會(huì)、監(jiān)事會(huì)卷入的行政、訴訟或仲裁待決程序和法院外和解程序，包括律師名稱。
2. Pending or anticipated court proceeding in which the company or a member of any board will be involved, and legal opinions of legal counsel regarding the possible outcome of such proceedings
公司或各委員會(huì)成員卷入的待決或預(yù)期訴訟及律師對(duì)該類訴訟可能結(jié)果所作的律師意見(jiàn)書
3. Pending or anticipated legal disputes relating to product liability matters, all settled legal disputes relating to product liability matters over the last five years
與產(chǎn)品責(zé)任有關(guān)的待決或可預(yù)期的法律糾紛，近五年來(lái)所有已了結(jié)的與產(chǎn)品責(zé)任有關(guān)的法律糾紛
4. Pending or anticipated legal disputes and/or administrative proceedings relating to environmental matters
與環(huán)境問(wèn)題有關(guān)的待決或可預(yù)期的法律糾紛及/或行政程序
5. Pending or anticipated legal disputes and/or administrative proceedings relating to industrial property rights
與工業(yè)產(chǎn)權(quán)有關(guān)的待決或可預(yù)期的法律糾紛及/或行政程序
6. Insurance claims raised in the last three years
過(guò)去三年保險(xiǎn)索賠
7. Any asserted and/or expected claims by employees or former employees for compensation in respect of any inventions or developments relating to the Company
任何已由雇員或前雇員針對(duì)公司發(fā)明或發(fā)展提出及/或可預(yù)期提出的補(bǔ)償主張
8. List of documents regarding these administrative and court proceedings
前述行政或訴訟程序的相關(guān)文件清單
Ⅹ. Real Estate and Buildings
不動(dòng)產(chǎn)和建筑物
1. Site plan of permanent establishments
永久建筑物的造址計(jì)劃
2. List and description (place, address, utilization) of the former proprietor of all real property owned by the Company
公司所有的所有不動(dòng)產(chǎn)的前業(yè)主清單及簡(jiǎn)要描述（地點(diǎn)、地址、使用情況等）
3. Up-to-date extracts from the land register concerning all real
所有與不動(dòng)產(chǎn)相關(guān)的最新房地局登記摘要
4. List and description (place, address, utilization) of all real property leased or rented or used on grounds of any other right by the Company
以其它權(quán)利為基礎(chǔ)的公司所有不動(dòng)產(chǎn)出租、租賃或使用清單和簡(jiǎn)要說(shuō)明（地點(diǎn)、地址、使用情況）
5. Agreements regarding the purchase, sale, tenancy, or lease of the premises, including all subsequent modifications or alterations
公司有關(guān)購(gòu)買、銷售、租賃或出租不動(dòng)產(chǎn)的協(xié)議，包括所有的整改、裝修協(xié)議
6. Market and book values of real property owned by the Company (estimated expertise, if available)
公司擁有的不動(dòng)產(chǎn)的市場(chǎng)價(jià)值和帳面價(jià)值（最好是專業(yè)評(píng)估）
7. List of the encumbrances of real property owned by the Company
公司擁有的不動(dòng)產(chǎn)抵押清單
8. List and description of all premises used on basis of easements by the Company
公司基于地役權(quán)而使用的不動(dòng)產(chǎn)清單及說(shuō)明
9. Maintenance, service, and administrative agreements concerning all real properties of the Company
公司所有不動(dòng)產(chǎn)的維護(hù)、服務(wù)及管理協(xié)議
10. Encumbrances in force or intended, any sales restrictions, notices, options, warranties, pledges, security rights, rights of preemption, or any third-party rights with respect to the real property owned by the Company
公司擁有的不動(dòng)產(chǎn)的被迫或自愿抵押、銷售限制、提示、期權(quán)、擔(dān)保、質(zhì)押、擔(dān)保權(quán)、優(yōu)先購(gòu)買權(quán)或任何第三方權(quán)利
Ⅺ. Movable Assets
動(dòng)產(chǎn)
1. Detailed list of movable assets stating the facilities owned by the Company for which a security is provided
公司擁有的有擔(dān)保的設(shè)備動(dòng)產(chǎn)詳細(xì)清單
2. Service and maintenance agreements
服務(wù)及保養(yǎng)協(xié)議
3. List of all resolved investments on movable assets
所有已完成的動(dòng)產(chǎn)投資清單
4. Purchase, leasing, or tenancy agreements regarding movable assets (objects, term (beginning and ending), net payments per year)
與動(dòng)產(chǎn)相關(guān)的所有購(gòu)買、出租或租賃協(xié)議[設(shè)備名稱、期限（起始日期）、每年的凈使用費(fèi)
5. Unfulfilled agreements regarding the purchase of movable assets, which establish obligations of the Company exceeding [ ]
未履行的動(dòng)產(chǎn)購(gòu)買協(xié)議，該等協(xié)議導(dǎo)致公司應(yīng)承擔(dān)責(zé)任
Ⅻ. Intellectual Property
知識(shí)產(chǎn)權(quán)
1. Description of all active and passive licenses, trade marks, models, trade names, copyrights, and other intellectual property rights
公司所有主動(dòng)、被動(dòng)許可證、商標(biāo)、模型、商品命名、版權(quán)及其它知識(shí)產(chǎn)權(quán)的說(shuō)明
2. Agreements regarding intellectual property and know-how (license agreements)
知識(shí)產(chǎn)權(quán)及技術(shù)秘密協(xié)議（許可協(xié)議）
3. Software owned or licensed by the Company
公司所有或獲許可使用的軟件
4. Description of conflicts regarding intellectual property
知識(shí)產(chǎn)權(quán)糾紛說(shuō)明
ⅩⅢ. Insurance
保險(xiǎn)
1. Insurance agreements and its policies, including a summary of such insurance agreements
保險(xiǎn)協(xié)議及其保單，包括保險(xiǎn)協(xié)議的簡(jiǎn)要說(shuō)明
ⅩⅣ. Important Contracts
重要合同
1. General purchase terms, general terms and conditions of sale
通用采購(gòu)條款，通用銷售條款及條件
2. Agreements or letters of intent regarding planned or realized cooperation
已完成或計(jì)劃中的合作協(xié)議或草案
3. General description of partners of cooperation and description of all expectations regarding the respective cooperation
相關(guān)合作前景及合作伙伴的概述
4. Cooperation agreements, joint venture agreements
合作、合資協(xié)議
5. Commercial agents and distribution agreements
商業(yè)代理及分銷合同
6. List of the largest suppliers and/or subcontractors with respect to the value (quantity, percentage of the purchasing volume)
根據(jù)價(jià)值（數(shù)量、采購(gòu)百分比）確定的最大供應(yīng)商及/或分包商清單
7. List of the largest customers with respect to the value (percentage of the turnover)
根據(jù)價(jià)值（交易額百分比）確定的最大用戶清單
8. Agreements establishing an obligation excess of [ ] in particular cases or obligations being outside the ordinary course of business
非正常交易中，設(shè)定特定義務(wù)的個(gè)案協(xié)議
9. Agreements including restraints of competition
包含競(jìng)爭(zhēng)限制的協(xié)議
10. Guarantees, warranties, or securities granted to third parties by the Company
公司向第三方所作的保證、擔(dān)?；虻盅旱?br />11. Factoring agreements
代收帳款協(xié)議
12. Agreements regarding future investments of the Company exceeding [ ]
超過(guò)某一限度的公司對(duì)外投資協(xié)議
13. Partnership agreements
合伙協(xié)議
14. Loans or other forms of credit granted to or by the Company
公司貸款或其它貸出或借到的款項(xiàng)
15. Contracts with advisors, lawyers, and notaries
與顧問(wèn)、律師及公證員簽的合同
16. Agreements relating to legal consequences with respect to the acquisition of shares in the Company (change-of-control provisions)
公司股權(quán)并購(gòu)引起法律后果的協(xié)議（控制權(quán)轉(zhuǎn)移條款）
ⅩⅤ. Public Law Matters
公共法律事務(wù)
1. Trade permit, appointment of a trade manager
交易許可、經(jīng)營(yíng)經(jīng)理的任命書
2. Statement of all production facilities requiring official approval, including such approvals
需要官方許可的生產(chǎn)設(shè)備證明，包括該類許可
3. Building permits for buildings used on real property or in permanent establishments of the Company
公司不動(dòng)產(chǎn)或或永久性建筑的建筑許可證
ⅩⅥ. Activities-Environment
活動(dòng)――市場(chǎng)環(huán)境
1. Principal activities over the last five years, market share in each area of distribution, main competitors
過(guò)去五年的主要活動(dòng)、每一個(gè)銷售領(lǐng)域的市場(chǎng)份額、主要競(jìng)爭(zhēng)對(duì)手
2. Memberships in advertising organizations and professional associations, advertising budget, quality awards, customer service
廣告組織、行業(yè)協(xié)會(huì)中的會(huì)員資格、廣告預(yù)算、質(zhì)量獎(jiǎng)項(xiàng)、消費(fèi)者服務(wù)
3. Environmental regulations to which the Company is subject
公司應(yīng)遵守的環(huán)保規(guī)定
4. List of all dangerous materials with respect to environment used in conducting the business
公司經(jīng)營(yíng)中所用的對(duì)環(huán)境有危害的物質(zhì)清單
5. List of all underground and above-ground storage tanks
地下或地上儲(chǔ)物柜清單
6. Statement regarding the existence of contaminated land or water on the real property used by the Company and statement regarding pollution of buildings and facilities used in the past or present by the Company
公司所用的不動(dòng)產(chǎn)存在土地或水污染的聲明及公司過(guò)去及目前所用的建筑物及設(shè)備被污染的聲明
7. All public law approvals, including all modifications and alterations, administrative notes with respect to production facilities of the Company, its activities and structure as required under any federal or local regulations
聯(lián)邦法律或法規(guī)規(guī)定的所有牽涉公司生產(chǎn)設(shè)備的政府許可、行政命令，包括修改、輪替、經(jīng)營(yíng)或機(jī)構(gòu)建制
8. All approvals or authorizations granted pursuant to environmental regulation
依據(jù)環(huán)保規(guī)定的所有批準(zhǔn)、授權(quán)文件
9. List of all complaints regarding environmental protection
一切有關(guān)環(huán)保問(wèn)題的投訴清單
10. Identification of possible risks for health, safety, and environment deriving from the Company’s business
公司運(yùn)營(yíng)中可能產(chǎn)生的健康、安全及環(huán)境問(wèn)題的認(rèn)定
11. Any administrative proceedings against the Company because of infringement of environmental, conservation of the countryside, or any other provision concerning environment; list of all administrative decisions issued against the Company and evidence of its settlement (compliance with the respective conditions)
因違反環(huán)保、鄉(xiāng)村保護(hù)或其它有關(guān)環(huán)境問(wèn)題的規(guī)定而遭受的行政程序、對(duì)公司不利的行政決定及和解資料（對(duì)應(yīng)的情況下）
ⅩⅦ. Subsidies and contributions
補(bǔ)貼及捐贈(zèng)
1. Schedule of all subsidies received or applied for within the last five years, reference to possible obligation of repayment
過(guò)去五年收到或適用的所有補(bǔ)貼清單、或有的賠償責(zé)任說(shuō)明。