法律盡職調查報告模板法律盡職調查報告

摘要：本文主要是描述關于寫<b>法律盡職調查報告</b>的一些基礎要素，個人認為有些東西尤其重要，這份報告做的越詳細，那么可能會存在某些風險也會越低，從而避免以后會產生不必要的糾紛。

________律師事務所

關于________公司法律盡職調查報告

目錄

序言

一、主體資格

二、歷史沿革

三、股東及實際控制人

四、獨立性

五、業務

六、關聯交易及同業競爭

七、主要資產

八、科研

九、重大債權債務

十、公司章程

十一、股東會、董事會、監事會

十二、董事、監事及高級管理人員

十三、稅務

十四、勞動人事、勞動安全等

十五、訴訟、仲裁或行政處罰

十六、其他

序言

致：________公司

根據《關于____公司改制及首次公開發行股票并上市的法律顧問聘請協議》，______律師事務所(以下簡稱“本所”)作為______有限公司(以下簡稱“______公司”)改制上市的專項法律顧問。

本所指派____律師、____律師作為本次公開發行的具體經辦律師。本所根據《中華人民共和國公司法》(以下簡稱“《公司法》”)、《中華人民共和國證券法》(以下簡稱“《證券法》”)、《中華人民共和國合同法》(以下簡稱“《合同法》”)等法律、法規的有關規定，按照律師行業公認的業務標準、道德規范和勤勉盡責精神，出具本《法律盡職調查報告》。

______年____月____日，本所律師向________公司發送了《________律師事務所關于________公司改制上市盡職調查清單》，收集并審查了本所律師認為出具本《法律盡職調查報告》所必需的資料和文件；為了進一步核實情況，本所律師前往公司的生產車間、倉庫進行了實地考察、查驗；就相關問題與貴公司有關部門負責人、員工進行交流；并前往工商、稅務、勞動、環保等政府部門了解和查詢情況；參閱其他中介機構盡職調查小組的信息；遵守相關法律、政策、程序及實際操作。

______年____月____日，貴公司簽訂了《________公司保證書》，就公司及相關各方提供的文件、資料和所做的陳述，本所律師已得到公司的如下保證：本公司所提供的所有文件及口頭或書面聲明、闡述、保證、說明均是真實、準確和完整的，不存在任何虛假記載、誤導性陳述或重大遺漏，有關文件上的簽字、印章均是真實、有效的，所提交的副本或復印件均與原件或正本一致。本公司已經確知違反上述保證所能導致的不利后果。如果本公司違反上述保證，本公司愿意承擔因此而導致的不利后果。本報告正是基于上述假設而出具的。

為出具本法律盡職調查報告，本所律師特作如下聲明：

一、本報告系依據本報告出具日之前已經發生或存在的事實，根據截至報告日所適用的中國法律、法規和規范性文件的規定而出具；

我們將對某些事項進行持續跟蹤核實和確認，但不保證在盡職調查之后某些情況不會發生變化。

二、本法律盡職調查報告僅對法律問題發表意見。在本盡職調查報告中對有關會計報表、審計報告、評估報告中某些內容的引述，并不表明本所律師對這些內容的真實性、準確性、合法性做出任何判斷或保證。

三、對于本盡職調查報告至關重要而又無獨立證據支持的事實，本所依賴有關政府部門和其他有關單位出具的證明文件出具本盡職調查報告。

四、本法律盡職調查報告僅供公司擬進行改制及申請公開發行股票并上市事宜之目的使用，未經本所書面同意，不得將本報告外傳及用于佐證、說明與改制上市事宜無關的其他事務及行為。

在本報告中，除非根據上下文應另做解釋，否則下列簡稱和術語具有以下含義：

“本報告”指由______律師事務所于______年____月____日出具的關于____公司之律師盡職調查報告。

“本所”指________律師事務所。

“本所律師”或“我們”指________律師事務所法律具體承辦盡職調查的律師。本報告分為導言、正文和附件三個部分。報告的導言部分主要介紹盡職調查的宗旨、簡稱與定義、調查的方法等；在報告的主體部分，我們將就盡職調查的具體問題逐項進行評論與分析，并給出相關的法律意見；報告的附件包括本報告所依據的由________公司提供的資料及文本。

一、主體資格

____________有限公司成立于______年____月____日，目前公司的注冊資本為____萬元，法定代表人為____，住所為______，經營范圍為______。公司持有______工商行政管理局頒發的注冊號為____的《企業法人營業執照》，______質量和技術監督局頒發的注冊號為______的《組織機構代碼證》，______國家稅務局頒發的國稅______字號《稅務登記證》和______地方稅務局頒發的地稅[]字號《稅務登記證》。

經本所律師核查，______公司依法有效存續。

經過本所核查(問題及其建議)。

二、歷史沿革

(一)首次設立

1．________公司成立于________年____月____日，設立時的名稱為______公司，股東為______、______，注冊資本為______萬元人民幣，法定代表人為______，住所為______，經營范圍為______。

2．股權結構為：

3．驗資或評估：

(二)第一次變更

(三)第二次變更

經過本所核查(問題及其建議)。

三、股東及實際控制人

(一)公司目前的股東和持股比例如下：

(二)公司的實際控制人為：

如果是自然人，則說明其簡歷(姓名、身份證號、學歷、地址等)；如果是法人，則說

明其營業執照記載事項、主營業務、主要公司管理人員、最近一年的財務會計報告。

經過本所核查(問題及其建議)。

四、獨立性

(一)公司的資產完整

(二)公司的人員獨立

(三)公司的財務獨立

(四)公司的機構獨立

(五)公司的業務獨立

經過本所核查(問題及其建議)。

五、業務

(一)主營業務情況；

(二)生產經營許可證和證書。

經過本所核查(問題及其建議)

六、關聯交易及同業競爭

(一)關聯方

(二)關聯交易

(三)同業競爭

經過本所核查(問題及其建議)。

七、主要資產

(一)土地

1．土地使用權證號為______，面積______，權屬狀況______；

2．土地使用權證號為______，面積______，權屬狀況______。

(二)房產

1．房產證號為______，面積______，權屬狀況______；

2．房產證號為______，面積______，權屬狀況______。

(三)機動車輛

1．號牌號碼：______，品牌型號：______，車輛識別代碼：______車主：______，車輛類型：______；

2．號牌號碼：______，品牌型號：______，車輛識別代碼：______車主：______，車輛類型：______。

(四)主要生產經營設備

1．設備名稱：______，#5@p號：______，報關單：______，購買日期：______，使用年限：______，原始價值：______，賬面價值：______；

2．設備名稱：______，#5@p號：______，報關單：______，購買日期：______，使用年限：______，原始價值：______，賬面價值：______。

(五)知識產權

1．商標：

(1)名稱：______，注冊號碼：______，使用商品類別：______，有效期限自______至______；

(2)名稱：______，注冊號碼：______，使用商品類別：______，有效期限自______至______；

(3)權屬狀況：____________。

2．專利：

3．專有技術：

4．版權：

經過核查，本所認為(問題及其建議)。

八、科研

(一)科研人員隊伍(項目帶頭人簡歷、隊伍結構等)。

(二)承擔的科研項目。

經過本所核查(問題及其建議)。

九、重大債權債務

(一)購銷合同(時間、金額、商品名稱、違約責任)。

(二)借款合同(時間、金額、合同主體、擔保情況)。

(三)擔保合同(時間、金額、合同主體)。

經過本所核查(問題及其建議)。

十、公司章程

(一)設立時的章程(時間、主要內容)。

(二)第二次修改(修改內容)。

經過本所核查(問題及其建議)。

十一、股東會、董事會、監事會

(一)公司目前的組織架構如下圖

(二)股東會會議

1．股東會議事規則。

2．歷次股東會會議時間、參與人員、議題、會議記錄的主要內容。

(三)董事會會議

1．董事會議事規則。

2．歷次董事會會議時間、參與人員、議題、會議記錄的主要內容。

(四)監事會會議

1．監事會議事規則。

2．歷次監事會會議時間、參與人員、議題、會議記錄的主要內容。

經過本所核查，本所認為(問題及其建議)。

十二、董事、監事及高級管理人員

(一)公司設立時的董事、監事及高級管理人員

董事會成員：

監事會成員：

經理：

(二)公司董事、監事及高級管理人員第一次變化情況

(三)公司董事、監事及高級管理人員第二次變化情況

(四)公司目前的董事、監事及高級管理人員

1．董事會成員：

(姓名、性別、年齡、身份證號、學歷、職務、工作經歷、社會兼職或頭銜等)

2．監事會成員：

(姓名、性別、年齡、身份證號、學歷、職務、工作經歷、社會兼職或頭銜等)

3．高級管理人員：

(姓名、性別、年齡、身份證號、學歷、職務、工作經歷、社會兼職或頭銜等)經過本所核查，本所認為(問題及其建議)。

十三、稅務

(稅務登記證、稅種稅率表、近三年的納稅申報表和完稅證明、享受的減免稅情況及依據文件、近三年是否存在被稅務部門處罰的情況)

經過本所核查，我們認為(問題及其建議)。

十四、勞動人事、勞動安全等

(一)公司員工名冊、勞務合同樣本、工資表和社會保障費用明細表(養老金、退休金、住房、度假、醫療、衛生保健、教育、工會費等)

(二)安全生產制度、安全事故情況

經過本所核查，我們認為(問題及其建議)。

十五、訴訟、仲裁或行政處罰

(一)公司訴訟、仲裁：(三年內的已結、未結和可能發生的案件統計表、訴狀、答辯書、判決、裁定)

(二)高級管理人員訴訟、仲裁：(三年內的已結、未結和可能發生的案件統計表、訴狀、答辯書、判決、裁定)

(三)關聯企業訴訟、仲裁的材料：(三年內的已結、未結和可能發生的案件統計表、訴狀、答辯書、判決、裁定)

經過本所核查，我們認為(問題及其建議)。

十六、其他

(一)公司所獲榮譽及證書。

(二)科學技術成果鑒定。

(三)財務會計報告數據。

(最近兩年凈利潤累計額、凈利潤增長率、營業收入、營業收入增長率、非經常性損益)

(四)會計師事務所、證券公司及其他機構從事證券業務的資格證書和營業執照；上述機構中承辦貴公司項目的從業人員名單及其從事證券業務的資格證書；以上中介機構與貴公司簽訂的委托協議的主要內容。

經過本所核查，我們認為(問題及其建議)。

謹致

商祺！

________律師事務所

承辦律師：

______年____月____日

附件：

盡職調查中獲得的所有資料文本及其信息目錄

備注：

1．<strong>法律盡職調查報告</strong>主要是從法律的角度去分析擬上市公司是否具備創業板上市的條件，所以，法律盡職調查報告應當對《首次公開發行股票并在創業板上市管理辦法》的第二章“發行條件”中的各項規定，逐項進行分析。

2．在盡職調查報告的最后部分，可以增加一個附件或法規指引，重點解釋一些在盡職調查報告中出現的專業術語，比如關聯人、高級管理人員等。

3．因為<strong>法律盡職調查報告</strong>的作用之一是為了規范設立股份有限公司，在每一個部分的結論，律師應當對所發表的意見(是否合法、有效、存在問題及其整改建議)以腳注的形式列出法律依據。

以上轉自中瀚石林

第二篇：法律盡職調查報告提綱11800字

目錄

一、引言·································································錯誤！未定義書簽。

1.1本報告的結構··································································································錯誤！未定義書簽。

1.2信息來源··········································································································錯誤！未定義書簽。

1.3前提假設··········································································································錯誤！未定義書簽。

1.4工作方式與范圍·····························································································錯誤！未定義書簽。

1.5本報告的保密性及目的·················································································錯誤！未定義書簽。

二、公司的設立和存續·········································錯誤！未定義書簽。

2.1公司的設立······································································································錯誤！未定義書簽。

2.1.1設立的基本信息················································································錯誤！未定義書簽。

2.1.2設立時的股權結構············································································錯誤！未定義書簽。

2.1.3設立時的驗資····················································································錯誤！未定義書簽。

2.1.4公司設立的法律評價·········································································錯誤！未定義書簽。

2.2公司的股權演變·····························································································錯誤！未定義書簽。

2.2.1股權轉讓····························································································錯誤！未定義書簽。

2.2.2目前的股權結構················································································錯誤！未定義書簽。

2.2.3公司其他登記信息變更情況·····························································錯誤！未定義書簽。

2.2.4法律評價（略）·················································································錯誤！未定義書簽。

2.3公司的存續······································································································錯誤！未定義書簽。

2.3.1公司的存續·························································································錯誤！未定義書簽。

2.3.2公司存續的法律評價········································································錯誤！未定義書簽。

三、公司的組織結構及法人治理結構·················錯誤！未定義書簽。

3.1公司章程的制定和修改··················································································錯誤！未定義書簽。

3.1.1公司章程的內容················································································錯誤！未定義書簽。

3.1.2法律評價·····························································································錯誤！未定義書簽。

3.2公司的組織結構······························································································錯誤！未定義書簽。

3.2.1公司目前內部組織結構圖如下：····················································錯誤！未定義書簽。

3.2.2法律評價·····························································································錯誤！未定義書簽。

3.3公司法人治理結構·························································································錯誤！未定義書簽。

3.3.1公司法人治理結構基本情況·····························································錯誤！未定義書簽。

3.3.2法律評價·····························································································錯誤！未定義書簽。

四、公司的固定資產和設備·································錯誤！未定義書簽。

4．1公司的固定資產··························································································錯誤！未定義書簽。

4．2生產設備·······································································································錯誤！未定義書簽。

4．3法律評價·······································································································錯誤！未定義書簽。

五、公司的知識產權·············································錯誤！未定義書簽。

5.1知識產權現狀··································································································錯誤！未定義書簽。5.2法律評價···········································································································錯誤！未定義書簽。

六、公司土地、房產及構筑物·····························錯誤！未定義書簽。

6.1土地使用權······································································································錯誤！未定義書簽。

6.1.1國有土地使用權·················································································錯誤！未定義書簽。

6.1.2集體土地使用權·················································································錯誤！未定義書簽。6.1.3土地租賃·····························································································錯誤！未定義書簽。6.1.4擬取得的國有土地使用權·································································錯誤！未定義書簽。6.2房屋及構筑物··································································································錯誤！未定義書簽。6.2.1房屋所有權情況·················································································錯誤！未定義書簽。6.2.2房屋的租賃·························································································錯誤！未定義書簽。6.2.3房產租賃價格·····················································································錯誤！未定義書簽。6.3房產狀況的法律評價·····················································································錯誤！未定義書簽。

七、公司業務·························································錯誤！未定義書簽。

7.1公司的經營范圍···························································································錯誤！未定義書簽。7.2公司持有的許可證和證書············································································錯誤！未定義書簽。

7.2.1有關生產經營的許可證·····································································錯誤！未定義書簽。7.2.2有關環保的證書···················································································錯誤！未定義書簽。7.2.3衛生許可證···························································································錯誤！未定義書簽。7.2.4有關生產經營的許可及環保證書的法律評價···································錯誤！未定義書簽。7.3產品質量、技術標準證書證明····································································錯誤！未定義書簽。7.3.1產品質量·······························································································錯誤！未定義書簽。7.3.2產品質量標準證書證明·······································································錯誤！未定義書簽。7.3.3產品質量、技術標準證書證明的法律評價·······································錯誤！未定義書簽。7.4其他證書（略）····························································································錯誤！未定義書簽。7.5關聯交易··········································································································錯誤！未定義書簽。7.5.1關聯方----金鼠王鞋業。·································································錯誤！未定義書簽。7.5.2關聯交易法律評價·············································································錯誤！未定義書簽。

八、公司貸款合同與擔保·····································錯誤！未定義書簽。

8.1正在履行的貸款合同··················································································錯誤！未定義書簽。8.2擔保合同·······································································································錯誤！未定義書簽。8.3抵押合同··········································································································錯誤！未定義書簽。8.4法律評價··········································································································錯誤！未定義書簽。

九、公司稅務·························································錯誤！未定義書簽。

9.1稅務登記情況·······························································································錯誤！未定義書簽。

9.1.1國稅登記證·························································································錯誤！未定義書簽。9.1.2地稅登記證·························································································錯誤！未定義書簽。9.2公司的主要稅種和稅率················································································錯誤！未定義書簽。9.3證書··················································································································錯誤！未定義書簽。無。·························································································································錯誤！未定義書簽。9.4法律評價·······································································································錯誤！未定義書簽。

十、公司的勞動用工·············································錯誤！未定義書簽。

10.1公司的勞動用工情況···················································································錯誤！未定義書簽。10.2法律評價·····································································································錯誤！未定義書簽。

十一、公司的保險事項·········································錯誤！未定義書簽。

11.1保險基本情況······························································································錯誤！未定義書簽。11.2法律評價·······································································································錯誤！未定義書簽。

十二、重大債權債務·············································錯誤！未定義書簽。

12.1公司銀行基本存款賬戶開戶許可證·························································錯誤！未定義書簽。12.2貸款卡············································································································錯誤！未定義書簽。12.3重大債權債務·······························································································錯誤！未定義書簽。

12.3.1主要債務···························································································錯誤！未定義書簽。12.3.2重大債權···························································································錯誤！未定義書簽。12.4法律評價·······································································································錯誤！未定義書簽。

十三、公司的重大訴訟、仲裁與行政措施·········錯誤！未定義書簽。十四、主要簽約服務專業機構·····························錯誤！未定義書簽。

14.1專業服務機構概況·······················································································錯誤！未定義書簽。

14.1.1會計師事務所···················································································錯誤！未定義書簽。14.1.2資產評估公司···················································································錯誤！未定義書簽。14.1.3律師事務所·······················································································錯誤！未定義書簽。未提供。········································································································錯誤！未定義書簽。14.1.4保險公司···························································································錯誤！未定義書簽。14.1.5保險經紀公司···················