私募基金股权投资尽职调查详细参照提纲模版(标准版)

('调研提纲xx投资管理有限公司《调研提纲》编制参考xxxxxx投资管理有限公司提纲摘要【摘要内容参考】1.公司基本情况（公司名称、成立时间、注册地区、注册资本，主要股东、股份比例，主营业务，过去三年的销售收入、毛利润、纯利润，公司地点、电话、传真、联系人。）2.主要管理者情况（姓名、性别、年龄、籍贯，学历/学位、毕业院校，政治面目行业从业年限，主要经历和经营业绩。）3.产品/服务描述（产品/服务介绍，产品技术水平，产品的新颖性、先进性和独特性，产品的竞争优势。）4.研究与开发（已有的技术成果及技术水平，研发队伍技术水平、竞争力及对外合作情况，已经投入的研发经费及今后投入计划，对研发人员的激励机制。）5.行业及市场（行业历史与前景，市场规模及增长趋势，行业竞争对手及本公司竞争优势，未来3年市场销售预测。）6.营销策略（在价格、促销、建立销售网络等各方面拟采取的策略及其可操作性和有效性，对销售人员的激励机制。）7.产品制造（生产方式，生产设备，质量保证，成本控制。）8.管理（机构设置，员工持股，劳动合同，知识产权管理，人事计划。）9.电子薄膜项目融资说明（资金需求量、用途、使用计划，拟出让股份，投资者权利，退出方式。）10.财务预测（未来3年或5年的销售收入、利润、资产回报率等。）11.风险控制（项目实施可能出现的风险及拟采取的控制措施。）第1页《调研提纲》编制参考xxxxxx投资管理有限公司目录摘要............................................................................................................................................................2目录........................................................................................................................................................3第一部分公司基本情况..........................................................................................................................4第二部分公司管理层..............................................................................................................................6第三部分产品/服务...............................................................................................................................9第四部分研究与开发............................................................................................................................12第五部分行业及市场情况....................................................................................................................14第六部分营销策略................................................................................................................................16第七部分产品制造................................................................................................................................18第八部分管理........................................................................................................................................20第九部分融资说明................................................................................................................................22第十部分财务计划................................................................................................................................25第十一部分风险控制............................................................................................................................26第十二部分项目实施进度....................................................................................................................27第十三部分其它....................................................................................................................................27第一部分公司基本情况公司名称________________________________________成立时间____________注册资本____________________________实际到位资本____________________第2页《调研提纲》编制参考xxxxxx投资管理有限公司其中现金到位________________________无形资产占股份比例____________%注册地点_____________________________________________________________公司性质为：请填写公司性质，如：有限公司、股份有限公司、合伙企业、个人独资等，并说明其中国有成份比例、私有成份比例和外资比例。公司沿革：说明自公司成立以来主营业务、股权、注册资本等公司基本情形的变动，并说明这些变动的原因。___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________目前公司主要股东情况：列表说明目前股东的名称及其出资情况。目前公司内部部门设置情况：以组织机构图来表示。本公司的独资、控股、参股的公司以及非法人机构的情况：以图形方式表示，如第3页《调研提纲》编制参考xxxxxx投资管理有限公司公司曾经经营过的业务有______________________、______________________、____________________、______________________、______________________。公司目前经营的业务为______________________、______________________、____________________、______________________、______________________。主营业务为_________________________________________________________。公司目前职工情况：如：拥有员工________人，其中大专以上文化程度的有________人，占员工总数________%，大学本科以上的有_________人，占员工总数_________%，硕士学位（含中级职称）以上的有_________，占员工总数_________%，博士学位（含高级职称）以上的有_________人，占员工总数_________%；最好列表说明，如：公司经营财务历史：列表说明（单位：万元）项目本年度前1年前2年前3年销售收入毛利润纯利润总资产总负债净资产公司近期及未来3~5年要实现的目标（行业地位、销售收入、市场占有率、产品品牌以及公司股票上市等）____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第4页《调研提纲》编制参考xxxxxx投资管理有限公司_______________________________________________________________________________________________________________________________________________________________________________________________________________公司近期及未来3~5年的发展方向、发展战略和要实现的目标：_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第二部分公司管理层董事会成员名单序号职务姓名工作单位联系电话1董事长2副董事长3董事4董事5董事6董事7董事8董事9董事董事长姓名_____________性别_____________年龄_____________籍贯______________第5页《调研提纲》编制参考xxxxxx投资管理有限公司学历_____________学位____________所学专业__________职称______________毕业院校____________________户口所在地____________联系电话___________主要经历和业绩：着重描述在本行业内的技术和管理经验和成功事例。___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________总经理姓名_____________性别_____________年龄_____________籍贯______________学历_____________学位____________所学专业__________职称______________毕业院校____________________户口所在地____________联系电话___________主要经历和业绩：着重描述在本行业内的技术和管理经验和成功事例。___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________技术开发负责人姓名_____________性别_____________年龄_____________籍贯______________学历_____________学位____________所学专业__________职称______________毕业院校____________________户口所在地____________联系电话___________主要经历和业绩：着重描述在本行业内的技术水平、经验和成功事例。__________________________________________________________________________________________________________________________________________第6页《调研提纲》编制参考xxxxxx投资管理有限公司_______________________________________________________________________________________________________________________________________________________________________________________________________________市场营销负责人姓名_____________性别_____________年龄_____________籍贯______________学历_____________学位____________所学专业____________________________毕业院校____________________户口所在地____________联系电话___________主要经历和业绩：着重描述在本行业内的营销经验和成功事例。_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________财务负责人姓名_____________性别_____________年龄_____________籍贯______________学历_____________学位____________所学专业____________________________毕业院校____________________户口所在地____________联系电话___________主要经历和业绩：着重描述在财务、金融、筹资、投资等方面的背景、经验和业绩_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________其他对公司发展负有重要责任的人员（可增加附页）姓名_____________性别_____________年龄_____________籍贯______________学历_____________学位____________所学专业____________________________第7页《调研提纲》编制参考xxxxxx投资管理有限公司毕业院校____________________户口所在地____________联系电话___________主要经历和业绩：根据公司的需要，来描述不同人员在特定方面的专长。_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第三部分产品/服务产品/服务描述(这里主要介绍拟投资的产品/服务的背景、目前所处发展阶段、与同行业其它公司同类产品/服务的比较，本公司产品/服务的新颖性、先进性和独特性，如拥有的专门技术、版权、配方、品牌、销售网络、许可证、专营权、特许权经营等。)_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________公司现有的和正在申请的知识产权（专利、商标、版权等）________________________________________________________________________________________第8页《调研提纲》编制参考xxxxxx投资管理有限公司__________________________________________________________________________________________________________________________________________专利申请情况__________________________________________________________________________________________________________________________产品商标注册情况__________________________________________________________________________________________________________________________公司是否已签署了有关专利权及其它知识产权转让或授权许可的协议等，如果有，请说明，并附主要条款___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________目标市场：这里对产品面向的用户种类要进行详细说明。_______________________、______________________、____________________________________________、______________________、____________________________________________、______________________、____________________________________________、______________________、_____________________产品更新换代周期：更新换代周期的确定要有资料来源。_____________________________________________________________________产品标准：详细列明产品执行的标准。____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第9页《调研提纲》编制参考xxxxxx投资管理有限公司__________________________________________________________________________________________________________________________________________详细描述本公司产品/服务的竞争优势（包括性能、价格、服务等方面）___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________产品的售后服务网络和用户技术支持_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第四部分研究与开发公司已往的研究与开发成果及其技术先进性（包括技术鉴定情况、获国际、国家省、市及有关部门和机构奖励情况）________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________公司参与制订产品或技术的行业标准和质量检测标准情况_____________________________________________________________________________________________________________________________________________________________第10页《调研提纲》编制参考xxxxxx投资管理有限公司_____________________________________________________________________国内外情况，公司在技术与产品开发方面的国内外竞争对手（5家）情况，以及公司为提高竞争力拟采取的措施。_______________________________________________________________________________________________________________________________________________________________________________________________________________到目前为止，公司在技术开发方面的资金总投入是多少，计划再投入的开发资金是多少（列表说明每年购置开发设备、开发人员工资、试验检测费用、以及与开发有关的其它费用）_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________请说明，今后为保证产品质量、产品升级换代和保持技术先进水平，公司的开发方向、开发重点和正在开发的技术和产品____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________公司现有技术开发资源以及技术储备情况_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第11页《调研提纲》编制参考xxxxxx投资管理有限公司公司寻求技术开发依托（如大学、研究所等）情况，合作方式______________________________________________________________________________________________________________________________________________________________________________________________________________________________公司将采取怎样的激励机制和措施，保持关键技术人员和技术队伍的稳定__________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________公司未来3~5年在研发资金投入和人员投入计划（万元）年份第1年第2年第3年第4年第5年资金投入人员（个）第五部分行业及市场情况行业情况（行业发展历史及趋势，哪些行业的变化对产品利润、利润率影响较大进入该行业的技术壁垒、贸易壁垒、政策限制等，行业市场前景分析与预测）_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第12页《调研提纲》编制参考xxxxxx投资管理有限公司________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________过去3~5年各年全行业销售总额：一定要列明资料来源。（万元）年份前5年前4年前3年前2年前1年销售收入销售增长率未来3~5年各年全行业销售收入预测：一定要列明资料来源。（万元）年份第1年第2年第3年第4年第5年销售收入本公司与行业内五个主要竞争对手的比较：主要描述在主要销售市场中的竞争对手。竞争对手市场份额竞争优势竞争劣势本公司第13页《调研提纲》编制参考xxxxxx投资管理有限公司市场销售有无行业管制，公司产品进入市场的难度分析_______________________________________________________________________________________________________________________________________________________________公司未来3~5年的销售收入预测（融资不成功情况下）（万元）年份第1年第2年第3年第4年第5年销售收入市场份额公司未来3~5年的销售收入预测（融资成功情况下）（万元）年份第1年第2年第3年第4年第5年销售收入市场份额第六部分营销策略产品销售成本的构成及销售价格制订的依据_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________如果产品已经在市场上形成了竞争优势，请说明与哪些因素有关（如成本相同第14页《调研提纲》编制参考xxxxxx投资管理有限公司但销售价格低、成本低形成销售价格优势、以及产品性能、品牌、销售渠道优于竞争对手产品，等等）________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________在建立销售网络、销售渠道、设立代理商、分销商方面的策略与实施_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________在广告促销方面的策略与实施_______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________在产品销售价格方面的策略与实施___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________在建立良好销售队伍方面的策略与实施__________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第15页《调研提纲》编制参考xxxxxx投资管理有限公司_____________________________________________________________________产品售后服务方面的策略与实施_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________其它方面的策略与实施_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________对销售队伍采取什么样的激励机制___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第七部分产品制造产品生产制造方式（公司自建厂生产产品，还是委托生产，或其它方式，请说明原因）_______________________________________________________________________________________________________________________________________________________________________________________________________第16页《调研提纲》编制参考xxxxxx投资管理有限公司_____________________________________________________________________公司自建厂情况下，购买厂房还是租用厂房，厂房面积是多少，生产面积是多少，厂房地点在哪里，交通、运输、通讯是否方便____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________现有生产设备情况（专用设备还是通用设备，先进程度如何，价值是多少，是否投保，最大生产能力是多少，能否满足公司产品销售增长的要求，如果需要增加设备，采购计划、采购周期及安装调试周期；如果需要大规模建设，是否选择“交钥匙”方式进行，“交钥匙”工程的承包机构是否提供工期、质量方面的保证，如何对这些保证加以实施？）_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________请说明，如果设备操作需要特殊技能的员工，如何解决这一问题____________________________________________________________________________________________________________________________________________________________________________________________________________________________简述产品的生产制造过程、工艺流程____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第17页《调研提纲》编制参考xxxxxx投资管理有限公司__________________________________________________________________________________________________________________________________________如何保证主要原材料、元器件、配件以及关键零部件等生产必须品的进货渠道的稳定性、可靠性、质量及进货周期，列出3家主要供应商名单及联系电话。_______________________________________________________________________________________________________________________________________________________________________________________________________________主要供应商1__________________________________________________________主要供应商2__________________________________________________________主要供应商3__________________________________________________________正常生产状态下，成品率、返修率、废品率控制在怎样的范围内，描述生产过程中产品的质量保证体系、以及关键质量检测设备________________________________________________________________________________________________________________________________________________________________________________________________________________________________________产品成本和生产成本如何控制，有怎样的具体措施___________________________________________________________________________________________________________________________________________________________________产品批量销售价格的制订，产品毛利润率是多少？纯利润率是多少？______________________________________________________________________________第18页《调研提纲》编制参考xxxxxx投资管理有限公司第八部分管理请说明，为保证融资项目按计划实施，公司准备今后各年陆续设立哪些机构，各机构配备多少人员，人员年收入情况。请用图表统计表示出来，附在本计划中公司是否通过国内外管理体系认证？_____________________________________公司对管理层及关键人员将采取怎样的激励机制____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________公司是否考虑员工持股问题，请说明______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________公司是否与掌握公司关键技术及其它重要信息的人员签定竞业禁止协议，若有请说明协议主要内容_______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第19页《调研提纲》编制参考xxxxxx投资管理有限公司_____________________________________________________________________公司是否与每个雇员签定劳动用工合同___________________________________公司是否与相关员工签定公司技术秘密和商业秘密的保密合同_______________公司是否为每位员工购买保险，请说明保险险种_________________________________________________________________________________________________公司是否存在关联经营和家族管理问题，若有，请说明_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________公司与董事会、董事、主要管理者、关键雇员之间是否有实际存在或潜在的利益冲突，如果有，请说明解决办法___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________请说明，公司对知识产权、技术秘密和商业秘密的保护措施_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________请说明，项目实施过程中，公司需要哪些外部支持，如何获得这些支持_______第20页《调研提纲》编制参考xxxxxx投资管理有限公司_______________________________________________________________________________________________________________________________________________________________________________________________________________第九部分融资说明为保证项目实施，需要新增投资是多少_________________________________，资金需求的时间是多少_________________________________。新增投资中，需投资方投入________________，对外借贷___________________公司自身投入______________。如果有对外借贷，抵押或担保措施是什么？___________________________________________________________________________________________________________________________________________________________________________________________________________________请说明投入资金的用途和使用计划_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________希望让投资方参股本公司或与投资方成立新公司，请说明原因______________________________________________________________________________________________________________________________________________________________________________________________________________________________拟向投资方出让多少权益？计算依据是什么？__________________________________________________________________________________________________第21页《调研提纲》编制参考xxxxxx投资管理有限公司_______________________________________________________________________________________________________________________________________________________________________________________________________________预计未来3~5年平均每年净资产回报率是多少？__________________________投资方可享有哪些监督和管理权力_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________如果公司没有实现项目发展计划，公司与管理层向投资方承担哪些责任？___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________投资方以何种方式收回投资，具体方式和执行时间____________________________________________________________________________________________________________________________________________________________________与公司业务有关的税种和税率，公司享受哪些政府提供的优惠政策及未来可能的情况，特别是市场准入、减免税等方面的优惠政策_________________________第22页《调研提纲》编制参考xxxxxx投资管理有限公司____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________需要对投资方说明的其它情况________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第23页《调研提纲》编制参考xxxxxx投资管理有限公司第十部分财务计划产品形成规模销售时，毛利润率为____________%，纯利润率为____________%。请提供：未来3~5年项目盈亏平衡表未来3~5年项目资产负债表未来3~5年项目损益表未来3~5年项目现金流量表未来3~5年项目销售计划表未来3~5年项目产品成本表（第一年每个月计算现金流量，共12个月，第二年每季度计算现金流量，共四个季度，第三、四、五年每年计算现金流量，共三年）每一项财务数据要有依据，要进行财务数据说明。第十一部分风险控制请详细说明该项目实施过程中可能遇到的风险（包括政策风险、国际市场风险、技术开发风险、经营管理风险、市场开拓风险、生产风险、财务风险、汇率风险、投资风险、股票风险、对公司关键人员依赖的风险等。以上风险如适用，每项要单独叙述控制和防范手段）______________________________________________________________________________________________________________________________________________________________________________第24页《调研提纲》编制参考xxxxxx投资管理有限公司_______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第十二部分项目实施进度详细列明项目实施计划和进度，注明起止时间______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第25页《调研提纲》编制参考xxxxxx投资管理有限公司_____________________________________________________________________第十三部分其它为补充本计划书内容，进一步说明项目情况，请把有关问题在此描述（如公司或公司主要管理人员和关键人员过去、现在是否卷入法律诉讼及仲裁事件中，对公司有何影响）__________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________请将产品彩页、公司介绍册、证书等作为附件附于本调查表后。清单如下：________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________第26页《调研提纲》编制参考xxxxxx投资管理有限公司后记一个项目能否吸引投资者的注意，主要看其是否具备以下四个条件：1.项目本身是否有较大的市场容量和较强的盈利能力；2.项目在技术、管理、生产、研究开发和营销等方面有无独特性；3.是否有完整、务实和能够操作的项目实施计划；4.管理层是否具备成功实施项目的能力和信心。很多企业家往往喜欢带着一份简单的项目说明书与风险投资家面谈，希望用自己的口才说服对方。可是，用严密的逻辑和清晰的思路表达项目，难度很大谁能保证风险投资家真理解了？即使把项目表达清楚了，那么多内容谁能记得住呢？因此，通过这种方式寻求投资，成功的机会不大，而且将会越来越小。阅读本《调研提纲》编制参考，您会发现，一份强有力的《调研提纲》才是吸引风险投资家的关键。因为《调研提纲》中对上述三个关键问题都给予了明确的说明。我们提供这份参考资料的目的，是希望企业家在寻找投资过程中少走弯路，尽早融资成功。企业应备资料清单1.营业执照2.公司章程3.验资审计报告4.贷款证5.资信证明6.法人代码证书7.税务登记证8.财务报表（上年度、本年度、本月）9.专利证书、鉴定报告第27页《调研提纲》编制参考xxxxxx投资管理有限公司10.高新技术企业、高新技术项目证书11.其它表明企业特点的资料12.已签署的业务合同（复印件）13.调研提纲第28页',)