2004年4月19日 –20日北京国际矿业和金属业务收购研讨会国际矿业收购简述贾殿安/葛向阳合伙人/ 资深律师, 上海/北京Baker & McKenzie International is a Swiss Vereinwith member law firmsaround the world. In accordance with the common terminology used in professional service organizations, reference to a “partner” means a person who is a partner, or equivalent, in such a law , reference to an “office” means an office of any such law firm.
国际矿业收购简述综述Overview矿业并购类型Types of Mining Acquisitions典型收购流程Process of a Typical Acquisition需考虑的一些问题Issues to be Considered贝克 麦肯思提供的服务Services Offered by Baker & McKenzie
国际矿业收购简述矿业并购类型Types of Mining Acquisitions购买全部或部分矿权权益( 勘探许可证或开采权出租)Purchase of All or Part of the Interest in a Mining Tenement (AnExploration License or A Production Lease)购买非公司形式的矿业合营中的权益Purchase of an Interest in an Unincorporated Mining Joint Venture购买在矿业项目中有权益的非上市公司股权Purchase of Shares in a Private Company With Interests in MiningProjects 对在矿业项目中有资产/权益的上市公司提出收购要约Takeover Offer for Shares in a Listed Company with Assets/Interests in Mining Projects
国际矿业收购简述Preliminary Interest 初步兴趣典型收购流程Deed of Confidentiality 保密协议Process of a (Seller provides information 卖方提供信息)Preliminary Due Diligence Typical 初步尽职调查Review Project / Tax / Stamp Duties / JV StructureAcquisition审查项目/税收/印花税/合营结构Finalise JV Decide offer price 决定报价structurePost Completion完成后最终确定合营结构Letter of offer 要约函-register transfers转让price allocationNegotiate price 进行价格谈判登记价格分配-assign agreements etc.转让协议等Purchaser's Heads of Agreement 框架协议investment structure买方的投资Draft sale agreement 起草出售协议结构Completion 完成Negotiate sale agreement 进行出售协议谈判(Settlement)（结清）Sale Agreement Execution 签署出售协议Pre-completion Pre-execution Due Diligence Due Diligence签署前尽职调查完成前尽职调查Condition Precedent 先决条件Stamp Duty-government approvals 政府批准印花税-finance 财务-finalise JVA etc 最终确定合营协议等
国际矿业收购简述需考虑的一些问题Issues to be Considered法律体系和法律框架Legal System and Legislative Frameworkz投资环境评价Assessments of Country Riskz“外商”投资法规和批准框架“Foreign”Investment Regulatory/Approval Frameworkz地方法律和联邦法律的双重管辖State and Federal Jurisdictions
国际矿业收购简述投资方式和结构Investment Vehicle and Structurez产品分成合同PSCz独资企业Wholly-owned Subsidiariesz合资公司Incorporated Joint Venture Companiesz合伙Partnershipsz信托安排Trustz非公司制的合资经营Unincorporated Joint Ventures
国际矿业收购简述政府批准/ 同意Government Approval / Consentz中国方面(PRC Side)–发改委, 外管局, 商务部, 当地使领馆等SDRC, SAFE, MOFCOM, EMBASSY, etc.–审批权限Approval Limit–香港因素Hong Kong Issue
国际矿业收购简述政府批准／同意（继续）Government Approval / Consent (cont’d)z外国方面(Foreign Side)–外商投资Foreign Investment–环境保护Environmental Protection–土地权/ “自然权利”Land / “Native Title”–矿权Mining Tenements–其他Others
国际矿业收购简述矿业购并通常涉及的法律文件Types of Legal Documents Involved in Mining Acquisitionsz通常性法律文件General Documents–项目文件/勘探权文件/开采许可(采矿租赁)/政府协议/ 环境审批/出口许可Project Documents / Exploration Titles / Production Licenses (Mining Lease) / Government Agreements / Environmental Approvals / Export Permits
国际矿业收购简述矿业购并通常涉及的法律文件（继续）Types of Legal Documents Involved in Mining Acquisitions (cont’d)z购买交易中特殊性的法律文件Documents Specific to the Sale Transaction–保密协议/协议主要条款/销售和购买协议/补充协议Deed of Confidentiality / Heads of Agreement / Sale and Purchase Agreement / Supplementary Agreement
国际矿业收购简述审慎调查Due Diligencez目的Purposez时间Timingz范围Scopez方式Method
国际矿业收购简述成交的步骤Logistics of Completionz取得政府批准Obtaining Government Approvalsz取得第三方同意Obtaining Third Party Consentsz制作各种文件Creating Various Documents
国际矿业收购简述成交的步骤(继续) Logistics of Completion (cont’d)z进行各种转让Processing Various Transfersz移交各种证照Transferring Physical Possession of Certificate of Title, Record Books, 取得各种公司文件Obtaining Various Corporate Documents
国际矿业收购简述成交的步骤(继续) Logistics of Completion(cont’d)z处理人员变动Addressing Personnel Changesz支付税费Paying Applicable Taxes and Feesz支付事宜Matters Relating to Payments
国际矿业收购简述贝克 麦肯思提供的服务Services Offered by Baker & McKenzie全球网络成立于1949年35个国家，64个办事处625名合伙人，3225名执业律师4400名法律专业人员
国际矿业收购简述贝克 麦肯思提供的服务(继续)Services Offered by Baker&McKenzie (cont’d)长期为中国客户服务Long Term Service for Chinese Clients全球矿业法律业务Global Mining Practice Group“一站式”服务“One-stop Shopping”
