Documents required for Processing Due-Diligence

The documents required for processing due diligence can vary depending on the nature of the transaction or investigation, the industry, and the regulatory requirements involved. However, here is a list of standard documents and information typically requested during the due diligence process:

Financial Documents:

• Financial statements (balance sheets, income statements, cash flow statements).
• Tax returns (corporate and individual, if applicable).
• Budgets and forecasts.
• Audited financial reports.
• Bank statements.
• Debt and loan agreements.
• Accounts payable and account
• Receivable information.

Legal Documents:

• Corporate records (articles of incorporation, bylaws, shareholder agreements).
• Contracts and agreements (customer contracts, supplier agreements, leases).
• Litigation records (pending lawsuits, legal disputes).
• Intellectual property documentation (patents, trademarks, copyrights).
• Regulatory filings and permits.
• Environmental compliance records.
• Employment contracts and HR policies.

Operational Documents

• Inventory records.
• Production and manufacturing records.
• Supply chain and distribution agreements.
• Customer and supplier lists.
• Business licenses and permits.
• Quality control and safety records.

Ownership and Structure:

• Ownership structure and ownership history.
• Shareholder or partner agreements.
• Cap table (for startups and private companies).
• Board of directors and executive team information.

Compliance and Regulatory Documents:

• Compliance reports and assessments.
• Regulatory filings and licenses.
• Environmental compliance reports.
• Health and safety records.
• Anti-money laundering (AML) and Know Your Customer (KYC) documentation.

Insurance Policies:

• Insurance policies (liability, property, workers’ compensation).
• Claims history.

Taxation Information:

• Tax records and filings.
• Tax compliance history.
• Transfer pricing documentation (for multinational corporations).

Real Estate and Property Documents:

• Property deeds.
• Land titles and surveys.
• Zoning and land use permits.

Intellectual Property Documents:

• Patent registrations.
• Trademark registrations.
• Copyright registrations.

Employee and HR Information:

• Employee contracts.
• Organisational charts.
• Employee benefit plans.
• HR policies and procedures.
• Employee handbooks.

Customer and Supplier Information:

• Customer and supplier contracts.
• Customer and supplier lists.
• Revenue concentration information.

Cybersecurity and IT Documentation:

• IT infrastructure documentation.
• Cybersecurity policies and assessments.
• Data protection measures.