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Step by step guide for conducting due diligence in securities offerings
A NEW GUIDE TO CONDUCTING SECURITIES OFFERINGS
ONLINE, EBOOK, PRINT FORMATS
During a period of strong debt capital markets and a hot IPO market, as well as an accompanying demand for capital markets services, the subject of due diligence in securities offerings remains topical.
This legal handbook is a practical guide for conducting due diligence in securities offerings. The book is written to assist three principal actors involved in the due diligence process:
(1) the securities lawyer (typically an associate or partner in a law firm retained as counsel to the issuer or the underwriters),
(2) the investment banker employed by an underwriter, and
(3) in-house legal counsel of the issuer.
The book provides practice reminders, checklists (and warnings against checklists in some cases), sample diligence requests, sample diligence questions and other practical diligence materials.
It is written in a way that makes it a useful and accessible guide for the junior associate or junior banker working on a securities offering, and also gives enough detail to help keep a more experienced practitioner on track.
The Role of Due Diligence
Overview of the Diligence Process:
Sources of Liability
Documentary Due Diligence
Management Due Diligence
Offering Document Review, Back-Up Book
Negative Assurance Letters
Auditor Due Diligence
The Comfort Letter
Debt Instrument Due Diligence
Specialist Due Diligence Topics
Using the Underwriting Agreement and
Legal Opinions as a Final Due Diligence Check
|Publication Date||November 18, 2015|
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