Due Diligence Interviews


This practice note discusses conducting due diligence interviews for a securities offering. In most securities offerings, underwriters (and financial intermediaries acting in other similar roles, such as initial purchasers or placement agents, which are collectively referred to as underwriters in this practice note) will request the opportunity to interview members of an issuer's management team, the issuer's auditors, and potentially other parties as part of their due diligence process. These due diligence interviews complement the documentary and other due diligence processes.