Due Diligence Request List (Rule 144A and/or Regulation S Debt Offering)
Summary
This template due diligence request list may be used in transaction relying on Rule 144A (17 C.F.R. ยง 230.144A) and/or Regulation S under the Securities Act of 1933, as amended. This template includes practical guidance and drafting notes. Due diligence request lists are typically provided at the start of transaction to the issuer and its counsel by the lead manager for the initial purchasers and its counsel. This request list should be tailored to the issuer's specific business and organizational structure, and depending upon the size of the company, many of the requests may need to be further revised according to "materiality," a specific dollar amount, or another appropriate manner. For a full listing of related due diligence for securities offerings content, see Due Diligence for Securities Offerings Resource Kit. For information on conducting the due diligence process in a Rule 144A/Regulation S Offering, see Due Diligence in a Rule 144A / Regulation S Offering. For additional ...