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Due Diligence Audit Report

Due Diligence Audit Report Template for Australia

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Key Requirements PROMPT example:

Due Diligence Audit Report

"I need a Due Diligence Audit Report for a potential acquisition of an Australian SaaS company, focusing particularly on their intellectual property assets, recurring revenue streams, and cybersecurity compliance, to be completed by March 2025."

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Document background
The Due Diligence Audit Report is a crucial document utilized in various business contexts within the Australian legal framework. It is typically prepared when detailed scrutiny of a business entity is required, such as during mergers and acquisitions, major investments, or significant corporate restructuring. The report provides a comprehensive assessment of a company's financial health, operational effectiveness, legal compliance, and risk profile, adhering to Australian regulatory requirements including the Corporations Act 2001, ASIC guidelines, and relevant state legislation. This document serves as a fundamental tool for informed decision-making, offering stakeholders detailed insights into potential risks, opportunities, and areas requiring attention while ensuring compliance with Australian legal and professional standards.
Suggested Sections

1. Executive Summary: High-level overview of key findings, major risks identified, and overall assessment of the target business

2. Scope and Objectives: Detailed outline of the audit scope, objectives, and methodology employed

3. Corporate Structure and Governance: Analysis of the organization's legal structure, ownership, and governance frameworks

4. Financial Analysis: Assessment of financial statements, performance metrics, and financial controls

5. Legal and Regulatory Compliance: Evaluation of compliance with relevant laws, regulations, and licensing requirements

6. Operational Assessment: Review of business operations, processes, and operational efficiency

7. Human Resources: Analysis of employment matters, workplace policies, and HR compliance

8. Risk Assessment: Identification and evaluation of key business risks and control measures

9. Key Findings and Recommendations: Detailed presentation of significant findings and recommended actions

Optional Sections

1. Environmental Compliance: Assessment of environmental impacts and compliance (included for businesses with significant environmental footprint)

2. IT Systems and Security: Evaluation of technology infrastructure and cybersecurity (for technology-dependent businesses)

3. Intellectual Property: Analysis of IP assets and protection measures (for businesses with significant IP holdings)

4. Market Analysis: Assessment of market position and competition (for businesses where market position is crucial)

5. Property and Assets: Detailed review of physical assets and property holdings (for asset-heavy businesses)

6. Research and Development: Evaluation of R&D activities and pipeline (for innovation-focused companies)

7. International Operations: Assessment of international business activities and compliance (for companies with overseas operations)

Suggested Schedules

1. Financial Statements Analysis: Detailed financial statements, ratios, and trending analysis

2. Legal Documentation Register: List and status of all reviewed legal documents and contracts

3. Compliance Checklist: Detailed compliance verification checklist with findings

4. Risk Matrix: Detailed risk assessment matrix with likelihood and impact analysis

5. Corporate Structure Chart: Detailed organizational and ownership structure diagrams

6. Asset Register: Comprehensive list of physical and intangible assets reviewed

7. Interview List: Record of key personnel interviewed and summary of discussions

8. Document Request List: List of documents requested and received during the audit

9. Action Items Register: Detailed list of recommended actions with priority levels and timeframes

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Adverse Finding
Applicable Laws
ASIC
ASX
Audit Period
Auditor
Business Day
Compliance
Confidential Information
Control Measures
Corporate Records
Data Room
Due Diligence Process
Encumbrance
Financial Statements
Financial Year
Governing Law
GST
High-Risk Finding
Intellectual Property Rights
Key Contracts
Key Personnel
Material Adverse Change
Material Contracts
Material Finding
Materiality Threshold
Non-Compliance
Professional Standards
Related Party
Relevant Period
Report
Review Scope
Risk Assessment
Risk Rating
Scope of Work
Securities
Significant Finding
Subject Matter
Target Company
Working Papers
Clauses
Scope of Review
Methodology
Confidentiality
Limitations of Review
Corporate Structure
Financial Performance
Legal Compliance
Regulatory Compliance
Operational Assessment
Risk Management
Corporate Governance
Financial Controls
Asset Ownership
Material Contracts
Employee Relations
Health and Safety
Environmental Compliance
Insurance Coverage
Intellectual Property
Information Technology
Data Protection
Tax Compliance
Property Rights
Litigation Status
Customer Relations
Supplier Agreements
Market Position
Business Continuity
Quality Control
Professional Standards
Disclosure Requirements
Executive Management
Shareholder Rights
Securities Compliance
Risk Ratings
Recommendations
Implementation Plan
Relevant Industries

Financial Services

Manufacturing

Technology

Healthcare

Mining and Resources

Retail and Consumer

Real Estate

Professional Services

Energy and Utilities

Transportation and Logistics

Education

Agriculture

Construction

Telecommunications

Relevant Teams

Legal

Finance

Risk Management

Compliance

Internal Audit

Corporate Development

Operations

Strategy

Mergers & Acquisitions

Executive Leadership

Corporate Governance

Business Development

Relevant Roles

Chief Executive Officer

Chief Financial Officer

Chief Risk Officer

Chief Legal Officer

Chief Operating Officer

Financial Controller

Compliance Manager

Risk Manager

Internal Audit Manager

Corporate Development Director

Investment Manager

Due Diligence Specialist

Legal Counsel

Company Secretary

Business Development Manager

Operations Director

Strategy Director

Merger & Acquisition Specialist

Industries
Corporations Act 2001 (Cth): Primary legislation governing corporate entities in Australia, including requirements for corporate governance, financial reporting, and disclosure obligations
Australian Securities and Investments Commission Act 2001: Regulates financial services and establishes ASIC's investigative and enforcement powers relevant to corporate investigations
Privacy Act 1988 (Cth): Governs the handling of personal information during the due diligence process and data room management
Competition and Consumer Act 2010: Relevant for market analysis and competition considerations in due diligence, including assessment of market position and compliance
Personal Property Securities Act 2009: Important for assessing security interests and encumbrances on company assets during due diligence
Fair Work Act 2009: Crucial for employment-related due diligence, covering workplace relations and employment terms
Anti-Money Laundering and Counter-Terrorism Financing Act 2006: Relevant for financial due diligence and compliance verification in financial transactions
Professional Standards Legislation: Governs professional conduct and liability of auditors and consultants conducting due diligence
State-specific Business Legislation: Various state-level business laws that may affect company operations and compliance requirements
Environmental Protection and Biodiversity Conservation Act 1999: Important for environmental due diligence and compliance assessment of business operations
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

Find the exact document you need

Due Diligence Audit Report

An Australian-compliant comprehensive audit report assessing a company's operations, finances, compliance, and risks for informed business decision-making.

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