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Due Diligence Audit Report

Due Diligence Audit Report Template for India

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Key Requirements PROMPT example:

Due Diligence Audit Report

"I need a Due Diligence Audit Report for a potential investment in an Indian technology startup, focusing particularly on their intellectual property assets, ongoing contracts with international clients, and compliance with data protection regulations, to be completed by March 2025."

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Document background
The Due Diligence Audit Report is a crucial document in the Indian business and legal landscape, typically prepared during significant corporate transactions such as mergers, acquisitions, investments, or major regulatory compliance reviews. It provides a comprehensive evaluation of a company's legal, financial, operational, and compliance status, adhering to Indian regulatory frameworks including the Companies Act 2013, SEBI regulations, and other relevant laws. The report is essential for identifying potential risks, liabilities, and areas of non-compliance, while also validating the company's representations and warranties. It serves multiple stakeholders including investors, board members, and regulatory authorities, offering detailed insights that inform strategic decision-making and risk management strategies.
Suggested Sections

1. Executive Summary: High-level overview of key findings, major risks identified, and critical recommendations

2. Introduction and Scope: Purpose of the due diligence, scope of review, methodology used, and limitations of the audit

3. Company Overview: Basic information about the target company, including history, business model, and organizational structure

4. Corporate Governance Review: Analysis of corporate structure, shareholding patterns, board composition, and compliance with Companies Act

5. Financial Review: Assessment of financial statements, accounting practices, tax compliance, and financial position

6. Legal and Regulatory Compliance: Review of statutory compliance, pending litigation, regulatory approvals, and permits

7. Commercial Contracts Review: Analysis of key business agreements, customer/supplier contracts, and other commercial arrangements

8. Human Resources and Labor: Assessment of employment practices, labor law compliance, and HR policies

9. Assets and Operations: Review of physical assets, intellectual property, operational efficiency, and infrastructure

10. Risk Assessment: Detailed analysis of identified risks across all reviewed areas

11. Recommendations: Specific action items and recommendations to address identified issues and risks

Optional Sections

1. Environmental Compliance: Required for manufacturing companies or businesses with environmental impact

2. Technology and IP Assessment: Detailed section for technology companies or businesses with significant IP assets

3. Market Analysis: Include when the audit scope covers market position and competition assessment

4. Regulatory Compliance - Industry Specific: Required for regulated industries like financial services, healthcare, or telecommunications

5. International Operations Review: Include for companies with significant cross-border operations

6. Data Protection and Privacy: Required for companies handling significant personal data or subject to privacy regulations

Suggested Schedules

1. Schedule A - Document List: Comprehensive list of all documents reviewed during the due diligence process

2. Schedule B - Corporate Records: Copies of key corporate documents, certificates, and filings

3. Schedule C - Financial Statements: Detailed financial statements and supporting analyses

4. Schedule D - Legal Proceedings: Details of ongoing litigation, disputes, and regulatory proceedings

5. Schedule E - Material Contracts: List and summaries of key contracts and agreements

6. Schedule F - Compliance Certificates: Copies of regulatory approvals, permits, and compliance certificates

7. Appendix 1 - Interview Notes: Summary of key management interviews and discussions

8. Appendix 2 - Risk Matrix: Detailed risk assessment matrix with probability and impact analysis

9. Appendix 3 - Compliance Checklist: Detailed compliance verification checklist with findings

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
Applicable Law
Audit Period
Board of Directors
Company
Compliance
Control
Corporate Records
Financial Statements
Financial Year
Governmental Authority
Intellectual Property Rights
Key Management Personnel
Material Adverse Effect
Material Contracts
Permits
Related Party
Regulatory Approvals
Review Period
SEBI
Shareholders
Subsidiaries
Tax
Target Company
Encumbrance
Liabilities
Assets
Business Operations
Compliance Certificate
Due Diligence Process
Environmental Laws
Financial Indebtedness
Governing Documents
Legal Proceedings
Material Information
Promoter
Risk Factors
Statutory Auditor
Working Capital
Clauses
Corporate Structure and Governance
Share Capital and Securities
Financial Statements and Records
Tax Compliance
Material Contracts
Employment and Labor
Intellectual Property
Real Estate and Assets
Environmental Compliance
Regulatory Compliance
Litigation and Disputes
Insurance Coverage
Information Technology
Data Protection
Related Party Transactions
Foreign Exchange Compliance
Borrowings and Indebtedness
Licenses and Permits
Competition Law Compliance
Corporate Social Responsibility
Risk Assessment
Internal Controls
Market Position
Business Operations
Health and Safety
Relevant Industries

Manufacturing

Technology

Financial Services

Healthcare

Real Estate

Retail

Energy

Telecommunications

Pharmaceuticals

E-commerce

Infrastructure

Education

Automotive

Mining and Natural Resources

Relevant Teams

Legal

Finance

Compliance

Risk Management

Corporate Governance

Internal Audit

Operations

Strategy

Mergers and Acquisitions

Investment

Regulatory Affairs

Corporate Secretarial

Relevant Roles

Chief Executive Officer

Chief Financial Officer

Chief Legal Officer

Chief Risk Officer

Chief Compliance Officer

Managing Director

Corporate Secretary

Finance Director

Legal Counsel

Audit Manager

Due Diligence Specialist

Investment Analyst

Corporate Governance Officer

Regulatory Compliance Manager

Business Development Director

Operations Director

Risk Management Officer

Industries
Companies Act, 2013: Fundamental legislation governing company formation, management, and compliance requirements in India. Essential for verifying corporate structure, shareholding patterns, and statutory compliance.
Securities and Exchange Board of India Act, 1992: Relevant for listed companies and securities-related matters, including disclosure requirements and investor protection provisions.
Income Tax Act, 1961: Critical for reviewing tax compliance, assessments, and potential tax liabilities of the target company.
Goods and Services Tax (GST) Laws: Essential for reviewing indirect tax compliance and liabilities under the unified tax regime.
Foreign Exchange Management Act, 1999: Important for reviewing foreign investment compliance, overseas transactions, and cross-border dealings.
Indian Contract Act, 1872: Fundamental for reviewing the validity and enforceability of various contracts and agreements.
Labour Laws (including Industrial Disputes Act, Factories Act, etc.): Crucial for reviewing employment practices, labor compliance, and workplace safety measures.
Environmental Protection Act, 1986: Important for reviewing environmental compliance and related permissions/licenses.
Intellectual Property Laws: Including Patents Act, Copyright Act, and Trademarks Act - essential for reviewing IP assets and protection.
Information Technology Act, 2000: Relevant for reviewing digital compliance, data protection, and cyber security measures.
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

A detailed assessment report under Indian law examining a company's operations, compliance, and risks for business transactions or regulatory purposes.

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