Exploration of due diligence duties attorneys edward zusman and david wakukawa the adequacy of broker dealers due diligence investigations of products approved for distribution often arises in civil and regulatory actions. Breaking down due diligence due diligence became common practice and a common term in the us with the passage of the securities act of 1933securities dealers and brokers became responsible for fully disclosing material information related to the instruments they were selling. A due diligence checklist is provided to enable issuers to start gathering the necessary material likely to be requested by legal counsel and underwriters. Limiting potential liability under securities law is the principal purpose of the due diligence process for an initial public offering but due diligence also plays a critical role in ensuring the registration statement and prospectus are high quality disclosure and marketing documents that among other things assist the underwriters to value . Due diligence check list please provide us with the documents referred to below for name of issuer name and each of its subsidiaries and predecessors unless the context otherwise requires all references to the issuer include
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