Due diligence meeting

Meeting legally required to be held by an underwriter to enable brokers to question a new issuer about an upcoming issue.

Due Diligence Meeting

An internal meeting held after the registration of a new security with the SEC but before the registration's effective date. Under the Securities Act of 1933, all accountants, counsel, underwriters, and managers can be held civilly liable for knowingly making false or misleading statements in the registration documents. In order to shield themselves from liability, representatives of the registrant conduct a meeting before the registration becomes effective to discuss and if necessary remedy any issues that may have arisen. This is considered a necessary part of due diligence prior to the issuance of a new security.

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Applicants were then graded based on in-person and telephone due diligence meetings and a ranking algorithm that factors in client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria (including assets under management and revenue generated for their firms).

Advance Capital Management's Michael Hohf Named to Forbes Top 100 Millennial Advisors

3 Review and comment on the preliminary and final official statements, participate in due diligence meetings, and participate in bond document review sessions.

Contract For The Services Of A Professional Financial Advisor For The Refinancing Of 2006 Series Building Authority Revenue Bonds

The most common such service last year was support for due diligence meetings (87%), on exact par with the year prior.

2016 PLANADVISER Defined Contribution Investment Only (DCIO) Survey

A Cerberus spokesman added: "It is standard operating practice to hold due diligence meetings of this nature with government ministers in advance of making a bid, especially as we had never invested in Northern Ireland previously.

I neither received, sought or was offered a single penny; North's First Minister denies Nama cash was for him

RIAs find white papers, thought leadership pieces and economic-oriented commentaries or outlooks most useful, while wirehouse advisors prefer sales ideas and seminars and regional and independent advisors prefer due diligence meetings and product training.

RIAs Are Least Dependent on Value-Add Support: Survey

UK insurer Resolution said yesterday it had held due diligence meetings with rivals Standard Life and Pearl, but said it had held no talks on proposals and had received no firm offers from the suitors.