SN Function Document

1 Transaction Client-Consultant NDA

2 Transaction Client-consulting detailed meeting (MOM)
3 Transaction Consulting proposal
4 Transaction Consulting contract
5 Transaction Objectives & timeframe for strategic transaction/ equity
funding
6 Transaction Investment requirement schedule
7 Transaction List of open & closed investment options/solutions
8 Transaction Desired investor/target/partner profile
9 Transaction Plant/facility visit report
10 Transaction Teaser
11 Transaction Information Memorandum
12 Transaction Investor presentation
13 Transaction Term-sheet
14 Transaction Investment contract
15 Transaction Deal strategy, strategic options
16 Transaction Investor communications
17 Transaction Valuation/Financial model
18 Transaction Applicability of CCI regulations
19 Transaction List of approvals required for M&A
20 Transaction List of internal approvals for M&A
21 Transaction Process flow for M&A with schedule
22 Transaction Investor due diligence report
23 Transaction Business valuation report
24 Transaction Online data room login details
25 Transaction Disclosure schedule
26 Transaction Secretarial work, M&A resolutions, MOA/AOA
amendedments
27 Transaction Equity funding accounting
28 Transaction Equity funding taxation
29 Transaction Technical integration of entities
30 Transaction Responses to investor queries
31 Transaction Experts & compliance professionals contracts
32 Strategy Vision, mission, objectives, goals, philosophy
33 Strategy Business profile
34 Strategy Promoter/director/management profile
35 Strategy Business Model - Internal
36 Strategy Business plan - Internal
37 Strategy Expansion/project/growth plan
38 Strategy Financial projections
39 Strategy Business/investment risk matrix
40 Strategy SWOT analysis
41 Strategy Strategic plan
42 Strategy Franchise, royalty, work contract, etc
43 Strategy JV contracts
44 Strategy Investor presentations
45 Strategy Document register
46 Secretarial Brief History of the company
47 Secretarial Background of founders, promoters, directors
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48 Secretarial List of other business activities of directors, key

shareholders
49 Secretarial Group structure, list of subsidiaries & their documents,
shareholding, etc
50 Secretarial Authority to transact, POA/resolution by company
51 Secretarial Certificate of incorporation
52 Secretarial Board of directors composition
53 Secretarial Shareholding pattern
54 Secretarial MOA
55 Secretarial AOA
56 Secretarial Bylaws
57 Secretarial List of subsidies & exemptions
58 Secretarial Security documents (common, preferred, options,
warrants)
59 Secretarial ESOP, sweat equity agreements
60 Secretarial Directorial & key personnel remunerations
61 Secretarial Other agreements affecting dividends
62 Secretarial Warrant agreements
63 Secretarial List of all corporate guaranttees
64 Secretarial Past M&A, restructuring documents
65 Secretarial Listing documents
66 Secretarial Statutory register
67 Secretarial AGM minute book
68 Secretarial BOD minute book
69 Secretarial Annual returns
70 Secretarial List of strategic alliances
71 Secretarial List of industry memberships
72 Secretarial Transfer pricing issues
73 Secretarial Critical corporate matter communications
74 Secretarial Key compliances
75 Secretarial Secretarial audit report
76 Secretarial Corporate policies across company
77 Secretarial Corporate goverance policy
78 Secretarial Past issues, rights, allotments
79 Secretarial New entity/change of legal form needed or not
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80 Registrations PAN
81 Registrations TAN
82 Registrations GSTN
83 Registrations Shop Act
84 Registrations IEC code
85 Registrations SSI/Udyog Adhar
86 Registrations PT Registration
87 Registrations PF Registration
88 Registrations List of licenses & permits for the sector/location by local,
state & central governments
89 Registrations List of licenses & permits for business by private
stakeholders, partners, industry bodies, clients
90 Registrations ISO certificate
91 Accounts Annual Reports
92 Accounts Tax audit reports
93 Accounts Financial statements with schedules - 5 yrs
94 Accounts Directors' reports
95 Accounts Interim period financial statements for current year
96 Accounts List of liabilities & redemption schedule
97 Accounts List of creditors and dues as of the date
98 Accounts List of debtors and amounts as of the date
99 Accounts Investment documents
100 Accounts Valuation report of financial securtities
101 Accounts Cash flow statements
102 Accounts List of assets, etc with liens
103 Accounts List of fixed & variable costs
104 Accounts List of direct & indirect costs
105 Accounts Compuation & allocation of overheads
106 Accounts List of off-BS liabilities
107 Accounts Working capital requirement for various capacities &
configurations of plant
108 Accounts Cost & margin built-up
109 Accounts Cash conversion cycle length
110 Accounts Contribution by each product
111 Accounts Internal audit report
112 Accounts Statutory audit reports
113 Accounts List of required capital expenditures and investments
with time
114 Accounts Budget
115 Accounts Accounting data by business vertical
116 Accounts Accounting data by product
117 Accounts Accounting data by market geography
118 Accounts Cost accounting report
119 Accounts List of all provisions & contingencies
120 Accounts Adopted accounting standards
121 Accounts List of Provisions & claims
122 Accounts Financial policies
123 Accounts Dividend policy
124 Accounts Upcoming major capital expenses
125 Accounts Accuracy of future projections
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126 Accounts Compatibility audit

127 Accounts Credit rating of company, issues
128 Accounts CIBIL Scores of promoters
129 Accounts Reconciliation audit
130 Financing List of current accounts, other bank accounts
131 Financing Capital structure
132 Financing Long-term loan agreements with banks, NBFCs, other
institutions
133 Financing List of loans from promoters, directors, shareholders,
employees, etc
134 Financing List of letters of credit issued, bank guarantees
135 Financing Intercorporate debts
136 Financing Corporate bonds, other debt securities
137 Financing Preference capital, other hybrid instruments
138 Financing Details of mortgages, deeds of trust,
139 Financing Security agreements, mortguages, deeds of trust,
corporate guarantees, personal guarantees
140 Financing IPO, listing details
141 Financing Other individual or institutional equity
142 Financing FDI & ECB, FC Bonds
143 Financing Mergers & acquisitions
144 Financing Grants, schemes availed
145 Financing Export incentives
146 Financing Mortguage property valuation report
147 Financing Supplier credit
148 Financing Working capital - LT loan
149 Financing CC, OD limits & utilizations
150 Financing Debentures issued
151 Financing Unsecured loans
152 Financing Project finance
153 Financing Asset sale or slump sale
154 Financing Bank statements
155 Financing List of investments by company
156 Financing Lien on shares for corporate loans
157 Taxes Applicable local taxes
158 Taxes GST returns, accumulated GST credit
159 Taxes Income tax returns
160 Taxes Customs duty documents
161 Taxes Dividend distribution tax
162 Taxes Capital gains taxes on investments
163 Taxes Applicable international tax framework
164 Taxes Computation of MAT credit
165 Taxes Computation of all outstanding tax liabilities
166 Taxes Computation of net GST ITC
167 Taxes Computation of loss carries forward
168 Taxes Notices by tax departments
169 Taxes Tax paid on investments
170 Taxes Tax audit reports
171 Taxes Settlement documents for tax issues
172 Taxes List of tax incentives
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173 Taxes List of legacy tax issues before GST

174 Taxes List of related party transactions
175 Insurance Directors liability insurance document
176 Insurance List of umbrella insurance policies
177 Insurance Vehicle insurance documents
178 Insurance Employee liability insurance
179 Insurance General liability insurance
180 Insurance Medical insurance documents
181 Insurance Intellectual property insurance
182 Insurance Worker’s compensation insurance
183 Insurance P&M insurance
184 Insurance Property insurance
185 Insurance Goods insurance
186 Insurance Computation of overall insurance payments
187 Turnaround Reason statement for financial distress
188 Turnaround Viability report for equity investment
189 Turnaround NPA documentation
190 Turnaround OTS amount
191 Turnaround NCLT communications
192 Turnaround Schedule of SARFAESI/DRT/Court/CIRP process
193 Turnaround Powers of BOD to take actions
194 Turnaround List of major write-offs
195 Turnaround Resolution plan
196 Turnaround Significance of promoter's face in business
197 Turnaround Accumulated losses
198 Marketing List of products & services
199 Marketing Market study report with market share of company
200 Marketing Market survey report
201 Marketing Demand & affordability survey
202 Marketing Revenue break-up by product customer & trends
203 Marketing Revenue break-up by month
204 Marketing Revenue projections
205 Marketing List of top customers and revenue share
206 Marketing CRM software
207 Marketing List of key customers lost & reasons
208 Marketing T&C conditions of sale
209 Marketing Customer database
210 Marketing Order book
211 Marketing Lead book
212 Marketing Current backlog by customer
213 Marketing Tender eligibility
214 Marketing List of BGs issued & amounts for tenders
215 Marketing List of business development forums
216 Marketing List of advertisement & promotion efforts
217 Marketing List of key growth drivers
218 Marketing Product warranty & guarantee documents
219 Marketing Database of salesforce
220 Marketing Sales performance incentive structure
221 Marketing Marketing & business development budget
222 Marketing Brand valuation report
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223 Marketing Cost & margin buid-up analysis

224 Marketing Pricing strategy
225 Marketing Price list
226 Marketing Purchase orders file
227 Marketing Product brochure, catalogue
228 Marketing Sales representative, distributor, and franchise
agreements
229 Marketing Press releases
230 Marketing List of key competitors
231 Marketing Substitute products & technologies
232 Marketing Competitor price list
233 Marketing Price elasticity of demand
234 Projects Plan, feasibility, DPR, etc of the existing project or initiatives

235 Projects Capex, TPC details

236 Projects Plan, feasibility, DPR, etc of the planned new project
237 Projects Investments to increase capacity to 100%
238 Projects List of plants & list of machines/fixed assets & balance
life
239 Projects List of tools, fixures, movable & other facilities & assets

240 Projects Major upcoming capex

241 Projects Fixed component of WC beyond break-even
242 Operations List of manufacturing capabilities
243 Operations Inventory reports R/M, WIP & FG
244 Operations Invetory turnover cycle for various products in months
245 Operations P&M valuation report
246 Operations Service contracts for operations/AMC
247 Operations Technology agreements
248 Operations Drawings
249 Operations Major capital asset purchase plan
250 Operations Use permits for assets
251 Operations Operational assets
252 Operations Industry standards for products
253 Operations Industry standards for processes
254 Operations Manufacturing tools & techniques
255 Operations Industry 4.0 initiaves
256 Operations Quality certifications
257 Operations Research and development activities
258 Operations Awards & recognitions
259 Procurement Supplier Contracts
260 Procurement Supply chain agreements
261 Procurement Procurement budget
262 Procurement Delegation of expending powers
263 Procurement List of key suppliers, sub-contractors, vendors
264 Procurement Cirtical & only suppliers list
265 Procurement Supplier service agreements and insurance coverage
266 Procurement Procurement policy document
267 Real Estate Deeds of trust or society for office complex
268 Real Estate Land survey details document
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269 Real Estate Non agricultural certificate

270 Real Estate Town planning document
271 Real Estate Sanction plan
272 Real Estate Conveyance deed
273 Real Estate Special or general POA
274 Real Estate Rights, Tenancy and crop inspection register (RTC)
275 Real Estate Katha certificate & extract
276 Real Estate Mutation register & extract
277 Real Estate Title search report
278 Real Estate NOC from Electricity Deptt/Pollution Control Board/Water
Works/ Air Port
279 Real Estate 8A Utara
280 Real Estate 7/12 Chain of documents
281 Real Estate Property tax payment receipt
282 Real Estate Agreement to sale
283 Real Estate Stamp duty challan
284 Real Estate Approval plan & building plan by MC
285 Real Estate EPC contract for construction
286 Real Estate Society registration
287 Real Estate Bills of water, electricity, phone
288 Real Estate Mortguage deed
289 Real Estate Sale deed
290 Real Estate Lease agreement
291 Real Estate Consent letter of owners
292 Real Estate Loan sanction letter
293 Real Estate Lease transfer agreement
294 Real Estate Hypothecation agreement
295 Real Estate Rental agreement
296 Real Estate Leave & license agreement
297 Real Estate Dist Magistrate Panchnama
298 Real Estate Possession Letter
299 Real Estate ROU & ROW agreements
300 Real Estate Access rights
301 Real Estate Real estate valuation report
302 Environment Certification of environmental compliance
303 Environment Environmental permits and licenses
304 Environment Environmental audits, reports
305 Environment Environmental litigation, claims, investigations
306 Environment Critical communications with authorities
307 Environment List of hazardous substances used in operations, etc
308 Environment List of environment sensitive products
309 Environment List of applicable environment laws & regulations
310 Environment List of cancelled licenses & permits
311 Contracts List of empowered authorities
312 Contracts Power of attorney agreements
313 Contracts EPC contract for project
314 Contracts Contracts with customers
315 Contracts Franchise agreements
316 Contracts License agreements
317 Contracts Trade agreements
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318 Contracts Contracts with suppliers

319 Contracts Distribution, sales agency, dealer, or advertising
agreements
320 Contracts Advertisement agreement
321 Contracts Equipment purchase contracts
322 Contracts Equipment lease contracts
323 Contracts MOUs
324 Contracts EPC, PPP, PMC, AMC contracts
325 Contracts Joint venture agreements
326 Contracts Amendments to contracts
327 IP List of patents & geographical validity
328 IP List of trademarks, copyrights
329 IP IP protection policies & documents
330 IP Trade secret documents
331 IP List of pending patent applications
332 IP List technical licenses given
333 IP List technical licenses obtained
334 IP IP valuation report
335 IP Liens on IP
336 Litigation List of applicable acts, regulations, notifications, orders
337 Litigation List of filed and pending litigations by & against
338 Litigation Computation of possible claims
339 Litigation Government (Tax, PF, TDS, IT, PT, etc) proceedings
340 Litigation Judgements of closed litigations
341 Litigation Matters in arbitration, mediation, conciliation
342 Litigation Cases of bribery, corruption
343 Litigation Court decrees, judgments, injunctions, or orders
344 Litigation List of blacklistings, suspensions & untimely terminations

345 Litigation List of criminal cases

346 HR Organization Chart for verticals & locations
347 HR List of related party employees
348 HR Director and key employee full compensation
349 HR Top management non-cash benefits
350 HR HR & administrative policy documents
351 HR Employee count, dynamics, composition, database
352 HR Contract employee count, dynamics, composition, data

353 HR Agreements for incentives for key employees

354 HR Important appointment letters & provisions
355 HR ESOP policy
356 HR Nondisclosure, non-competition, and non-solicitation
agreements
357 HR Human resource litigations
358 HR Time office & leave policies
359 HR Pensions, profit shares, bonuses, gratuity, retirement
benefits etc
360 HR Minimum wages compliance report
361 HR ESIC compliance report
362 HR Factories act compliance report
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363 HR Insurance compliance report

364 HR List of labor strikes in the past
365 HR Oustanding labor & management issues
366 HR Performance appraisal mechanism
367 IT Hardware & networking contract
368 IT List of bespoke software
369 IT List of standard software
370 IT Website & mobile app
371 IT ERP
372 IT List of IT assets
373 IT Specification of call centre, OCR, data centre, DRC
374 IT List of business databases
375 IT Social Media presence