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Investor due diligence
John can help managers with each step of the process.
As a starting point, the operating model and controls environment need to be comprehensively documented.
Investors should be expected to conduct extensive due diligence on the operating model. Due diligence questionnaires (such as INREV are becoming more comprehsive. Third party verification of the operating model may be needed.
Annual verification through a "Type II" audit of controls environment gives investors confidence that the controls are being operated as prescribed.
Investors are paying much greater attention to the operating model and controls environment. Key points from an investor perspective are below.