HR and Governance Documentation for Investor Due Diligence

When a company raises funds or is acquired, the other side reviews its people and governance documentation. This page lists the kinds of documents commonly requested.

What reviewers commonly look at

• Signed offer and appointment letters, and consultant agreements.
• Policies on conduct, confidentiality, information security and data privacy.
• POSH policy, Internal Committee constitution and annual reports.
• Leave, attendance and working-hour policies.
• Acknowledgement forms showing policies were shared with employees.
• For governance: board-level policies such as related party transactions, vigil mechanism and risk management, as they apply to the company.

Why records matter

A policy helps only if there is evidence that it was adopted and communicated. Acknowledgement forms, committee minutes and checklists are the records that show this.

Preparing in advance

Organizing documents by employee lifecycle, and board-level policies by company type, makes the data room easier to assemble. Gaps become visible early, while there is time to address them.

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