1.	Initial Documents
Documents that must be retrieved from the company as soon as possible as part of the preliminary due diligence process in order to start examining the IPO's eligibility requirements in accordance with SEBI regulations and circulars, as well as the eligibility and listing requirements of stock exchanges.
2.	ROC Search of the Company: - 
Take/asked ROC search from the company since incorporation and working on past due diligence done by the company.
3.	Initial Site visit
Site visit to the company's location(s) in order to gain a business overview and understanding of the premises.
4.	Documents Checklist 
Providing initial SME-IPO documentation and information checklist for due diligences and vetting of information in the offer documents
5.	Financial Due Diligence documents 
•	Last three years Audited Financial Information Statements;
•	Last three years Tax audit report of Issuer Company, Group Companies, Subsidiary Company etc.
•	Last three years ITRs along with computation of Promoters, Issuer Company, Group Companies, Directors, Subsidiary Company etc.
In case of Partnership Firm/LLP, in addition to the above, please call for Partner’s capital accounts
Apart from these, other documents as require by an External professional agency for financial due diligence
	Also ask for preparing following topics:
•	Object working with Justification (if object is working capital)
•	Other Financial Information chapter
•	Management’s Discussion and Analysis of Financial Conditions
•	Risks pertaining to the financial chapters

6.	Government & statutory approvals and Litigation documents (legal)
•	Outstanding Tax Demands and efiling screenshot for Promoters, Issuer Company, Group Companies, Directors, Subsidiary Company; 
•	Government Approval certificates for functioning of business – as per the checklist enclosed and also part of IPO Checklist;
•	Documents related to Outstanding Litigations up till the date of filing of the offer document
•	CIBIL Report of Promoters, Directors, Issuer Company, Subsidiary company.
Apart from these, other documents as require by an External professional agency for Legal due diligences.
	Also ask for preparing following topics:
•	Outstanding Litigation and Material Developments
•	Government and Other Statutory Approvals
•	Key Industries Regulations and Policies
•	Risks pertaining to the Legal chapters

7.	Pre- IPO Secretarial Work (PCS)
To provide information with the company about pre-IPO secretarial activities to be carried and ensure that the same are completed before Due diligence.
•	Conversion of the LLP/partnership/ private limited to public limited company, as the case may be;
•	Composition of Board of Directors as per Section 149 of the Companies Act 2013, including appointment of Independent Directors and Woman Director;
•	Designating a Director as Managing Director (MD)/ Whole Time Director (WTD), as the circumstances deem fit; (Composition is 50% of executive and rest of are non-executive directors)
•	Appointment of Company Secretary and Chief Financial officer full time basis
•	Increase Share Capital of the Company;
•	Conversion of Unsecured Loan into Equity, if any;
•	Formation of various committee as per requirement
•	Inform to the Company about website requirement as per regulation
•	ISIN activation & dematerialisation process and ensure the shares should be dematerialised for all existing shareholders of the company 
•	Passing necessary resolution(s) and inform about basis requirements of secretarial records.   
Apart from these, other documents | information as require by Practicing Company Secretary  
8.	Appointment of Statutory auditor who holds Peer Review Certificate
Discuss with the company whether the company's auditors have peer review certification. If so, ensure that the necessary activities are carried out by him and also verify the validity of the peer review auditor's certificate. Otherwise, Company needs to be appointed a peer review auditor accordingly.
9.	Due Diligence
Due Diligence/Activities to be carried on receipt of IPO Checklist and litigation & government checklist documents.
•	Secretarial Due Diligence
•	Financial and Legal Due Diligence
•	Business Due Diligence

10.	Issuer’s site visit 
Visit Issuer’s premises to thoroughly understand business and also for prepare site visit report.
11.	Appoint below Intermediaries (IPO)
•	Appoint RTA;
•	Appoint Bankers to the Issue & Sponsor Bank;
•	Appoint Market Maker;
•	Appoint underwriter; and
•	Appoint Syndicate Members

12.	Prepare Agreements – Material Contracts
•	Offer/ Issue Agreement, as applicable;
•	Registrar Agreement;
•	Underwriting Agreement;
•	Share Escrow Agreement; Bankers to the Offer/Issue Agreement 
•	Depositories Tripartite agreement;
•	Syndicate Agreement; (to be executed in case of Book built Issue)
•	Market Making Agreement.

13.	Preparing and file DRHP/DP with the Stock Exchange and also share it with the SEBI: -
Share the DRHP/DP by email with the Exchange on whose SME platform the Company is requested to be listed, as well as with SEBI.