Preparing director and officer questionnaires manually is time-consuming and error-prone. Corporate counsel must research disclosure requirements, verify compliance standards, draft comprehensive sections covering conflicts, financial interests, and legal matters, then ensure all language meets regulatory standards—a process that typically takes 3-4 hours per questionnaire.
Preparing director and officer questionnaires manually is time-consuming and error-prone. Corporate counsel must research disclosure requirements, verify compliance standards, draft comprehensive sections covering conflicts, financial interests, and legal matters, then ensure all language meets regulatory standards—a process that typically takes 3-4 hours per questionnaire.
CaseMark automates the entire D&O questionnaire creation process by intelligently researching disclosure requirements, verifying compliance standards from authoritative sources, and generating comprehensive, legally sound questionnaires in minutes. The AI analyzes your uploaded corporate documents and applies best practices from bar associations and legal resources to produce ready-to-use governance documents.
This workflow is applicable across multiple practice areas and use cases
Public companies and regulated entities must collect comprehensive D&O questionnaires for SEC proxy statement disclosures, beneficial ownership reporting, and regulatory compliance filings.
Securities regulations require detailed director and officer disclosures about conflicts, related party transactions, and financial interests. This workflow directly supports Form 10-K, proxy statement preparation, and beneficial ownership compliance.
D&O questionnaires are critical due diligence documents in M&A transactions to identify potential liabilities, conflicts, and disclosure issues before closing.
Buyers routinely require comprehensive D&O questionnaires during due diligence to assess management integrity, identify undisclosed conflicts, and evaluate potential deal risks or representations and warranties issues.
VC and PE firms require portfolio companies to maintain current D&O questionnaires for fund compliance, investor reporting, and preparation for future financing rounds or exits.
Institutional investors mandate robust corporate governance including regular D&O questionnaires to protect their investments, satisfy fund compliance requirements, and ensure portfolio companies are exit-ready.
New corporations and entities need initial D&O questionnaires to establish baseline governance practices, document initial director/officer information, and implement compliance frameworks from inception.
Establishing proper corporate governance documentation at formation, including D&O questionnaires, helps new entities build strong compliance foundations and satisfy investor or lender governance requirements.
Nonprofit boards must collect D&O questionnaires to ensure IRS Form 990 compliance, document conflicts of interest policies, and maintain tax-exempt status through proper governance.
IRS regulations require nonprofits to have conflict of interest policies and document board member disclosures. D&O questionnaires are essential for Form 990 Schedule O reporting and demonstrating good governance practices.
CaseMark requires your corporate bylaws or governance documents to ensure compliance with your company's specific requirements. Optionally, you can upload previous questionnaires, director background information, or conflict policies to further customize the output. The AI will research standard disclosure requirements and best practices automatically.
CaseMark searches authoritative legal sources including bar associations, the American Bar Association, and official regulatory resources to verify disclosure requirements. The AI cites all sources and incorporates current best practices for conflict disclosures, financial reporting, and certification language to ensure your questionnaire meets governance standards.
Yes, CaseMark generates comprehensive questionnaires that can be tailored based on your uploaded governance documents and policies. The AI adapts sections for conflicts of interest, board positions, and financial disclosures to match your company's specific requirements while maintaining legal compliance.
CaseMark generates a complete, legally compliant D&O questionnaire in approximately 8 minutes. This includes researching disclosure requirements, verifying legal sources, and drafting all sections from personal information through certifications—a process that typically takes 3-4 hours manually.
The questionnaire includes eight comprehensive sections: Introduction and Purpose, Personal Information, Employment and Professional History, Board and Officer Positions, Conflicts of Interest, Legal and Regulatory Matters, Financial and Ownership Interests, and Certifications and Signatures. Each section is researched and drafted according to current legal standards.
Yes, CaseMark uses RAG (Retrieval-Augmented Generation) technology to search your uploaded documents for relevant facts about individuals, prior disclosures, and company-specific policies. This ensures consistency with your existing records and helps pre-populate questionnaire sections with accurate information.
Absolutely. CaseMark generates questionnaires suitable for onboarding new directors and officers as well as annual or periodic updates for existing board members and executives. The comprehensive format covers all necessary disclosure areas for any governance or compliance purpose.