DIVER Underwriter2023-01-09T19:17:13-05:00

DIVER Underwriter

Efficient, comprehensive and cost-effective SEC Rule 15c2-12 Reasonable Diligence for all Negotiated and Competitive deals with key business tools in a single solution

Five-Year Lookback Analysis

Support SEC Rule 15c2-12 Reasonable Diligence requirements and OS preparation

Data, Ratings and Analyses

Audit, financial and operating data, ratings change and bond call analyses

Comprehensive Analysis

Includes summary, issue and CUSIP level results

Transparency

Full transparency to all documents and data used in the analyses

Business Tools

Debt and Obligor profiles, Bitvore News, deal file storage; configurable PDF reports for deal team and internal record keeping

Screenshot of DIVER Underwriter
DIVER Underwriter

Learn how this solution differentiates itself through the obligor database, reclassified MSRB filings, evidence of your ‘reasonable diligence’ and access to issuance history, OS/POS sources and all MSRB filings

What DIVER Underwriter can do for:

  • SEC Rule 15c2-12 Reasonable Diligence for New Issues
    • Five-year lookback analysis to support compliance requirements and preparation
    • Audit, Financial and Operating Data, ratings change and bond call analysis
  • Debt Profiles for All Obligors
    • All outstanding public debt and private placements with CUSIP’s
    • Excel export to evaluate issuer’s debt and different financing scenarios/identify refunding opportunities
  • Bitvore News
    • Obligor-focused news from thousands of sources
    • Source information for prospect/client meetings
  • SEC Rule 15c2-12  Disclosure Management
    • Five-Year Lookback Analysis to Support Compliance Requirements and OS preparation
    • Audit, Financial and Operating Data, Ratings Change and Bond Call Analysis
    • Comprehensive Analysis Includes Summary, Issue and Bond Level Results
    • On-Going Continuing Disclosure Management
    • Alerts for Rating Changes and Audit/Financial/Operating Data Filing Requirements
  • SEC Rule 15c2-12 Reasonable Diligence
    • Competitive and negotiated deals
    • Audit, Financial and Operating Data, ratings change and bond call analysis available
    • Summary, Issue and CUSIP Level Analysis
    • Select Depth and Breadth of Analysis
  • SEC Rule 15c2-12 Diligence and Disclosure Management
    • Five-year lookback analysis to support issuer’s regulatory obligations and OS preparation
    • On-going continuing disclosure management for your obligor client
  • Debt Profiles for All Obligors
    • All outstanding public debt and private placements with CUSIPs compiled for immediate use
    • Excel export to evaluate issuer’s debt and different financing scenarios/identify refunding opportunities
  • Bitvore News
    • Obligor-Focused News from Thousands of Sources
    • Source Information for Prospect/Client Meetings
  • Debt Profiles for All Obligors
    • All outstanding public debt and private placements with CUSIPs compiled for immediate use
    • Excel export to evaluate issuer’s debt and different financing scenarios/identify refunding opportunities
  • Bitvore News
    • Obligor-Focused News from Thousands of Sources
    • Source Information for Prospect/Client Meetings
  • SEC Rule 15c2-12 Reasonable Diligence for competitive deals and pay only on deals won

Resources

“The 15c2-12 analysis is the perfect tool to help us meet our reasonable diligence needs for negotiated and competitive deals. Lumesis takes a conservative approach when determining if obligations have been met, flags all exceptions and allows our team to make the final call with regard to materiality.”

– DIVER Underwriter Client

Frequently Asked Questions

What is the Extended Analysis in the Audit?2021-09-29T13:58:32-04:00

By checking the box for extended analysis, it will display additional information including Unaudited requirements and timing and additional Audit due dates, if applicable.

What is the Red Flag used for?2021-09-29T13:59:13-04:00

The red flag indicates that a filing was reviewed and considered invalid based on Lumesis’ conservative analysis of policies and procedures.

Are archived filings used in the analysis?2021-09-29T15:43:30-04:00

If a filing is archived, it cannot be included in the analysis as it is not an active filing.  Typically archived filings are replaced with new filings.

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