UK Due Diligence



A London based provider of integrity and due-diligence research services.
UK and international sources used to identify and develop intelligence on people, companies, assets and transactions.

Know who you are doing business with?

Identifying the presence of red-flags enables investors and senior management to be better informed to respond to the risk of fraud, bribery or other impropriety; which might otherwise impact an investment portfolio, business relationship, stakeholder confidence or business reputation.




Risk mitigation, when you need it...

Dedicated support
Desk-based analysis
Field-based research

Services

How we help clients

AML & Regulatory Compliance

Enhanced Due Diligence to manage client risk

Resource Screening

Pre-employment & key-person risk assessment

Associated Persons

Bribery and tax evasion risk-assessment

New counterparties

Pre-contract credential-check/validation

Confidentiality assured

As due diligence specialists we are accustomed to researching corporate and commercial transactions, including the people behind (or associated with) them, to identify the presence of any significant anomaly, red-flag, or unexplained lack of transparency; and which might indicate an increased risk to our clients.

What Regulators expect

Assess and respond to identifiable risk in relationships.

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Benefits of due-diligence

Examples of how clients use due diligence research findings

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Examples of Regulatory Drivers & Influences


Firms covered by the The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ('MLR'), are obliged to apply enhanced customer due diligence in specific situations, including (but not limited to): when a customer or the beneficial owner of a customer is — (a) a politically exposed person (a 'PEP'); or (b) a family member or a known close associate of a PEP.

Reviewer

Regulations 33 to 35


Effective due diligence procedures aid bribery risk assessment and mitigation.  Due diligence of specific prospective third party intermediaries could aid mitigate bribery risk. The significance of due diligence justifies its inclusion in anti-bribery guidance published by the Ministry of Justice (i.e. procedures organisations can put into place to prevent persons associated with them from bribing).

Reviewer

Bribery Act 2010


The Government considers that prevention procedures put in place by relevant bodies to prevent tax evasion from being committed on their behalf should be informed by six principles.  Principle 4 is: "The organisation applies due diligence procedures, taking an appropriate and risk based approach, in respect of persons who perform or will perform services on behalf of the organisation, in order to  mitigate identified risks."

Reviewer

Government guidance

Overview

Modular approach (examples) to meet client needs
Desktop

Background

  • Online media - Industry sources
  • Regulatory bodies / agencies
  • Adverse reporting / legal issues
  • Company affiliations
  • Property nexus 
  • Summary report of findings
Fieldwork

Proactive

  • Location visits
  • Meetings & Interviews
  • Targeted research
  • Liaise with client advisors
  • Reference validation
  • Detailed report of findings
International

Cross border

  • Associate network
  • Background research
  • Proactive development
  • Local language
  • Key profile enhancement
  • Reports of findings/outcomes