Useful Links



Example sources to consider when developing policy and procedure.

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Example risks to consider when selecting external providers.

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Example case-studies on the benefits of due diligence.

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Manage reputation risk
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Avoid rogue service providers
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The Data Protection Act 2018
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EU/US Privacy Shield
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Know your risk

Pre-employment check, supply chain review, due diligence and audit, all help to assess risk associated with potential (or existing) employees, suppliers and vendors, agents and intermediaries, transactions (and parties associated with them).  
Risk assessment could identify a material red-flag or risk which, if the relationship is to continue, may require risk-mitigation and monitoring to be implemented, to inform senior management risk-appetite.

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Adverse News

Definition
Negative or unfavorable information identified about a person ('A') or company ('B'), when entering into (or during the course of maintaining) a relationship with A or B.  
Rumour, reality and materiality
An assessment of reliability of the information source, as well as the nature and type of adverse content identified, will influence a firm's appetite for on-boarding, retaining or exiting a relationship. 
Direct and indirect risk
In addition to adverse information identified about A and B, it can be important to assess negative or unfavorable information identified in relation to other persons' linked to A or B.