Compliance Due Diligence

Compliance Due Diligence

 

We help clients comply with regulations and protect their reputations with a range of compliance-focused due diligence products.

  • Integrity Due Diligence: anti-bribery and corruption reporting on suppliers, agents, and other third parties, for multinational businesses operating in emerging markets and other high-risk jurisdictions. Reports include detailed analysis of political connections, bribery and corruption record, adverse media, and track record. Relevant regulations: the UK Bribery Act 2010, the US Foreign Corrupt Practices Act of 1977, UK Modern Slavery Act 2015, Brazil’s 2013 Clean Companies Act, ISO 37001:2016 (ABC).
  • Enhanced Due Diligence: anti-money laundering (AML) and counter-terrorism financing (CTF) reporting on prospective and existing customers for a range of banks, institutions, and financial services businesses. Reports include assessments of source of wealth, politically exposed person status, reputation, and key associated parties. Relevant regulations: the US PATRIOT Act and the UK Money Laundering Regulations 2007, Hong Kong’s Guideline on Anti-Money Laundering and Counter-Terrorist Financing, or Switzerland’s Federal Act on Combating Money Laundering and Terrorist Financing (AMLA).
  • Background Checks: vetting and screening of applicants for businesses and governments to mitigate a range of concerns, from security to regulatory action to reputational damage. Reports include reference checks, document review, and detailed verification process.
  • Monitor: an adverse media, sanctions, and PEP monitoring service provided on the subjects of higher level reports commissioned. To protect their reputations and comply with regulations, organisations must stay informed about the businesses and people connected to them. S-RM Monitor gives organisations ongoing intelligence support that helps them respond quickly and effectively to events as they arise.