Assurance

Assurance

Background Checks & Executive Screening

Background checks into senior executives and new hires, entails rigorous interrogation and analysis of information gathered from a range of open sources, subscribed databases, press articles, company registries, court searches, public records and documents, as well social media platforms.

Our background screening covers multiple global jurisdictions and research is performed in various key languages.

Our team of Analysts and Associates interrogate the individual’s CV, application forms and corporate history specifically looking for adverse information and risk, including undisclosed red flags, conflicting findings, false or exaggerated statements and report these findings to the client.

Industry Insight:

We provide clients with an independent analysis of an applicant’s character and assess the appropriateness of their professional background by speaking with former colleagues, clients, senior management that worked with the applicant.

Enhanced Due Diligence (EDD)

When dealing with individuals or companies established in high-risk jurisdictions, or are exposed to other cases of high risk, organisations are required to apply Enhanced Due Diligence (EDD) measures to manage and mitigate those risks appropriately.

Organisations are required by anti-money-laundering directives, to assess, as far as reasonably possible, the background and purpose of all complex and unusually large transactions.  This also includes researching any unusual transaction patterns, which do not have any economic or lawful appearance.

In particular, organisations shall increase the degree and nature of monitoring of the business relationship, in order to determine whether those transactions or activities appear suspicious.

Our EDD goes above and beyond financial regulatory requirements as well as setting “good governance” in other industries.

How we can help:

  • We engage trusted local on-the-ground and human sources which provides an additional level of assurance that online sources cannot
  • We determine the subjects’ integrity, ability, reputation, and possible exposure to sanctions lists and litigation
  • Providing clients with accurate and detailed intelligence they can use to confidently make business decisions
  • Perform industry insight interviews in relation to senior executive hires or directors of listed companies; as well as listed companies themselves.
Regulatory Compliance (Financial Services)

Furnishing corporate investors and advisors with relevant background intelligence enables them to make sound investment decisions, whilst knowing their compliance and regulatory fears are protected.

Our analysis of new territories, emerging markets, ultimate beneficial owners, third-party risks, Enhanced Due Diligence (EDD) and on-going monitoring provides clients with a new standard of due diligence.

How we can help:

Our team provides due diligence services for clients regulated under the UK , USA, UAE and other internationally regulated financial market authorities, helping them with their required compliance.

We regularly assist Nominated Advisers, corporate finance brokers and private equity companies acting for clients on the AIM, FTSE, NYSE, NASDAQ, DFM, TMX and other international listed exchanges, with due diligence on domestic and international directors and beneficial owners; helping clients:

  • adhere to the UK’s FCA approved persons’ regime
  • implement Enhanced Due Diligence requirements
  • comply with the London Stock Exchange rules for AIM directors/shareholders
  • adopt anti-corruption and anti-money laundering rules and guidance
  • design and implement FCPA compliance programmes; and
  • undertake background checks for consumer credit organisations who fall under Financial Services and Markets Act 2000 regimes
Our Intelligence | Your Assurance