Global: Enhanced Due Diligence – Financial Compliance

Organisations are legally obliged to meet regulatory compliance and anti-money laundering demands set by government rules and guidelines, prosecutors and legislation.

We deliver concise due diligence on businesses, vendors, agents, individuals, customers and other counterparties to satisfy these demands, so that our clients can operate with confidence.

Recent guidance released by the Financial Conduct Authority, Sarbanes-Oxley and the Securities and Exchange Commission all set out their expectations on effective compliance programmes.

We assist clients to undertake detailed risk assessments and implement tailored programmes in order to overcome their compliance challenges and to deter financial crime.

We provide due diligence services to all firms under the FCA’s supervision including entities providing consumer credit and now falling under the FSMA regime, in adhering to the FCA’s approved persons’ regime, Enhanced Due Diligence (EDD) requirements and other anti-corruption and anti-money laundering rules and guidance. More specifically, we assist Nominated Advisors, Corporate Finance and Private Equity companies acting for AIM and FTSE listed companies, with background checks and EDD on directors [and beneficial owners] as directed by the London Stock Exchange rules and regulations.