03 — Diligence, Investigations & Compliance

Diligence calibrated to the decision.

Not every question demands the same depth. We scope diligence in three tiers — from fast, defensible screening to discreet human-source inquiry — and tell clients plainly which the matter requires. Every tier is conducted to an evidentiary standard and aligned to the compliance regimes our clients answer to — including the FCPA, the UK Bribery Act, and applicable AML and sanctions requirements.

01Evidentiary standard
02Sourced & corroborated
03Compliance-aligned
04Principal-led

We scope to the question, not to a template — and we say so plainly when a lighter tier is enough.

The Tiers — I / II / III

Three depths of inquiry.

ILevel I

Screening & Public Record

A fast, defensible baseline drawn from databases, registries, and watchlists. Sanctions and PEP screening, corporate records, court filings, and structured adverse-media review are run through a consistent methodology with every finding sourced, dated, and reviewable. Designed for volume without sacrificing rigour.

When to useCounterparty onboarding, KYC programmes, vendor and third-party intake, light-touch pre-engagement checks.

Scope

Global sanctions, PEP, and watchlist screening
Corporate registry and beneficial-ownership look-up
Litigation and regulatory filing review
Structured adverse-media scan (English + local language)
Identity and address verification
Risk classification against an agreed framework

Deliverables

Concise sourced report with risk flag
Underlying source pack on request
Audit-ready record for compliance files

IILevel II

Enhanced Diligence

A deeper examination of subjects whose footprint, history, or counterparty profile warrants more than a screen. We work across litigation and regulatory records, beneficial-ownership chains, political exposure, source-of-wealth indicators, and local-language media to test the picture the public record presents. Findings are corroborated across independent sources.

When to useMaterial transactions, joint ventures, investments, senior hires, and politically sensitive engagements.

Scope

Full beneficial-ownership and corporate-structure mapping
Litigation, regulatory, and enforcement history across jurisdictions
Source-of-wealth and source-of-funds indicators
Political, governmental, and family network analysis
Local-language media and trade-press review
Asset and lifestyle indicators where relevant
Cross-source corroboration and reliability grading

Deliverables

Narrative report with risk-rated assessment
Annotated source register
Executive briefing with counsel

IIILevel III

Discreet Inquiry

Where the record stops, human-source work begins. Through carefully cultivated networks of industry, regulatory, and regional sources — and disciplined reference work with those who have dealt with the subject directly — we develop a candid, corroborated account of conduct, character, and track record. Conducted discreetly, ethically, and to an evidentiary standard.

When to useHighest-stakes decisions: cornerstone investments, board appointments, sensitive partnerships, contested matters.

Scope

Targeted human-source inquiry across industry and regional networks
Structured references with former colleagues, counterparties, and regulators
Reputational profiling and stakeholder sentiment
Track-record verification of stated achievements and roles
Discreet field research in-country where required
Integration with Level I and II findings

Deliverables

Confidential principal-led briefing
Corroborated narrative with source reliability grading
Defensible written record where the matter requires one

The Practice — Three Service Lines

Connected disciplines, one standard.

Within diligence and investigations, our work spans three service lines — deployed alone or in combination as the matter requires, and always to an evidentiary standard. Where a matter proceeds to dispute, we provide litigation support and expert-witness testimony, with court-ready reporting.

Due Diligence

Establishing precisely who and what a client is dealing with — before capital, reputation, or access is committed.

Reputational Due Diligence
M&A Due Diligence
Screening & Red-Flag Detection
Corporate Records
Criminal & Civil Litigation
Local Media & Database Checks

Investigations

Resolving questions of conduct, recovery, or exposure — with findings that hold up in the boardroom and, where needed, in court.

Multi-Jurisdictional Investigations
Workplace Misconduct Investigations
Global Asset Tracing
IP Theft & Brand Protection
Litigation Support
Expert Witness & Testimony
Digital Forensics

Compliance

Equipping institutions to meet the standards their regulators, counsel, and investors expect — defensibly and at scale.

Know Your Customer (KYC) Checks
Employment Background Screening
Third-Party & Agent Screening
Anti-Money Laundering Assessments
Anti-Corruption Investigations (FCPA, UKBA)

Aligned to

FCPA
UK Bribery Act
AML / BSA
OFAC & UN Sanctions
GDPR / Data Protection
ABC Programs

Findings that hold — in the boardroom, in front of regulators, and in court.

Every engagement closes with a sourced, risk-rated, defensible record — and a clear recommendation on the timeline the decision requires.

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