ComplianceAsia has assisted clients by

• Undertaking specialised background checking in relation to key individuals
• Conducting searches of a wide range of public sources and partially public sources including regulatory databases, English and local language media, company searches and industry journals
• Confirming educational qualifications and former employment and licensing details
• Obtaining a Certificate of No Criminal Conviction in certain countries if the subject of the inquiry requests it. We can process these applications if a client has obtained sign off from the individual they are inquiring into
• Conducting covert investigations into the background and reputations of key individuals through non-public sources including gathering intelligence from industry sources
• Investigating private banking clients and politically exposed persons

• Assessing the suitability of existing and potential distributors, counterparties, wealth managers, agents or employees
• Assessing the suitability of take-over targets, joint ventures or strategic partners
• Assessing the suitability of a direct investment target
• Verifying representations made to potential acquirers, venture capitalists and private equity investors
• Conducting deal related due diligence for corporate finance teams in relation to IPOs
• Assessing existing and potential distributors’ and counterparties adherence to anti-money laundering rules
• Considering anti money laundering and terrorist financing issues and the likelihood of a client or target being involved in organized crime

Please contact either Philippa Allen, Alex Duperouzel or Michelle Knight.