We undertake risk analysis and due diligence investigations prior to acquisitions, joint ventures or investments. Ideally, we are engaged at an early stage before legal costs and other professional fees are incurred; as this will mitigate the impact if adverse legal, financial or operational issues come to light.
We provide detailed and cost-effective reports, prepared by a diverse team of specialists, to enable our clients to make informed commercial decisions.
We operate internationally and can provide the following information for a company or individual:
• Enhanced background.
• Financial profiling.
• Reputational screening, with a focus on red flags.
• Politically exposed person (PEP) checks.
• Litigation; historical and current.
• Regulatory and compliance.
Post transactional:
We can provide ongoing advice and monitoring assessments to ensure the effectiveness of regulatory compliance procedures.
This assures directors, shareholders and third-party stakeholders that constant monitoring is in place, helping to prevent exposure to potential corruption or internal fraud.
By identifying actual or potential occurrences of fraud, clients are able to act early to mitigate risk and avoid the reputational and financial cost of disputes such as:
• Involvement in litigation.
• Infringement of their intellectual property rights.
• A money laundering investigation.
Financial/EAM:
Matrix provides advice to independent investment firms, wealth advisors and External Asset Managers (EAMs), regarding the compliance issues associated with on-boarding new clients.
As EAMs are normally authorised by the Financial Conduct Authority (FCA), pursuant to the Markets in Financial Instruments Directive (MiFID), or the Alternative Investment Fund Managers Directive (AIFMD), the legislation for on-boarding new clients must be strictly adhered to.
Specifically, EAMs are required to have strict processes and procedures in place with respect to undertaking sufficient due diligence on their clients and/or investors. These procedures include:
• Formal know-your-client (KYC) processes.
• Verifying the source of client funds.
• Risk profiling.
• Implementing internal threat-matrixes.
• Adherence to anti-money laundering regulations.
• Suspicious transaction reporting.
The intelligence we provide enables EAMs and their partners to make well informed decisions about potential clients and assists with on-boarding procedures.
Enhanced Background Checks
Given the prevalence of CV misrepresentation, enhanced screening of candidates for Board Level positions is a non-discretionary activity. What candidates omit to state is often more revealing than what they rely on. Failure to do so can result in reputational damage, possible internal fraud and can ultimately have a serious adverse financial impact.
Checks we undertake include:
• Background screening.
• Media and online profile.
• Source enquiries on the subject and associated companies.
• PEP.
• Corporate affiliations.
• Criminal convictions and litigation history.
With an extensive network of sources, we can conduct national and international investigations.
