Screening and Due Diligence

Kroll’s screening and due diligence solutions offer a cost-effective, high-quality, and programmatic approach towards assessing potential risks from new and existing customers, third parties, investments and partners.

We help clients onboard and manage the risks associated with new customers and third parties and ensure that we offer the right level of screening and due diligence solutions based on the risks inherent in the opportunity – from screening against sanctions and government watch lists to assess the reputation through review of public records and local human intelligence and source inquiries.

These solutions enable clients to take a risk-based approach towards a broad range of business needs: from supporting compliance with anti-money laundering (AML), know your customer (KYC), USA Patriot Act, Foreign Corrupt Practices Act (FCPA), and UK Bribery Act regulations, to identifying potential risk factors in the early stages of considering new business relationships and investments.

Compliance Screen 

This is the initial solution in Kroll’s full spectrum of screening and due diligence, often used as a way to screen high volumes of customers and third parties against sanctions and watch lists, but with human intelligence, rather than a pure automated solution. Our analysts conduct global compliance, watch list and sanction database checks and will identify corporate registration, if available. Unlike similar off-the-shelf data products, the Compliance Screen will help validate a subject's identity, minimize potential false positives, and include a brief analysis that will identify any potential risks and allow you to focus attention and resources in the right places.

Services Included

1 Business Day

Global compliance, watch list and sanction database checks.

Identify corporate registration, if available.

Brief analysis that will help you focus attention in the right places.

Red Flag Screen 

Building on the Compliance Screen, the Red Flag Screen includes a comprehensive search and analysis of online and print media in over 30 languages, including social media accounts and blogs. Analysts focus on identifying adverse and noteworthy risk-relevant information both in English and in the local language.

Services Included

4–7 Business Days

Global compliance, watch list and sanction database checks.

Identify corporate registration, if available.

Search of adverse media and internet research in English and in the local language.

Brief analysis that will help you focus attention in the right places.

Enhanced Red Flag Screen: Intended for specific high-interest jurisdictions, you may elect to add supplementary online research with emphasis on identifying potential key anti-corruption and anti-money laundering regulatory and litigation risks. Please contact Kroll for more information on the Enhanced Red Flag Screen and included jurisdictions. 

Public Record Review 

The next tier in Kroll’s spectrum of due diligence is the Public Record Review. In addition to government sanctions and watch lists screens, this report delivers a reputational assessment of a subject using information available in open source public records, including insight into the company and/or the individual’s history, reputation, and personal and professional background. The review includes regulatory records, litigation research — including civil, criminal and bankruptcy / insolvency records, identification of professional affiliations, confirmation of U.S. higher educational claims and assessment of professional licenses.

Services Included

710 Business Days

Global compliance, watch list and sanction database checks.

Identify corporate registration, if available.

Search of adverse media and internet research in English and in the local language.

Additional insight and analysis into the company and/or the individual's history, reputation, and personal and professional background.

Regulatory records, litigation research, identification of professional affiliations, confirmation of U.S. higher educational claims and assessment of professional licenses.

Brief analysis that will help you focus attention in the right places.

Reputational Review 

For clients taking on higher-risk customers and third parties, the Reputational Review offers an enhanced due diligence solution for clients. In addition to the open source review from the Public Records review, Kroll will provide local human intelligence and source work to validate the reputational risks identified within the public records research and additional services such as site-visits. This allows Kroll to provide the client with insight into a subject’s background and reputation, and to place any allegations into their proper context.

Services Included

1215 Business Days

Global compliance, watch list and sanction database checks.

Identify corporate registration, if available.

Search of adverse media and internet research in English and in the local language.

Additional insight and analysis into the company and/or the individual's history, reputation, and personal and professional background.

Regulatory records, litigation research, identification of professional affiliations, confirmation of U.S. higher educational claims and assessment of professional licenses.

Targeted local human intelligence and source inquiries to validate the risks identified within the public records research, assess reputation, and provide additional services such as site-visits.

Brief analysis that will help you focus attention in the right places.

The Reputational Review is recommended for clients taking on higher-risk accounts and partners.

Enhanced Public Record Review 

The Enhanced Public Record Review is an examination of databases and available online and on-site public records, courts and regulatory agencies. The result is a detailed, timely assessment of a company and/or individual. As with our other due diligence solutions, Kroll research directors and analysts are available for further dialogue if and when follow-up questions arise.

Services Included

1518 Business Days

Global compliance, watch list and sanction database checks.

Identify corporate registration, if available.

Search of adverse media and internet research in English and in the local language.

Additional insight and analysis into the company and/or the individual's history, reputation, and personal and professional background.

Regulatory records, litigation research, identification of professional affiliations, confirmation of U.S. higher educational claims and assessment of professional licenses.

Review of databases and available (online and on-site) public records, courts and regulatory agencies.

Expanded litigation research and on-site retrieval of physical documents for in-depth review and analysis of litigation pertaining to all entities, as well as individuals’ corporate affiliations

Brief analysis that will help you focus attention in the right places.

Investigative Due Diligence 

In addition to the programmatic solutions above, Kroll also provides an investigative due diligence solution for situations where clients need an iterative, consultative and more tailored answer to their due diligence needs. Leveraging Kroll’s unique investigative due diligence methodology, our investigative research teams that work on our complex internal fraud and litigation support matters, provide a broader analytical report that identifies and drills down on potential risk areas, customized to the unique situation and need of the client.