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Learn more about today’s most pressing corporate and regulatory challenges with our series of thought leadership white papers. Please contact us if you’d like more information about Kroll research or insights.

Trust, But Always Verify: Practical Advice for the Closely Held Business

Closely held businesses are keenly focused on the creation of significant wealth and operational success, dedicating significant effort and resources to growing revenue and market share. However, this focus may come at a price. These types of businesses succeed or fail based on the efforts of their principals, and their operational infrastructures are often a reflection of them.

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Does India's New Government Mean Business?

India is on the cusp of a new era after this spring’s extraordinary election results. Prime Minister Narendra Modi and the conservative Bharatiya Janata Party (BJP) won landslide victories, giving BJP an absolute majority in India’s parliament.We asked Managing Director Reshmi Khurana, head of Kroll’s India operations, and Senior Director Probal DasGupta, based in Mumbai, to put these recent developments into context in terms of both potential new opportunities and the risks companies need to overcome.

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Evolution of a Data Breach

In the information age, data is everywhere — it is a commodity to be held and bartered, it is a currency that fuels transactions between organizations, consumers and governments. Yet when a breach of individuals’ private information occurs, the characteristics of the data are treated as an afterthought. While an attempt may be made to determine what was lost or to utilize computer forensics to stop an active attack, minimal thought is given to matching an appropriate consumer remedy to the risk profile of the data breach.

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Proxy Contests and Corporate Control

Corporate Board Member®, a NYSE Euronext Company, sat down with Kroll Senior Managing Director Bob Brenner to talk about the many complex issues surrounding corporate contests, and what boards need to know ahead of time to ensure they are protected and have all the tools necessary for good decision making when shareholders come forward with demands.

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Supply Chain Due Diligence: Detecting Human Trafficking in Southeast Asia

Supply Chain Due Diligence: Detecting Human Trafficking in Southeast Asia speaks to the importance for businesses to thoroughly understand their supply chains in order to avoid becoming complicit in human trafficking.

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Kroll Speaks to Cyber Threats in Banking

Kroll information security expert Brian Lapidus is one of seven thought leaders featured in a new report from Longitude Research and SAS on the cyber threats facing the banking industry. “Cyberrisk in Banking” examines the financial industry’s greatest cyber vulnerabilities and opportunities with the ultimate goal of elevating what has traditionally been considered an IT issue to a risk management one.

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BVCA Guide to Private Equity & Venture Capital in the Middle East and Africa

Melvin Glapion, a Managing Director at Kroll, provides an overview of the key issues, opportunities and challenges of investing in MENA.

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Corporate Fraud: Stop History from Repeating Itself

We have all heard the adage about “history repeating itself.” Unfortunately, history keeps repeating itself in corporate fraud matters. Beginning in 2001 for instance, there were a series of massive corporate frauds in the United States that tainted business.

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Creating a Business Intelligence and Due Diligence Framework

It is fair to say that the relatively small number of companies have a business intelligence and due diligence model that really works, albeit we are being asked to support an increasing number of clients that are trying to do so.

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Due Diligence and the New Legal Climate in Brazil

Brazil is one of the hottest markets in Latin America, offering some of the highest returns on investment in the region. But those rewards do not come without political, economic, and legal risks.

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Due Diligence in Japan: Unlocking the Complex Business Culture and Inaccessibility of Information

In 2008, in an effort to root out pervasive organized crime and corruption in the Japanese financial sector, Japan’s Securities and Exchange Surveillance Commission compiled a watch list of hundreds of companies suspected of maintaining links to organized crime groups, or yakuza.

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Due Diligence in Russia: The Value of Experienced Analysis in the Absence of Reliable Sources of Information

The Russian media would appear to be trying to compensate for the country’s reputation for opacity, now publishing voluminous economic, political, and social information.

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Due Diligence in Tax Havens: Opportunities in a New Regulatory Climate

Offshore tax evasion was one of the topics discussed at the London G-20 summit on April 2, 2009. The global financial crisis has encouraged governments to put pressure on the offshore industry to fight the plague of tax evasion.

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How Well Do You Know Your Business Partners?

In today’s global marketplace, businesses often do not operate in just one region and with just one or two business partners.

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Inquiries into Past and Current Corporate Affiliations: Providing Insight into the Business Background of Corporate Executives

In September 2000, the online shopping site TheBigStore.com ceased business after only five months in operation. While the dot.com bubble may have contributed to the website’s downfall, a closer look at TheBigStore’s CEO, Robert J. McNulty, would have revealed a history of successes, but also several failures with previous online sites.

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International Due Diligence: U.S. vs. European Privacy Laws

At the end of June 2009, the U.K. government dropped a compulsory identity card (ID) trial and announced that British citizens would not be forced to carry ID cards.

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Leadership and Due Diligence: The Road to FCPA Compliance

U.S. President Dwight D. Eisenhower once said you do not lead by hitting people over the head—that’s assault, not leadership. The parallel might be made that the vast number of compliance laws and regulations will not alone cause businesses to be compliant with the Foreign Corrupt Practices Act (FCPA).

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Monitoring: One Method to Track Adverse Information Discovered During Due Diligence Inquiries

While due diligence investigations provide valuable information about the prior history of corporations and their high-ranking executives, an ongoing monitoring report provides companies with up-to-date information on the progress of pending litigation and investigations, which could jeopardize a pending transaction or current business relationship.

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“Not All Is As It Seems” —Know Your Business Partners in Asia

The continent of Asia represents some of the most attractive business and investment opportunities for U.S. and European companies in today’s international economy. This is especially true for the country of China.

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Political Risk and the Due Diligence Process

With the ever-increasing role played by emerging markets in the world economy, it is crucial that any globally competitive company has a firm grasp of not only the economic factors impacting its business, but political ones as well. In emerging markets, where political and legal institutions are often underdeveloped, “relational capital” plays a critical role in any business transaction.

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Professional Licensing Verification: Ensuring Proper Licensing Prior to Obtaining Professional Services

When seeking professional services from licensed individuals or firms, it is important to conduct proper due diligence research to determine that these individuals and firms are properly licensed to practice in the industry and jurisdiction in which they operate.

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Social Networking Websites and Blogs: New Dimension in Due Diligence Inquiries

A March 29, 2007, article published in The Plain Dealer details a recent college graduate applicant who withdrew his employment application due to pictures on his MySpace page. Researchers found what “looked like a 32-ounce glass of beer in his hands” and commentary on “how smashed he got at a recent party and references to the fact that they were smoking marijuana at the party.”

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The Continual Challenges of Due Diligence in the Middle East

In January 2009, the Saudi Arabian Ministry of Interior released a list of 85 designated terrorists of Saudi and Yemeni descent. The list, posted in both English and Arabic on the Ministry website, urged the designated individuals to return to their families and enroll in government-sponsored “rehabilitation” programs, while the Ministry enlisted the help of Interpol to locate and detain the listed subjects.

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The Continued Importance of Monitoring

Due diligence inquiries provide investors or business partners with valuable information necessary to make informed decisions related to potential business transactions or relationships. After due diligence inquiries have been conducted, investors or business partners may wish to initiate monitoring to ensure no information has changed to negatively affect ongoing relationships.

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The Foreign Corrupt Practices Act and the Need for Due Diligence

In 2007, corporate enforcement actions under the Foreign Corrupt Practices Act (FCPA) resulted in fines and penalties of more than US$130 million. In 2008, the FCPA enforcement actions related to Siemens, Inc. alone totaled almost US$1.6 billion.

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The Growing Trend of Social Networking Websites and the Continued Importance to Due Diligence Inquiries

Increasingly, employers and potential investors in a company are able to learn information about job applicants and individuals affiliated with a company through various online social networking websites. According to Pew Internet & American Life Project’s December 2008 tracking survey, 35 percent of all adult Internet users have a profile on a social networking website. Some of these websites, including Facebook and MySpace, have a more personal purpose, serving as a forum in which users share photos, comments, and personal information.

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Social Networking Websites and Blogs: New Dimension in Due Diligence Inquiries

A March 29, 2007, article published in The Plain Dealer details a recent college graduate applicant who withdrew his employment application due to pictures on his MySpace page. Researchers found what “looked like a 32-ounce glass of beer in his hands” and commentary on “how smashed he got at a recent party and references to the fact that they were smoking marijuana at the party.”

Continue Reading

The Continual Challenges of Due Diligence in the Middle East

In January 2009, the Saudi Arabian Ministry of Interior released a list of 85 designated terrorists of Saudi and Yemeni descent. The list, posted in both English and Arabic on the Ministry website, urged the designated individuals to return to their families and enroll in government-sponsored “rehabilitation” programs, while the Ministry enlisted the help of Interpol to locate and detain the listed subjects.

Continue Reading

The Continued Importance of Monitoring

Due diligence inquiries provide investors or business partners with valuable information necessary to make informed decisions related to potential business transactions or relationships. After due diligence inquiries have been conducted, investors or business partners may wish to initiate monitoring to ensure no information has changed to negatively affect ongoing relationships.

Continue Reading

The Foreign Corrupt Practices Act and the Need for Due Diligence

In 2007, corporate enforcement actions under the Foreign Corrupt Practices Act (FCPA) resulted in fines and penalties of more than US$130 million. In 2008, the FCPA enforcement actions related to Siemens, Inc. alone totaled almost US$1.6 billion.

Continue Reading

The Growing Trend of Social Networking Websites and the Continued Importance to Due Diligence Inquiries

Increasingly, employers and potential investors in a company are able to learn information about job applicants and individuals affiliated with a company through various online social networking websites. According to Pew Internet & American Life Project’s December 2008 tracking survey, 35 percent of all adult Internet users have a profile on a social networking website. Some of these websites, including Facebook and MySpace, have a more personal purpose, serving as a forum in which users share photos, comments, and personal information.

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The Importance of Civil Litigation in Due Diligence Inquiries

In the fallout from the infamous collapse of Enron, former company executives, including Kenneth Lay, Jeffrey Skilling, and Andrew Fastow, were criminally indicted for a broad range of financial crimes, including bank fraud, securities fraud, wire fraud, money laundering, conspiracy, and insider trading.

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The Importance of Regulatory Checks: The Italian Case

Italy continues to attract much attention on the due diligence front, not only for its world economic and business role, but also because of the risks associated with conducting business in certain areas of the country, where ties to organized crime and corruption continue to represent an endemic plague, affecting both the political and business environment.

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The Importance of Reviewing All Known Corporate Names

There are many legitimate reasons why a company would change its name. Better brand recognition, a merger/acquisition among companies, and a change in corporate focus can all lead to a name change. While a corporate name change does not signify prior problems, the fact remains that entities may decide to change names in an effort to hide from prior adverse circumstances.

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The Importance of SEC Filings in Due Diligence Inquiries

The U.S. Securities and Exchange Commission (SEC) was established in 1934 during a period in American history that was marked by the Great Depression. The SEC evolved out of the Securities Act of 1933 and the Securities Exchange Act of 1934 and was designed to restore investor confidence in the capital markets by providing investors and the markets with more reliable information and a clear set of rules for honest dealing.

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The Increasing Importance of Academic Credential Verification in a Tightening Economy

While it is always important to conduct a thorough background check into a potential executive before making a hiring decision, it is becoming ever more important as the economy tightens and investor confidence decreases. For years, headhunters and professional background screening consultants have been uncovering executive resume fraud, credential inflation, and misrepresentation of executive educational credentials.

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White Papers | Kroll Learn more about today’s most pressing corporate and regulatory challenges with our series of thought leadership white papers. Please contact us if you’d like more information about Kroll research or insights. White Papers, Kroll White Papers, Kroll Research and Insights