Due Diligence
Due Diligence Review Survey
A structured survey of onboarding evidence, client risk decisions and due diligence records that shows control discipline across KYC, KYB and beneficial ownership.
Overview
Due diligence records must be more than a collection of documents. They should show the logic of the risk decision, the evidence relied on, the approvals obtained and the monitoring trigger points that follow. This survey examines whether your CDD and EDD evidence meets that standard.
What we can review
- Client identity evidence and verification
- Corporate structure records and ownership charts
- Ultimate beneficial ownership (UBO) evidence
- Control and authority documentation
- KYC and KYB records completeness
- Client and matter risk ratings
- Jurisdiction and sector risk indicators
- Sanctions and PEP screening evidence
- Adverse-media review notes
- Source of funds and source of wealth indicators
- EDD approval and escalation records
- Ongoing monitoring triggers
- Retention and record consistency
Deliverables
What you receive
File quality summary
Evidence-quality assessment across sample
Missing evidence list
Gaps mapped by file and evidence type
RAG-rated review schedule
Prioritised findings by risk level
Approval and escalation observations
Control-ownership observations
Control improvement recommendations
Practical procedure improvements
Remediation tracker
Action tracker with owners and deadlines
Who it supports
Engagement safeguards
BlackCores & Partners provides review and administrative support. The firm remains responsible for its own due diligence decisions and regulatory compliance.
Services are provided subject to written scope, conflicts checks and independence considerations. Website information is general only and does not constitute legal, financial, tax, investment, insurance or regulatory advice.
What we do not do
- We do not provide legal opinion on due diligence sufficiency.
- We do not provide investment recommendations.
- We do not guarantee counterparty or bank acceptance.
- We do not guarantee that third-party screening data is complete or accurate.
- We do not provide regulated financial advice.
Common questions
Ready to start a due diligence survey?
Contact us to discuss scope, document requirements and deliverables. All engagements are confirmed in writing before work begins.