Recent Cases

We have acted on many different cases in an ever-changing landscape, we ensure we actively contribute to assisting our clients in delivering against their objectives.

Ethics Review

We have been recently instructed by an international business to perform an ethics review of their business. Our Ethics & Risk Director, Josh Cocklin is leading on the ethics review.

To do this, we agreed terms of reference and prepared a framework on which we’d assess the client firm. Thereafter, we performed our review by reviewing evidence submitted, conducting our review on the premises and interviewing client firm employees; we also reviewed various documents relating to governance. We also reviewed the supply chain to understand if any ethical risks were presented.¬†Once we have completed our enquiries, we provided our client with a report on our findings with a recommendation.

Ethics is an important aspect of all businesses and we will continue to work with clients in this area in all that we do.

Due Diligence Investigation

We have been recently instructed by a large high-value dealer based in London. Our instructions are to conduct reasonable and proportionate due diligence investigations into our clients customers as a bolt-on to the due diligence currently being performed by our client. The nature of our instructions were to investigate using all of the data that was available to us.

To do this, we conduct research into our clients customer in the first instance and setup a structured interview with that customer, having regard for the risks that we identify from examining and analysing an array of datasets. We then attend on our clients customers premises and conduct a structured interview by reference to the prior work.

Once we have completed our enquiries, we provide our client with a report on our findings with a recommendation, which our clients then consider as part of their due diligence procedures. Due diligence is becoming increasingly more important especially with the regulatory changes being experienced by various industries over the past 24 months.

Policy Advisory

We have recently been instructed by a large corporate to re-write their policies and procedures in respect of developing business relationships with new organisations and/or individuals; this includes both suppliers and customers. The purpose of this policy and procedure was to ensure that our client was able to obtain all of the relevant and necessary information in a consistent manner so that the information could be considered by decision makers.

We then developed a risk matrix that our clients could use so that when a new prospective customer and/or supplier prepared an application and risk criteria would be met, our client could take a view on the options available to them.

This has resulted in our client saving substantial time, develop a consistent approach and become risk aware. Our client is now confident that they are in a position to continue to trade and develop new relationships, having confidence that they have the best possible chance of making the right decision, for the right reasons.

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