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Commercial Due Diligence

Solutions For All Situations

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Who we are

RHT Forensics & Disputes Advisory (RHT FDA) is an

independent risk management consultancy specializing

in helping organizations manage integrity and

compliance risks issues in any environment.

The unique combination of our services, supported by

a vast network of strategic partners and alliances, gives

us expansive geographical reach to ensure clients

receive the best "in-time" bespoke solutions, effectively

solving their problems in the best way possible.

RHT FDA’s objective is to provide clients with

comprehensive and practical expert analysis,

strategic planning consultancy and in-depth

investigations all ground out expertly with an

excellent feel of the sensitive political issues in the

background.

Our team includes former prosecutors, law

enforcement officers, intelligence operatives and

accountants.

RHT Forensics & Disputes Advisory is a subsidiary of the RHT Group of Companies

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What we do

Corporate Intelligence

(Pre-Transaction)

Research / Field

Investigations

(Post Transaction)

Compliance / Awareness

Programs

• Commercial Due

Diligence, including

Pre-IPO screening

• M & A / Joint Venture Due

Diligence

• Private Equity Fund

Investment Appraisal

• Business Partner Review

• Key Hires Assessment /

Pre-employment Screening

• Employee Review /

Lifestyle Profiling

• Intellectual property

violations

• Corruption and corporate

sabotage research

• Financial Fraud Violations

• Forensic Accounting

• Insurance Fraud

• Asset Tracing

• Litigation Support

• Internal Investigation

Policies

• Anti-corruption programs

• Compliance Programs

• Corporate Protocols and

Procedures

• Fraud Awareness Training

• KYC / Partner Review

• AML Check

• Prevention and Protection

Advice

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Level 2 Includes all Level 1 checks and in addition,

intelligence collation, site visits and

assessments involving professional field

operatives, to provide deep search and

discreet inquiries to uncover undisclosed

information or activities that may be adverse to

the investment and stakeholders’ interests.

Level 1 Basic research on the company and its key

management staff using publicly available

information sources, in line with regulatory

compliance requirements

Understanding Commercial Due Diligence (CDD)

Common Objectives of CDD

• To verify integrity of Key

Management Staff

• To check veracity of significant

projects and targeted investments

• To check completeness and

accuracy of information given

• To authenticate all information

available

• To ascertain company’s viability

CDD will be carried out on a 2-Level Risk Based

Approach for all cases

BA

SIC

A

DV

AN

CE

D

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The CDD Process

8. Final report within 25 days

7. Interim report within 14 days

6. Red flags & risks discussed

5. CDD Level 2

1. Instructions from client

2. Analyze objectives & scope

3. Determine timelines

4. CDD Level 1

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Proprietary

Databases

Public Domain:

Newspapers etc

Internet &

Other Media

CDD Level 1

SCOPE & METHODOLOGY

Checks & Research

CDD Level 1 1. Understanding subjects & risks

2. Profiling subjects & identifying potential risks

On Company On Key Management Staff

• Corporate profile and background

checks: Structure, assets,

intellectual and other proprietary

interests and corporate details.

• Current investments and

activities.

• Adverse record and background

checks (Litigation & Insolvency

checks)

• Global compliance & regulatory

checks (Sanction & Watch List,

PEP)

• Personal background and

information (public domain)

• Adverse record (Litigation &

Insolvency checks)

• Other business involvements

or interests (directorships,

shareholdings, representative

etc)

• Global compliance & regulatory

checks (Sanction & Watch List,

PEP)

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Discreet Enquiries Intelligence Collation Site Visits & Observations Targeted Reviews

Using Networks, Industry

Contacts, & Sources (e.g.

employees, suppliers,

customers and competitors) to

check on Company for:

• Money laundering, terrorism

financing risks and other

Compliance issues

• Reputation & industry

standing, performance & track

record

• Corrupt practices, and

legitimacy of relationship with

key customers & suppliers

• Political affiliations and risks

• Regulatory breaches in past

transactions, in present

company or affiliated

companies

Using our vast network of

trusted contacts in local and

international government

agencies, police, business

consultants and advisors,

media and grass-root

leaders, to obtain

intelligence on:

• Links to organized crime or

criminal syndicates

• Questionable source of

wealth

• Undisclosed unethical

business practices, political

affiliations

• Undisclosed conflicting

business interests and

suspicious business

arrangements

Using our field operatives to

conduct physical visits and in

a covert and professional

manner:

• Check on addresses of office,

worksites and assets to confirm

accuracy of information

• Check on operations for

veracity

• Check on lifestyle or targeted

movements of key figures for

suspicious or criminal

associations

• Review Level 1 inputs upon

new inputs and discovery

from Level 2 operations.

• Identify red flags and risks

areas for further

assessments

• Consolidate findings after

critical assessment and

report to Client

CDD Level 2

SCOPE & METHODOLOGY

CDD Level 2 1. “Deeper dive” for more detailed enquiries, more focused review and acute assessments

2. Going beyond and further than the usual public domains in Level 1

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CDD Level 1 & 2

SCOPE SUMMARY

Level

1

Level

2 SCOPE / CHECK ITEMS

Profile / Background and historical Information of target company and key figures

Business interests of target company and key figures (check for conflicts of

interests for key figures)

Bankruptcies and insolvencies (present and past antecedents)

Civil litigations (present and pending, and also against associated and affiliated

companies, and subsidiaries)

Criminal antecedents

Regulatory breaches and enforcement actions

Adverse attention in newspapers and new media (internet etc)

Global Compliance Watch List and Sanctions Lists

Discreet enquiries (Field)

Business Intelligence Collation (Field & Desk)

Site visits & observations (Field)

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CDD Compliance check list

GLOBAL COMPLIANCE WATCH LIST AND SANCTIONS LISTS

Global Sanctions Lists

PEP (Politically Exposed Person)

Money Laundering

Financing of Terrorism

Wanted List (Interpol) – Fraud and other crimes

MAS (Monetary Authority of Singapore) and other local Financial watch lists

Regulatory Enforcement Watch Lists

Suspected Arms Trafficking Activities

Suspected Drug Trafficking Activities

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Professional FAQs Our Expertise | Timelines | Pricing

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Our Expertise

Huge network of ASEAN &

Asian cities

Sharp & Focused Probing

Veterans in intelligence, research &

investigations

Flexible, Bespoke & Well-crafted

Solutions

Integrity & Compliance

Based

Professional, Discreet &

Covert

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Timelines

Timelines & Reporting

• Mutual planning & discussion throughout to achieve targets and objectives

• First Interim Report in 14 days

• Complete & Final Report in 25 days

• Checks can be performed in stages or phases, e.g. priority focus on “At-Risk Subjects”

• Red flags & significant findings reported immediately when surfaced

• Continuous communications, e.g. email, phone or face meetings

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Pricing

Quotes are all

inclusive & covers

all searches,

expenses and

disbursements

No hidden costs or

additional charges

Covers everything

from start to final

report

Covers changes,

clarifications and

follow-up checks

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Office details

>

RHT Forensics & Disputes Advisory Pte. Ltd.

Six Battery Road

#10-01

Singapore 049909

Tel +65 6381 6333

Fax +65 6381 6869

www.rhtfda.com

Key Contact

Billy Huang

Consultant

+ 65 9221 1131

billy.huang@rhtfda.com

This presentation is intended for general information and to highlight issues. While we endeavour to ensure its accuracy and completeness, we do not represent nor warrant its accuracy

and completeness and are not liable for any loss or damage arising from any reliance thereon. It is not intended to apply to specific circumstances or to constitute legal advice.

RHT Forensics & Disputes Advisory Pte. Ltd is incorporated in Singapore (UEN No. 201611052E), and is a separate legal entity under the RHT Group of Companies. It is not an affiliate,

branch or subsidiary of RHTLaw Taylor Wessing LLP, which is a Singapore law practice separately registered as a limited liability law partnership in Singapore. RHT Forensics & Dispute

Advisory Pte. Ltd. is also not a Singapore law practice and is not authorised to provide legal advice.