Financial services firms, professionals and investors are well advised to conduct a robust and well-documented due diligence review on investment they make,recommend or offer to their clients. Civil litigation, arbitration, complaints, settlements and FINRA and state enforcement actions point out the expanding importance of thorough due diligence, which is the best way to avoid fraud and major liability and to withstand regulatory scrutiny. Rob Moses has years of experience working with private securities offerings and can lead or support the process, adding valuable insight. Rob knows where to look and he can spot red flags and provide detailed, clear and concise information so that you can make informed investment and approval decisions and satisfy regulatory requirements in so doing. Investment Due Diligence includes:
- Asset Verification
- Background Checks
- Corporate Action Diligence Review
- Criminal History Review
- Disciplinary Review
- Entity Formation Diligence
- Key Document Review
- Key Personnel Review
- Legal Due Diligence
- License and Registration Review
- Operational Due Diligence
- Policies and Procedures Review
- Regulatory Compliance Reviews
