Main Training Topic

  • Investigation

Course Code

  • 06/TP/Inv/11

Training Type

  • Instructional Seminar
Upcoming Events

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Due Diligence

General: Asia has undergone drastic changes in recent times and is now home to some of the world’s major financial centers, one of which is Singapore. While these developments have played a key role in the tremendous economic growth and advancement that this region has witnessed, there is also a downside: this explosion in financial services and related infrastructure has also provided ample opportunities for criminals, terrorists, and other deviants to abuse the system and to commit crimes. Fortunately, governments and private sector leaders in Asia have been quick to recognize this reality and have taken steps to put adequate safeguards in place. However, in order for these safeguards to be effective, financial professionals and other practitioners must possess a thorough understanding of the field of due diligence and where the field is going.


Goals of the Course: This course will provide students with the most cutting edge methods of due diligence investigation available. Students will leave the class with a more thorough, broad-based understanding of the field and its role in combating the abuse of the financial system and other criminal behavior.

Performing Due Diligence for Regulatory Purposes and Internal ControlThis block will provide students with the most up to date instruction on this important topic. Students will receive instruction on the most recent law and practices, such as Sarbanes-Oxley, the Patriot Act, and OECD-driven regulatory conventions. Students will also learn how to identify relationships with politically and financially exposed persons and business relationships with any entity or person found published on a prohibited list. Education and employment verification, regulatory compliance history, investment performance and reference checks to ascertain reputation, character, and ability to manage risk will also be discussed.


Due Diligence for Anti-Money Laundering and Anti-Fraud

This session will provide in-depth analysis of money laundering and fraud that draws extensively upon case studies, criminological research, as well as personal experience. Students will learn key methods used by criminals as well as the most effective means to counter-act them. Identifying key indicators and learning when to move in on the suspected account will be two themes that will constantly be stressed throughout the course of this lesson. Students should leave this session not only with a solid understanding of the leading investigative practices, but also the modus operandi of the criminals who seek to circumvent anti-money laundering and anti-fraud measures.


Due Diligence for Background Screening

This section will look at two sub-disciplines of background screening: pre-employment screening as well as screening for potential business partners and companies. This lesson will comprise of case studies as well as personal examples. Students will be taught best practices in both sub-disciplines and will be shown how to conduct these kinds of investigations that often are international in nature and involve multiple regulatory frameworks and legal systems. In addition, students will receive instruction in how fraudulent businessmen and other criminals attempt to frustrate investigations of their activity. This will enable students to be conscious of these methods in their own future investigations to avoid falling into any kind of pitfalls.

While open to all members of the concerned public, this course will be of particular benefit to professionals working in due diligence, corporate investigations, compliance, and other related fields in both the private and public sector. This course could also be of interest to investigators in the police as responses to these kinds of challenges need to be comprehensive and coordinated effectively between government and the financial institutions.

  • Interactive learning and active class participation
  • In-depth discussion of listed topics
  • Case studies and videos
  • Class exercises
  • Question and answer sessions


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September 18, 2019
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