Sample client due diligence file (fictional)
A file you can put in front of an inspector
Client
Harbour Point Holdings Ltd (fictional)
Transaction
Purchase of a residential apartment by a company
Prepared for
A fictional estate agency
Client due diligence summary
Sample
Company details
Registered and active. Address and directors match the documents provided.
Complete
Beneficial owners
Two individuals identified. Ownership traced to both through the share register.
Complete
Sanctions screening
No match for the company or either owner.
No match
Politically exposed persons
One owner is a close associate of a politically exposed person.
Review
Adverse media
No relevant results in English or French.
No match
Source of funds
Bank statements and the sale agreement requested.
Evidence requested
Risk rating and Recommendation
Risk rating
Higher. Enhanced due diligence applies.
Recommendation
Proceed only after senior sign-off and receipt of the source of funds evidence.
Fictional company and people. It shows the layout and level of detail of a file we return.