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Independent Due Diligence

CRC’s enterprise industry experts provide clients with Independent Due Diligence reports for Investment Banking Deals, Mergers and Acquisitions, Private Placements, Business Development Companies, and EB-5 transactions.

CRC Approach

In addition to our traditional compliance services, CRC provides clients with Independent Due Diligence reports for Investment Banking Deals, Mergers and Acquisitions, Private Placements, Business Development Companies, and EB-5 transactions. Our full-time, active Series 79-licensed analysts have an average of 20 years of experience analyzing investments across a broad range of industries.

Whether you are a broker dealer or investment advisor seeking due diligence and deep dive research on potential mergers, acquisitions and investments, or an issuer or potential issuer interested in engaging in transactions, or have been approached by potential suitors, we can offer the expertise and experience you’ll need.

The best way to mitigate risk? Hire the best advisors for your due diligence. Our analysts are ready to take on any of your due diligence projects to help provide answers to all your questions.

Compliance Services

Our support services include:

  • Thorough background checks on management teams, including professional history, criminal and civil background checks, education, financial industry records, regulatory authority records, and any blemishes or positive events.
  • Analysis of financial trends, including any concerns or areas that may impact valuation.
  • Deep dive on target company performance, including (but not limited to):
    • public filings
    • competitors
    • audit reports
    • outstanding litigation
    • operational controls
    • financial position
    • operating and industry trends
    • risk assessment
    • risk mitigation
    • any other relevant issues
  • Review of all data room information, including follow-up on areas with outstanding questions.
  • For those clients who want to keep current on specific industries or companies, we provide ongoing due diligence services.
  • Provide a full host of services for EB-5 transactions, following best practices as we:
    • Review each offering from investor perspective to determine “suitability”
    • Perform transactional and compliance due diligence; monitor offering documents for consistency and required disclosures
    • Provide issuer with policies and procedures
    • Manage the investor intake process

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What We Do

At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.
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