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Due Diligence / Background Investigations...  
What can you expect from a due diligence report?  

  • University degree confirmation anywhere in the world
  • Credential verification (CPA, attorney, CFA, recognized professional organizations)
  • FINRA, NFA/CFTC, FSA, Hong Kong Securities and Futures Commission, ASIC, regulatory bodies domestic to the subject’s base of operations
  • In the US – court filings at the federal and state level, real estate ownership
  • Corporate affiliations
  • Global media research

Applying the proverbial “ounce of prevention now” can avoid getting into troublesome situations in the future.  A due diligence report from Financial Investigations is the best and cheapest insurance against potential perpetrators of fraud available.  It has been shown that no regulatory body such as the SEC or FINRA can weed out every bad apple. Nor can Financial Investigations.  Our performance record demonstrates that we have been able to readily identify red flags in funds that eventually underperformed. Thus, our clients have avoided substantial losses.

Important Note... 
Hesitancy on the part of a subject to provide full and complete self-transparent data often is a red flag. For example, everyone is now familiar with Bernie Madoff's attitude of "How dare you challenge me" when investors queried him about the particulars of his operation. Forthright money managers in 2009 will certainly understand the need for transparency and the verification of their financial and ethical details.

Due diligence does not remove the responsibility of the investor to do his own checking that include, but are not limited to: the fund auditor (internal and external), NAV verifier, personally meeting the fund manager(s) and vaildating the physical existence of a credible office.