Investor Due Diligence Training Course

Participants can investigate ownership and integrity risks using a risk-based screening process.

• KYC customer due diligence requirements for corporate investors and intermediaries
• Beneficial ownership trees traced through nominees, trusts and layered entities
• Sanctions screening against UN, EU, OFAC and UK lists
• PEP and adverse-media findings assessed using source reliability and recency
• FATF risk-based approach applied to country, customer and transaction factors
• Escalation records distinguish suspicion, confirmed concern and unresolved information gaps

Participants can test whether an investor or partner supports the organisation's strategic objectives.

• Investment thesis tested against mandate, return targets, horizon and governance
• PESTLE and Porter's Five Forces assess market attractiveness and entry barriers
• Commercial references validate reputation, decision speed and post-close conduct
• Strategic-fit matrix compares capabilities, channels, geography and conflict risks
• Partner dependency assessed through concentration, exclusivity, switching costs and control
• Scenario analysis exposes downside cases, competing bids and failed approvals

Participants can assess whether an investor has credible, sustainable capacity to fund commitments.

• Audited financial statements reconciled to management accounts and cash movements
• Quality-of-earnings review separates recurring performance from exceptional items
• Liquidity analysis tests cash availability, debt maturities and covenant headroom
• Capital-source tracing identifies committed funds, conditions, restrictions and refinancing risk
• Ratio analysis covers profitability, solvency, coverage and working-capital discipline
• Three-statement model stress-tests investor capacity under adverse assumptions

Participants can assess valuation assumptions and identify economic rights affecting transaction value.

• Discounted cash flow assumptions challenged using market evidence and sensitivity ranges
• Comparable-company and precedent-transaction multiples tested for relevance and adjustments
• Valuation bridge reconciles enterprise value, equity value, debt and contingent consideration
• Term-sheet review identifies valuation, liquidation preference, dilution and control provisions
• Waterfall analysis models distributions across ordinary shares, preferences and convertibles
• Funding-round mechanics assess tranches, milestones, drawdown rights and dilution

Participants can identify legal, governance and authority issues that affect investor suitability.

• Corporate registry extracts confirm incorporation, authority, directors and filing history
• Constitutional documents reviewed for transfer restrictions, reserved matters and voting rights
• Shareholder agreements tested for exit rights, deadlock mechanisms and information rights
• Board composition assessed for independence, conflicts, expertise and oversight capacity
• Related-party transactions examined for approvals, pricing and disclosure quality
• Litigation, regulatory actions and contractual disputes evaluated for transaction impact

Participants can assess non-financial risks that may affect performance, reputation and transaction viability.

• Operating model review tests management depth, controls, suppliers and key-person exposure
• Cybersecurity diligence examines incident history, access controls, recovery and third-party risk
• Intellectual property ownership verified through assignments, licences and infringement claims
• ESG materiality assessment identifies environmental, labour, safety and community exposures
• Human-rights and anti-bribery controls tested against policy, training and incidents
• Site-visit observations triangulated with documents, interviews and management representations

Participants can manage diligence evidence, interviews and issues through an auditable review process.

• Data-room index aligns requests, evidence status, reviewer comments and access permissions
• Document provenance tested through version control, metadata and independent confirmation
• Management interviews use funnel questioning, challenge logs and follow-up evidence
• Reference checks corroborate claims while respecting confidentiality and consent requirements
• Issue tracker assigns severity, owner, remediation, dependency and decision date
• Materiality thresholds determine sampling depth, specialist engagement and reporting priority

Participants can convert material diligence findings into practical transaction protections and monitoring controls.

• Risk register scores likelihood, impact, velocity, detectability and treatment ownership
• Risk-adjusted return compares expected value, downside exposure and mitigation cost
• Conditions precedent address unresolved approvals, information gaps and critical remediation
• Representations, warranties and indemnities allocate identified transaction risks
• Earn-outs, escrow and holdbacks protect value where evidence remains uncertain
• Post-investment monitoring triggers cover covenants, milestones, reporting and adverse events

Participants can present a clear approval recommendation and establish a focused monitoring plan.

• Diligence report separates verified facts, management assertions, assumptions and conclusions
• Executive decision paper presents recommendation, rationale, conditions and residual risks
• Red-amber-green dashboard communicates issue severity, evidence confidence and decision status
• Investment committee packs link findings to valuation, structure and approval limits
• Negotiation priorities convert findings into protections, pricing adjustments and governance rights
• First-100-day monitoring plan assigns reviews, indicators, escalation routes and owners