Risk and compliance services

Overview

  • Success of any transaction or investment decision depends largely on the quality of investigation conducted prior to the decision.
  • As one of the premier global market research firms, Avalon Global Research aims to help all its clients with tangible results that support business strategy and sustainable growth.AGR’s Risk and Compliance research, through detailed investigation of
    the target company and its promoters helps provide the context and information necessary for making informed decisions.
Market research on Risk and compliance services

Solutions

Background Check

Background Check in Risk and compliance services

Validation of background information contributes to the success or failure of a transaction. Our in-depth background research focuses on gathering business information about the company and its promoters by checking all aspects of company’s operations to ensure its authenticity and correctness in reporting.

Reputation Check

Reputation Check in Risk and compliance services

AGR’s reputation checks and verification services offers our clients a quick snapshot of the authenticity of the various firms and individuals in the business ecosystem. We assess the Reputation, Capabilities, Behavior Patterns, Integrity, Strengths, Weakness of Individuals, Close Associates and Associations, Political Exposure, Past Records including Legal and Crime Records.

Operational Due Diligence

Operational Due Diligence for Risk and compliance services

Be it for evaluating acquisition or partnership, it is important to unearth the realistic operational practices system and governance standards followed by the company. We analyze the company’s relationship with key people, supply chain and distribution partners, to judge the integrity of management and quality of product using discreet approach.

Investigative Checks

Investigative Checks in Risk and compliance services

AGR offers investigative checks on specific aspects of the company, individual, or a process. We gather evidences by close monitoring of the target and check on documents to identify irregularities or non-conformance to set processes which are used as inputs to refine processes or as supporting evidences to initiate proceedings.

Infringement Research

Infringement Research for Risk and compliance services

AGR conducts detailed search on IP records to look for possible infringements to protect the right of copyright /patent holders and also guide new inventors to proceed for patent applications by conducting prior art searches. Patent analysis also help in identifying white space opportunities.

Regulatory Search

Regulatory Search for Risk and compliance services

We also help domestic firms and overseas firms looking to export to another country by closely studying the Regulatory Structure, Requirements and Statutory Needs to ensure compliance and hassle free market entry.

Assignment Examples

Background Check

Conducted background check and operational due diligence on a South India based food processing company to facilitate stake acquisition by a Japanese food major

Background Check for Risk and compliance services

Operational Due Diligence

Initiated integrity check, operational capability and distribution due diligence on a leading air conditioner manufacturer in India on behalf of its overseas partner

Operational Due Diligence for Risk and compliance services

Process Compliance Check

Conducted discreet check on process compliance and violation by
employees to evaluate system efficacy for a leading home mortgage financier

Process Compliance Check in Risk and compliance services

Regulatory Research

Studied regulatory process, market risks and suggested mitigation measures to support market entry decision of a global medical device maker

Regulatory Research in Risk and compliance services

Patent Analysis

AGR identified potential product development opportunities for a global chemical major by analysing patent activities, competitors’ footprints and end use market trends

Patent Analysis for Risk and compliance services

Reputation Check

Conducted a reputation check on the owners of the leading security services providing company prior to its partnership with the investment company

Reputation Check for Risk and compliance services

Investigative Checks

Conducted discreet check on process compliance and violation by employees to evaluate system efficacy for a leading home mortgage financier

Investigative Checks for Risk and compliance services

Infringement Research

AGR identified potential product development opportunities for a global chemical major by analysing patent activities, competitors’ footprints and end use market trends

Infringement Research for Risk and compliance services

Knowledge Center

CASE STUDIES:

Case study on Background check to trace the financial transactions and worth of a realtor

Background check to trace the financial transactions and worth of a realtor

CHALLENGE

  • The client wanted to conduct a background check on the promoters of a reputed real estate major in Mumbai
  • Client wanted to understand the operations and networth of the promoters
  • TCorporate structure and governance was not transparent and cross holdings in subsidiaries and their role made the task complex

APPROACH & METHODOLOGY

  • The promoters had a clean image save for a few claims of fraud against the company. The company was charged only in one of these cases, while the others were just allegations
  • AGR scanned through all the regulatory filings of these companies to understand the role of subsidiaries, its holding structure, source of funding, ultimate beneficiaries and nature of transactions
  • Clear relationship tree and directorships and holdings were clearly mapped by tracing intra group transactions

VALUE DELIVERED

  • AGR advised the client on the modus operandi of subjects’ businesses and questionable role of subsidiaries in intra group financial transactions
  • The accounting practice and valuation methods were not in line with the accounting standards or ethical practices
  • Client was able to take informed decision based on the corporate governance practices unearthed by our research
Case study on Discreet check to test the process compliance and system strength

Discreet check to test the process compliance and system strength

CHALLENGE

  • A leading home mortgage financier was making strong growth in loan advances to home buyers
  • Surprised by strong growth, the client was keen to test the system efficacy and process compliance among employees to ensure growth is not at the cost of compliance
  • The check has to be done discreetly using real cases

APPROACH & METHODOLOGY

  • AGR studied the process and shortlisted various branches to conduct the discreet check
  • AGR arranged for dummy customers meeting the broad selection criteria, paid the required fees and requested them to go through the process of loan application and negotiation
  • AGR observed the customer loan process journey and how the employees handled certain disqualification criteria

VALUE DELIVERED

  • AGR gave feedback about outliers and violations at various stages of loan processing using actual experience
  • Our recommendations and inputs helped the client tighten their process and standard operating procedures
  • Risk identification and mitigation measures were put in place to ensure the business growth is not at the cost of high risk
Case study on Helping the buyer unmask the real decision maker in the target firm

Helped the buyer unmask the real decision maker in the target firm

CHALLENGE

  • A Japanese food major was keen to pick up stake in a leading ready to eat processed food brand in India
  • The brand was popular but off late has lost some of its sheen and edge in the market
  • There were no negative news about the firm in the public but buyer was keen to understand the real reason for the decline in a discreet manner

APPROACH & METHODOLOGY

  • AGR read through all public domain information to understand the business context and build the hypothesis
  • Interviewed all the stakeholders- retailers, distributors, customers, competitors and employees to understand the competitive strength and performance of the brand
  • Key insights from marketing people and distributors led us to employees in the corporate office
  • Employees in the corporate office revealed on the constant tussle between promoter family and professional management which led to operational and distribution weakness
  • Brand was unable to capitalise on its strength and was languishing due to lack of presence in certain market

VALUE DELIVERED

  • The client was able to take informed decision prior to investment as to who is the decision maker and who is causing trouble
  • The client also got clear view of how to revive the brand’s fortunes
autospare by risk and Compliance services

Background check of an Indian auto spare part manufacturing group prior to partnership with the Japanese entity

CHALLENGE

  • A Japanese auto components manufacturer wanted to establish its footprints in the Indian automobile market through partnership
  • The client wish to conduct a background check on the target family owned group which comprised of multiple independently operated companies. The client wished to understand the relationship between family group companies and its reputation in the market through discreet primary interviews

APPROACH & METHODOLOGY

  • AGR team conducted discreet interviews with the former and existing stakeholders to understand the exact structure of the company and relationship between the owners
  • AGR also interviewed close friends and partners to understand the relationship and decision tree of the family
  • Further, the team analysed the reputation of the company in the target segment along with the reputation of the owners by speaking to business stakeholders

VALUE DELIVERED

  • Post AGRs in depth investigation the client was assured of absence of any negative reports for the target company
  • The reasons behind the failed contracts of the target form help client take appropriate actions during the contact stage
  • The client was able to take informed decision and understand the magnitude of political risk and exposure of target entity
Reputation Checks by risk and Compliance services

Reputation check of a security solutions providing company prior to its acquisition

CHALLENGE

  • An international security solutions group was looking forward to join hands with an Indian venture
  • The group wished to conduct a reputation check on the company and its owner prior to the final business transaction

APPROACH & METHODOLOGY

  • The target company and its owner are prominent and politically connected figures. The client was keen to understand the negative associations and influences on links with political parties and past incidents if any with the target
  • AGR conducted an in depth reputation check on the owner through discreet checks with business stakeholders and employees
  • AGR also investigated the background and reasons behind specific contractual failure by the target firm

VALUE DELIVERED

  • Post AGRs in depth investigation the client was assured of absence of any negative reports for the target company
  • The reasons behind the failed contracts of the target form help client take appropriate actions during the contact stage
  • The client was able to take informed decision and understand the magnitude of political risk and exposure of target entity

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