Due diligence websites to help you in your research

Posted by Andrew Borowiec on Jul 11, 2017 12:10:00 PM


Searching for particular due diligence websites covering a specific topic? Take a look at our list of links and research references below.

Alternative Investment Management Association Limited (AIMA)

The AIMA is the global representative of the alternative investment industry, with more than 1,900 corporate members in over 60 countries. They have a number of resources such as their Due Diligence Questionnaires and Cyber Security Resources that would be helpful to those performing due diligence.

Australian Securities and Investment Commission (ASIC)

If you're doing business in Australia, check out the ASIC website, particularly their Registers page, which gives you access to a number of Australian databases.

Cayman Islands Monetary Authority (CIMA)

The CIMA website is the website to look into if you have business in the Cayman Islands. We've compiled their most useful and relevant links here:

Commission de Surveillance Secteur Financier (CSSF) - Luxembourg

For those dealing with the Luxembourg financial sector, the CSSF website would definitely be helpful. Be sure to look into their Supervised Entities page for different documents that can be of use to you.

Financial Industry Regulatory Authority (FINRA)

Not-for-profit organization FINRA is authorized by Congress to protect America's investors by making sure the broker-dealer industry operates fairly and honestly. Take a look at their BrokerCheck tool, which allows you to research the background and experience of financial brokers, advisers and firms.

Financial Action Task Force (FATF)

The objectives of the FATF are to set standards and promote effective implementation of legal, regulatory and operational measures for combating money laundering, terrorist financing and other related threats to the integrity of the international financial system. This website is particularly useful for its different financial reports.

Financial Services Agency (FSA) - Japan

If you have assets in Japan, then the FSA website will be of great help to you. While you're browsing, be sure to check their list of licensed (registered) financial institutions.

Hong Kong Securities and Futures Commission (SFC)

The SFC of Hong Kong regulates Hong Kong's securities and future markets. If you're doing business in Hong Kong, check out their Public Register of Licensed Persons and Registered Institutions page to see a directory of associates or affiliates.

International Organization of Securities Commissions (IOSCO)

IOSCO is recognized as the global standard setter for the securities sector, developing, implementing and promoting adherence to internationally recognized standards for securities regulation. Browse through their publications, training, events, and research pages to get the most of what they can offer.

Managed Funds Association (MFA)

"The Voice of the Global Alternative Investment Industry", MFA enables hedge fund and managed futures firms in the alternative investment industry to participate in public policy discourse and share best practices and learn from peers. Their Industry Resources page is a great source of information about the alternative investment industry for policy makers, regulators, investors and the media.

Monetary Authority of Singapore (MAS)

For those with assets in Singapore, browsing the MAS website would definitely be helpful to you. Check out their Financial Institutions Directory to find a financial institution, license type, or activity in Singapore.

National Futures Association (NFA)

NFA strives to safeguard the integrity of the U.S. derivatives industry, providing innovative and effective regulatory programs to protect investors and ensure members meet their responsibilities. Take a look at their Background Affiliation Status Information Center (BASIC) to get important background information about firms and industry professionals in the derivatives industry.

Organization of Economic and Co-operative Development (OECD)

The OECD works with governments to understand what drives economic, social and environmental change, measures productivity and global flows of trade and investment, and analyzes and compares data to predict future trends. They produce reports on a number of topics, as the body that sets international standards on a wide range industries, from agriculture and tax to the safety of chemicals.

Ontario Securities Commission (OSC)

If you're doing business in Canada, specifically Ontario, the OSC website would be helpful in providing any compliance-related information. Their OSC Registrant Search, for example, serves as a directory for anyone selling securities, offering investment advice, or managing a mutual fund in Ontario.

Standards Board for Alternative Investments (SBAI)

Previously known as the Hedge Fund Standards Board (HFSB), the SBAI provides a powerful mechanism for creating a framework of transparency, integrity and good governance which improves how the alternative investment industry operates, facilitates investor due diligence and complements public policy.

U.S. Securities and Exchange Commission (SEC)

It would be close to impossible to do business without the SEC's resources. Here are some links you'll probably want to bookmark for future reference:

U.S. Commodity Futures Trading Commission (CTFC)

The CFTC aims to protect market users and their funds, consumers, and the public from fraud, manipulation, and abusive practices related to derivatives. Check out their Disciplinary History page where you can ensure your business' integrity through their search function.

U.K. Financial Conduct Authority (FCA)

The FCA aims to make financial markets work well so that consumers get a fair deal by protecting consumers, enhancing market integrity, and promoting competition. You can use the FCA Register to do the necessary background research on a firm you are using, or planing to do business with.

For more references, we at IMDDA have a library of helpful and original content as well. Feel free to browse our own blog where we cover a number of topics, or check out our resources page where we give you access to material of some of our past webinars.

If you're interested to learn more, you may also want to look into our event calendar:


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Tags: Alternative Investments, Due Diligence, Hedge Funds, Legal Due Diligence, Private Equity, Regulatory and Compliance

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