Due Diligence & Client Risk Assessment Toolkit

  • Comply with MLR rules
  • Client Risk Assessment
  • Compliant Onboarding Processes
  • Customisable & Easy to Use
  • Instant Download After Payment

£65.00 (ex vat)

Our extensive Due Diligence & Client Risk Assessment Toolkit provides easy to use, customisable policies, 5 x questionnaires and a checklist for a complete Know Your Customer (KYC) approach. Most organisations have obligations to perform due diligence on customers, suppliers and employees. Our comprehensive templates accelerate your due diligence compliance, saving you time and money. With comprehensive client (corporate and indvidual) onboarding templates and client risk assessments, this toolkit helps you to meet your Money Laundering Regulations obligations.

If you would like to implement compliant Anti-Money Laundering policies and controls alongside your due diligence obligations, our AML & Due Diligence Toolkit contains 30+ templates for a complete financial crime and know your customer compliance program.

About the Due Diligence & Client Risk Assessment Toolkit

Due Diligence is the foundation of many regulations and laws that expect firms to Know Your Compliance Templatesverify, identify and assess those with whom they form a working relationship. The templates in this pack have been developed by experts and cover the mandatory due diligence requirements. The included checklist contains 60+ assessment questions to quickly identify any gaps in your compliance processes.

For those with obligations under the Money Laundering Regulations or FCA Handbook, due diligence is a legal requirement. These templates are suitable for any business type and can be customised to include your processes. The onboarding questionnaires include risk assessment questions to identify high-risk clients and additional enhanced due diligence criteria.

  • Essential business documents to effectively manage your due diligence and KYC obligations and processes.
  • Includes 5 x questionnaires for verification and assessment of suppliers, employees, customers and businesses.
  • Corporate & individual client onboarding templates with client risk assessment tools built-in.
  • Use the 60+ question self assessment checklist to identify gaps in your due diligence compliance.
  • The 16-page due diligence policy template is fully customisable, but also contains ready-to-use content so that you do not have to draft your policy from scratch.

Affordability & Creditworthiness Policy Template IconManage the Risks

Compliant and comprehensive due diligence procedures are an essential business function. Manage your risks with our ready-to-use templates.

Affordability & Creditworthiness Policy Template IconIdentify & Evidence

Use our professional, compliant due diligence questionnaires to identify who your are doing business with and evidence your compliance.

A Name You Can Trust

Market Leading ComplianceOur team have been developing regulatory templates for 20+ years. We are one of the UK’s leading compliance template providers, with our compliant, professional documents being trusted by thousands of businesses.

Cost Effective Compliance

Cost Effective ComplianceOur customers range from multi-national organisations and public bodies, through to sole traders. We keep our prices low so that our products are affordable for everyone. Quality you can trust at prices you can afford!

WHY CHOOSE US?

  • Our templates & toolkits are used by 6000+ organisations
  • Market leading documents & policies
  • Customisable, easy to use formats
  • Affordable and cost effective
  • Developed by experts
  • Compliant, professional content
  • Suitable for all business types
  • Support when you need it most

Customisable and available for instant download after payment. Includes:

  • Template Customisation Guidance
  • 16-page Due Diligence Policy Template
  • Onboarding Corporate Client Questionnaire & Risk Assessment Template
  • Supplier Due Diligence Questionnaire
  • Employee Verification & Background Questionnaire
  • Onboarding Individual Client Questionnaire & Risk Assessment Template
  • Questionnaire for Enhanced Supplier Due Diligence
  • 60+ Question Due Diligence Checklist
  • Policy Statement
  • Purpose & Scope
  • What is Due Diligence?
  • Customer Due Diligence
  • Supplier & Third-Party Due Diligence
  • Employee Due Diligence
  • Objectives
  • Due Diligence Processes
  • Verification
  • Identification
  • Business/Supplier Onbaording
  • Discrepancies in Registers
  • Know Your Customer Controls
  • Enhanced Due Diligence
  • Existing Customer Due Diligence
  • Employee Verification and Screening
  • Due Diligence Audits
  • Due Diligence Questionnaires
  • Tax Evasion
  • Responsibilities

Questionnaire Criteria Covered:

  • Personal Details
  • Director Information
  • Compliance Requirements
  • Verification & Identify Evidence
  • Employment History
  • Background Searches & Checks
  • Beneficial Owners
  • Enhanced Due Diligence
  • Client Risk Assessment Questions

Frequently Asked Questions...

Can The Documents be Customised?

All toolkit templates and training materials have been developed using the latest version of Microsoft Office. Word, Excel and Poweroint are universally compatible with a large number of document editing software, including OpenOffice and GoogleDocs.

All templates and training materials can be corporate branded and are fully customisable. The documents also come with detailed guidance on how to use Microsoft Office to edit the templates and insert your own content where applicable.

What Format are the Documents in?

All documents and materials in the been developed using the latest version of Microsoft Office. The document toolkit uses Word for the policy templates, with some of the checklists and registers being in an Excel format. All templates are fully customisable with detailed guidance on editing.

Are the Documents Suitable for my Business?

Our templates are suitable for any industry and business type and we have hundreds of different sectirs using our policies and toolkits. The content in our templates has been developed using the relevant standards, regulations and legislation. We utilise the latest and most up-to-date guidance to supplement the policies and procedures.

We encourage you to customise the content to suit your sector and obligations and provide guidance where you are required to add your own content. However, much of the content in our templates is also ready-to-use in accordance with the generic requirements in each area.

Are the Templates an 'Off the Shelf' Solution?

Every business is different and compliance documents need to reflect that. Whilst our templates and toolkits go a long way toward making you compliant, many of our documents do require some customisation to ensure that they are relevant to you. Our templates provide a strong foundation on which to build your compliance framework. Our extensive template content coupled with your customisations will ensure that you are compliant with the relevant legislation, codes of conduct, standards or regulations

It is important that each policy and procedure accurately reflects exactly what your business does and how it does it. The level of customisation required for each document will depend upon factors such as your size, scope and current compliance program. However, we are always on hand to answer any questions you may have and provide unlimited email support.

How Can I Access My Order?

All materials and templates are available to download immediately after purchase via the website. Once you have completed your payment online, you will be redirected to our order page where you can download your ordered document(s). We also send you an automated confirmation email which contains a copy of your download link.

If you have chosen to make payment by BACS, your order will be placved on hold until we have confirmed receipt of your payment. Once your payment has been verified, we will process your order and send you an automated confirmation email which contains your download link. Our Accounts Team will email you a copy of your VAT receipt after the order has been processed.

Please ensure that you add our email address to your contacts lists and that your email server accepts incoming download links.

Why Should I Buy From Know Your Compliance Limited

At Know Your Compliance Limited we are passionate about regulatory compliance! Our team has over 20 years experience and expertise in regulatory compliance and policy development. Serving a wide range of industries and business types, over 6000 organisations already use our templates and toolkits. We have delivered professional, compliant templates to hundreds of industries; including accountants, tax advisors, education and healthcare sectors, the NHS, Government departments, finance and credit, recruitment, charities, banks, estate agents and thousands of SME’s and sole traders.many more.

We offer a large library of templates for regulatory policies, procedures, checklists, toolkits, manuals and training packages. Utilising Microsoft Office for compatibility and easy customisation, we provide editing and usage guidance with all templates. When paying by credit/debit card, all documents are available to download instantly and come with the first annual update included in the price.

Do You Offer Refunds?

As our materials, packages and templates are downloaded digitally, they cannot be physically returned once purchased. For this reason we do not offer any refunds, however we do provide extensive information about each product on the relevant product page so that you know what you are getting before you buy. Please refer to our Terms and Conditions for further information.

If you have any questions about our templates, toolkits or training materials before or after purchase, please contact us at info@knowyourcompliance.com and we will be only too happy to assist you.

About the Due Diligence & Client Risk Assessment Toolkit

Due Diligence is the foundation of many regulations and laws that expect firms to verify, identify and assess those with whom they form a working relationship. The templates in this pack have been developed by experts and cover the mandatory due diligence requirements. The included checklist contains 60+ assessment questions to quickly identify any gaps in your compliance processes.

For those with obligations under the Money Laundering Regulations or FCA Handbook, due diligence is a legal requirement. These templates are suitable for any business type and can be customised to include your processes.

  • Essential business documents to effectively manage your due diligence and KYC obligations and processes.
  • Includes 5 x questionnaires for verification and assessment of suppliers, employees, customers and businesses.
  • Use the 60+ question self assessment checklist to identify gaps in your due diligence compliance.
  • Corporate & individual client onboarding templates with client risk assessment tools built-in.
  • The 16-page due diligence policy template is fully customisable, but also contains ready-to-use content so that you do not have to draft your policy from scratch.

Customisable and available for instant download after payment. Includes:

  • Template Customisation Guidance
  • 16-page Due Diligence Policy Template
  • Onboarding Corporate Client Questionnaire & Risk Assessment Template
  • Supplier Due Diligence Questionnaire
  • Employee Verification & Background Questionnaire
  • Onboarding Individual Client Questionnaire & Risk Assessment Template
  • Questionnaire for Enhanced Supplier Due Diligence
  • 60+ Question Due Diligence Checklist
Areas Covered
  • Policy Statement
  • Purpose & Scope
  • What is Due Diligence?
  • Customer Due Diligence
  • Supplier & Third-Party Due Diligence
  • Employee Due Diligence
  • Objectives
  • Due Diligence Processes
  • Verification
  • Identification
  • Business/Supplier Onbaording
  • Discrepancies in Registers
  • Know Your Customer Controls
  • Enhanced Due Diligence
  • Existing Customer Due Diligence
  • Employee Verification and Screening
  • Due Diligence Audits
  • Due Diligence Questionnaires
  • Tax Evasion
  • Responsibilities

Due Diligence Toolkit Samples

There are over 60 pages in the toolkit, so the sample* pages on the right are just a small representation from the templates included.

*NOTE: Samples are random pages, so content may not follow on. 

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