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Kroll Due Diligence Services from Kroll (a division of Duff & Phelps)
Provides bespoke background investigations, reputational and regulatory risk insight, monitoring, and deep dive reports on individuals and companies for VC investment decision-making.
More about Kroll (a division of Duff & Phelps)
Product analysis by function
Background Verification Systems for Due Diligence
Tools for verifying founder credentials, reference checks, legal compliance, and other background elements crucial to investment decisions.
More Background Verification Systems
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Identity Verification
(9 Yes /9 Known /15 Possible features)
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KYC Module Know Your Customer module to verify government-issued identification of individuals. |
Kroll explicitly offers identity verification and KYC as part of its bespoke due diligence services for individuals. | |
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Document Upload Capability Allows founders to upload relevant identification and corporate documents securely. |
Kroll supports secure collection and review of founders' and company documents as part of standard due diligence. | |
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Biometric Verification Supports facial recognition or fingerprint authentication for enhanced identity validation. |
No information available | |
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PEP/Sanctions Screening Checks whether individuals appear on politically exposed persons (PEP) or sanctions lists. |
Kroll's compliance services include screening for PEP and sanctions. | |
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Government Database Integration System can directly access government or public records databases for verification. |
Kroll can access public registries, databases, and official records in most geographies for verification steps. | |
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Identity Verification Speed Average amount of time required to verify an individual's identity. |
No information available | |
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False Positive Rate The frequency at which the system incorrectly flags individuals as suspicious. |
No information available | |
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Multi-jurisdiction Support Ability to verify identities in multiple countries/regions. |
Kroll supports due diligence in virtually all major global jurisdictions. | |
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Audit Trail Logging Maintains tamper-proof logs for all identity verification actions. |
All Kroll investigative work includes a detailed and auditable report with logs. | |
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Real-time Verification Offers instant feedback on the verification process. |
No information available | |
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Automated Alerts System notifies stakeholders if identity concerns are detected. |
Automated alerts are provided if issues are found during ongoing monitoring or rescreening processes. | |
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Mobile Verification Support Allows identity verification via mobile devices. |
Kroll provides mobile-friendly portals for the collection of documents and interview scheduling. | |
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Bulk Verification Can process verifications for multiple individuals simultaneously. |
No information available | |
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User-Friendly Interface Ensures ease of use for both investors and founders during upload and verification. |
No information available | |
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Historical Verification Stores and retrieves previous verification details for reference. |
Historical audits and previous due diligence verifications are retained in Kroll's system. |
Reference Checks
(11 Yes /11 Known /15 Possible features)
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Automated Reference Outreach System can automatically contact referees and gather feedback via templates. |
Kroll conducts reference outreach automatically as part of its services, often using templated forms. | |
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Reference Questionnaire Customization Ability to design custom questions and surveys for referees. |
Kroll can customize reference questionnaires as part of bespoke background investigations. | |
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Referee Authentication Verifies the authenticity of individuals providing references. |
Kroll verifies reference authenticity as a core aspect of its service. | |
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Reference Response Tracking Tracks the status and completion of reference requests. |
Kroll provides progress/status updates for reference checks in its reporting. | |
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Sentiment Analysis Uses NLP techniques to analyze reference feedback for positive or negative sentiment. |
No information available | |
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Time to Complete Reference Check Average time from initiating to completing a reference check. |
No information available | |
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Reference Feedback Reports Generates summary reports and analytics from collected references. |
Reports always include reference feedback summaries and analytics. | |
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Anonymized Reference Handling Can anonymize referee identities for privacy. |
No information available | |
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Multiple Language Support Supports collecting references in different languages. |
No information available | |
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Multiple Reference Channels Gathers references via email, phone, SMS, or web forms. |
Kroll can conduct references via web, phone, and email; SMS use is less certain. | |
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Reference Data Export Download reference data for offline analysis (CSV, PDF, XLS). |
Kroll can export reference data in various formats as part of final deliverables. | |
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Confidentiality Assurance Guarantees the privacy and confidentiality of referees’ feedback. |
Kroll guarantees confidentiality of referee information. | |
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Integration with CRM/Deal Management Links reference check processes to existing CRM or deal flow systems. |
Custom integration with CRM/deal tools is available via API or manual process in enterprise projects. | |
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Template Library Access to pre-built reference check templates for different roles/scenarios. |
Kroll provides sample templates for clients to use or customize for reference check workflows. | |
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Reference History Storage Keeps a historical log of all reference checks per individual/company. |
Reference history is retained as part of client compliance records. |
Legal Compliance Screening
(14 Yes /14 Known /15 Possible features)
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AML Screening Automated checks for anti-money laundering compliance. |
Kroll screens for money laundering as a core element of its compliance package. | |
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OFAC List Checking Searches for individuals and entities on the US Treasury's Office of Foreign Assets Control lists. |
OFAC and other regional watchlists are checked in Kroll's process. | |
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GDPR/Privacy Compliance Checks Assesses compliance with privacy regulations (GDPR, CCPA, etc.). |
Kroll provides GDPR/CCPA guidance and compliance checks in its reports. | |
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Employment Eligibility Verification Verifies the legal right to work in a given country. |
Legal right-to-work is validated for key individuals in company investigations. | |
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Licenses and Permits Validation Checks validity of business or professional licenses. |
Business and professional license checks are available on request. | |
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Litigation & Legal Proceedings Screening Searches for ongoing or past lawsuits involving the company or individuals. |
Litigation and legal proceedings are checked in Kroll's standard investigative reports. | |
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Regulatory Database Integration Connects directly to national or regional regulatory authorities’ databases. |
Kroll has database access and pull capabilities for regulatory authorities in target countries. | |
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Compliance Status Dashboard Visual dashboard summarizing legal and regulatory compliance checks. |
A compliance dashboard or summary is provided as part of the reporting deliverable. | |
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PEP/Watchlist Refresh Frequency How often relevant lists and databases are updated for screenings. |
No information available | |
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Automated Compliance Alerts System generates alerts on compliance issues or expirations. |
Automated compliance alerts included in ongoing monitoring services or periodic rescreenings. | |
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Audit Logging of Compliance Actions Detailed logs of all compliance-related checks and their outcomes. |
Audit logs including compliance action details are maintained as evidentiary records. | |
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Legal Document Storage Centralized and secure storage/place for legal documents. |
Legal documents collected and stored securely for each engagement. | |
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Dynamic Jurisdiction Configuration Easily adapt compliance checks for different legal jurisdictions. |
Checks are tailored to target legal jurisdictions as defined by client parameters. | |
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Custom Rule Creation Allows users to define and automate custom compliance requirements. |
Kroll allows customization of compliance rule sets (e.g., which sanctions, which license checks, region parameters). | |
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Compliance Analysis Reports Creates comprehensive reports on legal and regulatory status. |
Compliance analysis and reporting is core to Kroll's output. |
Education and Employment History Verification
(12 Yes /12 Known /15 Possible features)
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Education Certification Checks Automated or manual verification of academic qualifications. |
Education credentials are verified either through direct contact or third-party services. | |
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Accredited Institution Database Access Connects to official academic institution databases. |
Kroll accesses official academic institution databases either directly or via partners as required. | |
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Degree Authentication Speed The average time to authenticate an educational credential. |
No information available | |
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Accreditation Verification Confirms institutional and programmatic accreditation. |
Institutional and programmatic accreditation is checked and confirmed. | |
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Transcripts Upload/Validation Allows uploading and systematic checking of transcripts or certificates. |
Document upload, including transcripts/certificates, is supported and systematically reviewed. | |
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Employment Record Verification Validates an individual's employment history with previous employers. |
Kroll confirms employment records through direct outreach or database checks. | |
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Job Title & Duration Validation Checks that claimed job titles and employment durations are accurate. |
Job titles and employment periods are cross-checked with previous employers. | |
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Reference Contact Collection Stores and manages contact information for employment and education verification. |
Kroll maintains a database of reference contacts for context and validation. | |
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Degree/Title Fraud Detection Detects inconsistencies or fraud in declared academic and professional records. |
Degree and credential fraud are detected via direct and database verification procedures. | |
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Bulk Verification Capabilities Verifies multiple employment or education records in batch mode. |
Kroll can perform bulk/batch background and reference checks on multiple individuals or companies. | |
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Geographical Coverage Number of countries/regions covered for background checks. |
No information available | |
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Integration with LinkedIn/Professional Networks Cross-checks credentials with profiles on professional networking sites. |
No information available | |
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Automated Reminders Sends reminders to candidates for missing/required information. |
Automated reminders and follow-ups for documentation and interview scheduling are available. | |
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PDF/Formatted Output Produces verification reports in polished, shareable formats. |
Kroll provides formatted, professional background reports. | |
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Falsification Alerting System flags potential false or suspicious education or job claims. |
Potential fraudulent or suspicious claims are flagged in the investigative report. |
Criminal and Litigation Checks
(12 Yes /12 Known /15 Possible features)
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Criminal Record Search Conducts background checks for criminal convictions or records. |
Criminal record checks are a staple of Kroll's service. | |
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Civil Litigation Search Identifies involvement in past or current civil lawsuits. |
Civil litigation search is conducted as part of company and individual checks. | |
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Bankruptcy Search Checks for individual or company bankruptcy filings. |
Bankruptcy checks are performed for both companies and individuals. | |
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Court Record Integration Direct access to official court/litigation record databases. |
Direct access to court or database records, either via API or manual search, is used. | |
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International Crime Database Access Searches global databases for cross-border criminal/litigation checks. |
International criminal and litigation databases are included in Kroll's checks. | |
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Disqualification Checks Confirms if the individual is barred or disqualified from directorships or officer roles. |
Disqualification/barred director checks are part of governance background reviews. | |
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Watchlist Screening Comparison with global crime and regulatory watchlists. |
Watchlist screening includes global regulatory and law enforcement lists. | |
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Litigation Monitoring Frequency Frequency of automated checks for new civil or criminal cases. |
No information available | |
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Incident Severity Scoring Assigns a risk score to the severity of any detected incidents. |
No information available | |
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Automated Stakeholder Alerts Notifies relevant parties if high-risk or criminal connections are found. |
Automated alerts sent to stakeholders if criminal or high-risk issues are identified. | |
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Result Export & Reporting Exports litigation/criminal check results and summary reports. |
All findings and results can be exported and reported in standard formats (PDF/CSV/etc). | |
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Custom Search Parameters Enables users to tailor search criteria for background checks. |
Can use custom search settings for background checks as part of project scoping. | |
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Historical Coverage Range Time period covered by retrospective check. |
No information available | |
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Repeat Checks Automation Schedules regular or recurring checks for the same individuals/companies. |
Repeat/ongoing checks can be scheduled as part of continuous monitoring offerings. | |
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Privacy Controls Ensures compliance with privacy and fair use of criminal/litigation data. |
Platform maintains privacy standards for all criminal/litigation data. |
Corporate and Business Validation
(14 Yes /14 Known /15 Possible features)
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Business Registration Number/Status Check Verifies the official registration status of a company with government registries. |
Kroll verifies company registration status directly with official registries. | |
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Company Incorporation Document Retrieval Securely accesses or receives official incorporation documents. |
Company incorporation documents (e.g., certificates) are collected and validated. | |
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Certificate of Good Standing Validation Validates a company's standing with authorities. |
Certificate of good standing is validated as available from company registries. | |
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Director/Shareholder Register Verification Checks the current list of directors/shareholders against filings. |
Director/shareholder registers are checked as part of company validation. | |
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Business Address Confirmation Verifies the legitimacy of registered business addresses. |
Business address legitimacy is verified for fraud prevention. | |
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Tax Identification Number Verification Verifies the company’s tax compliance credentials. |
Kroll offers tax ID verification in its compliance package. | |
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Corporate Structure Mapping Creates diagrams or reports outlining company group structures. |
Corporate structure mapping (charts, narrative) is in the report deliverable if requested. | |
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Beneficial Ownership Disclosure Identifies ultimate beneficial owners. |
Beneficial owners are researched and listed as part of standard investigations. | |
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End-to-End Audit Trail Logs all corporate validation activities from request through verification. |
A full audit trail is delivered with all verification steps detailed. | |
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Digital Company Dossier Creation Produces comprehensive digital files of company credentials. |
A packaged digital company dossier for each engagement/company is provided. | |
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Document Verification Speed Average time to verify a set of incorporation documents. |
No information available | |
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Multi-country Corporate Registry Access Can access official company registers in multiple countries. |
Kroll supports multi-country registry lookups as required by the engagement. | |
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Historical Director Checks Validates previous directors’ involvement. |
Kroll can research historical directorship as part of the report. | |
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Business Lifespan Validation Confirms company’s age and operating history. |
Company age and operating records are confirmed by registry and market presence. | |
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Corporate Document Storage Centralized and secure storage for validated corporate documents. |
All corporate documents are securely stored for review and download. |
Financial Background Evaluation
(12 Yes /12 Known /15 Possible features)
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Credit Score/Report Acquisition Retrieves official company or personal credit ratings and reports. |
Company or personal credit reports and scores are obtained from approved bureaus and included in the assessment. | |
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Bankruptcy and Insolvency Check Evaluates records of bankruptcies and insolvencies. |
Checks for bankruptcy and insolvency are standard for both companies and individuals. | |
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Tax Compliance Records Checks for outstanding tax liabilities or disputes. |
Tax compliance, including checks for outstanding liabilities, is included as part of financial due diligence. | |
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Financial Statement Collection Ensures secure submission and storage of financial documents. |
Financial statements are collected, reviewed, and securely stored for authenticity and completeness. | |
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Profit/Loss History Analysis Analyzes multi-year profit and loss performance. |
Profit/loss trends for companies are analyzed in multi-year context as part of the report. | |
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Debt/Obligation Screening Checks for undisclosed loans, liens, or other obligations. |
Debt, liens, and obligations are checked via databases and legal filings. | |
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Fraud & Irregularities Detection Identifies patterns that may suggest fraudulent activity. |
Fraud and financial irregularities, including pattern analysis, are performed for risk/flagging purposes. | |
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Liquidity Ratio Evaluation Calculates liquidity ratios to assess financial health. |
No information available | |
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Annual Revenue Validation Verifies declared revenue through third-party data or audits. |
Revenue is validated via public filings, audit confirmation, or third-party verification. | |
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Adverse Media Monitoring Monitors news and public databases for negative financial coverage. |
Negative media and adverse coverage monitoring is standard in Kroll's ongoing reputation/risk assessment. | |
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Financial Document Authentication Speed Average time to validate submitted financial documents. |
No information available | |
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Third-party Financial Data Integration Connects to external sources for independent verification. |
Third-party integrations available for financial data/verification when needed. | |
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Automated Data Extraction Uses AI/ML tools to extract data from scanned pdfs and images. |
No information available | |
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Internal/External Audit Integration Supports upload and analysis of audit certificates. |
Audit reports and certifications can be uploaded and analyzed as part of due diligence. | |
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Financial Compliance Alerts Notifies on suspicious financial patterns or regulatory breaches. |
Financial compliance alerts are sent to stakeholders during ongoing/periodic review or if anomalies are spotted. |
Technology and Security Features
(12 Yes /12 Known /15 Possible features)
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Data Encryption at Rest & Transit Encrypts sensitive data during storage and while in transit. |
Kroll encrypts sensitive documents (at rest and in transit) as per industry standards. | |
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Role-based Access Control Restricts access to sensitive data based on user roles. |
Role-based access is enforced for all client portal and document access. | |
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Multi-factor Authentication Strengthens user authentication with multiple credentials. |
Multi-factor authentication is available for portal access. | |
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Audit Logging & Activity Monitoring Comprehensive tracking of all user and system actions. |
Detailed audit/monitoring of user actions is implemented in the system. | |
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API Integrations Supports integration with third-party platforms, CRMs, and databases. |
Kroll supports API integrations with enterprise clients' systems. | |
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Secure Document Storage Centralized, encrypted, and compliant document repository. |
Documents are securely stored in compliance with applicable regulations. | |
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Penetration Testing Frequency Regular third-party penetration and security testing intervals. |
No information available | |
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Disaster Recovery and Data Backups Ensures continuity and data availability in case of failures. |
Disaster recovery and backup procedures are a standard requirement for Kroll's infrastructure. | |
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Uptime Guarantee Percentage of guaranteed platform availability. |
No information available | |
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ISO/SOC2 Certification Meets internationally recognized security standards. |
Kroll holds industry certifications such as ISO 27001 and SOC 2 for security. | |
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Data Retention Policy Configuration Customizable settings for data storage and deletion. |
Clients may define data retention rules per engagement. | |
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Mobile Device Compatibility Works securely on a range of mobile devices. |
The client platform is mobile compatible for most functions. | |
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Single Sign-On (SSO) Supports enterprise authentication protocols. |
Single sign-on supported for enterprise clients. | |
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User Activity Analytics Tracks platform usage and security trends. |
No information available | |
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Privacy by Design System design follows privacy and minimal data principles. |
Privacy by design is part of Kroll's product architecture. |
Usability and Workflow Management
(11 Yes /11 Known /15 Possible features)
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Customizable Workflows Allows teams to create and adjust due diligence steps. |
Due diligence workflows are defined and customized for each engagement. | |
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Collaboration Tools Enables real-time collaboration, notes, and discussions between users. |
Real-time collaboration, notes, and discussions available for client project teams. | |
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Role Assignment and Permissions Assigns and restricts user roles per project or deal. |
User roles and permissions per project are supported. | |
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Automated Task Assignment Distributes verification tasks among team members automatically. |
No information available | |
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Due Diligence Progress Tracking Gives visual indicators of current status for each due diligence element. |
Visual progress tracking and status is part of the project dashboard. | |
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Template Management Store and reuse due diligence checklist and report templates. |
Due diligence checklists and templates are maintained for reuse. | |
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Notification and Reminder System Automated alerts and reminders for pending or overdue tasks. |
Notifications and reminders for tasks/documents are built in. | |
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Bulk Data and Document Management Facilitates upload, tagging, and organization of large volumes of documents. |
Bulk management of uploaded data and documents is supported for high-volume clients. | |
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Task Completion Metrics Tracks number of completed verifications per team member. |
No information available | |
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User Dashboard Customization Allows users to personalize dashboards for their workflow needs. |
Dashboards are customizable for different user roles and preferences. | |
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PDF/Printable Reports Generates printable overview reports of all due diligence activities. |
Printable and PDF report outputs are always available. | |
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Advanced Search and Filtering Quickly finds deals, companies, or individuals based on custom parameters. |
Advanced filtering and custom search exist in the client portal. | |
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Calendar and Scheduling Integration Connects to external calendars for task awareness and scheduling. |
No information available | |
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Access from Multiple Devices Ensures platform can be used seamlessly on different hardware. |
Platform is available across desktop, tablet and mobile devices. | |
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Instant Messaging within Platform Supports direct communication among users without leaving the platform. |
No information available |
Integration and Extensibility
(9 Yes /9 Known /15 Possible features)
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API Availability Offers public or private APIs for programmatic data access and automation. |
REST APIs are available for integration with other platforms. | |
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CRM Integration Connects seamlessly with major CRM platforms (e.g., Salesforce, Hubspot). |
CRMs such as Salesforce/HubSpot integrated via API or SFTP on request. | |
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Third-party Data Source Integration Easily connects to background check providers, news, or compliance feeds. |
Various third-party provider integrations available via API. | |
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Webhook Support Allows real-time notifications and data exchanges via webhooks. |
Webhooks and push notification support are available for enterprise integrations. | |
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Single Sign-On Integration Supports out-of-the-box integration with enterprise identity solutions. |
Single Sign-On integration available for security/identity providers. | |
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Custom Data Field Creation Allows businesses to define and store data unique to their workflows. |
No information available | |
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Data Import/Export Engines Powerful data transfer capabilities between platforms. |
Data import/export is well supported for onboarding/offboarding clients. | |
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Marketplace for Extensions/Plugins Repository of add-ons or extensions developed by third parties. |
No information available | |
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Integration Onboarding Assistance Support or documentation for connecting other systems. |
Integration onboarding (documentation, support, and consulting) is provided. | |
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No-code/Low-code Integration Tools Allows custom integrations without need for software development. |
No information available | |
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Data Sync Frequency Determines how regularly data is refreshed with connected systems. |
No information available | |
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Bulk Integration Capacity Maximum volume of integration transactions per unit time. |
No information available | |
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Integration Health Monitoring Tracks performance and failures in integrated systems. |
No information available | |
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Custom Connector Support Ability to build connectors for non-standard systems. |
Custom connectors for third-party and on-prem systems can be developed as part of custom engagements. | |
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Integration Audit Trail Logs every data transfer and system integration event. |
Integration activities are logged for compliance and troubleshooting. |
Reporting and Analytics
(13 Yes /13 Known /15 Possible features)
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Real-Time Dashboards Visual dashboards with live metrics and status updates. |
Executive dashboards and status metrics available for live projects and periodic updates. | |
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Custom Report Builder Enables user-designed reports based on any available data. |
Custom report builder is available for enterprise clients and consultants. | |
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Scheduled Report Generation Ability to schedule automated reporting at regular intervals. |
Scheduled report creation and automated report delivery is supported. | |
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Data Export in Multiple Formats Exports reports in PDF, XLS, DOC, CSV, etc. |
Reports can be exported in multiple formats, e.g., PDF, XLS, CSV. | |
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Key Risk Indicator Tracking Highlights key risk trends by company, founder, or deal. |
Key risk indicator findings are included in standard and bespoke reporting. | |
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Customizable Analytical Dashboards Visualizes data with custom charts, KPIs, and widgets. |
Dashboards are customizable per client request and maintain analytical widgets/KPIs. | |
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Audit-Ready Compliance Reporting Supports generating reports for regulatory/audit needs. |
Audit-ready compliance reporting is standard for regulated industries. | |
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Benchmarking Tools Compares key background, legal, or reference metrics to industry or historical benchmarks. |
No information available | |
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Drill-down/Filterable Insights Interactive exploration of data by category, time period, or individual. |
Data is filterable/drillable in platform for reviewing findings in detail by dimension. | |
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Automated Insights & Anomaly Detection Highlights significant changes or inconsistencies automatically. |
Significant events and anomalies are flagged in reports. | |
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Analytics API Provides data access for external analytical tools. |
No information available | |
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Data Visualization Library Built-in charts, graphs, and advanced visualizations. |
Report outputs include data visualizations and charts as standard. | |
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Stakeholder Sharing Tools Enables sharing specific insights/reports securely with external parties. |
Reports and data are securely shareable with external/investor stakeholders. | |
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Customizable Alerts/Thresholds Configurable alerts for when data crosses certain user-defined parameters. |
Custom and threshold-driven alerts can be configured for large clients. | |
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Longitudinal Trend Analysis Tracks changes over time across multiple due diligence cycles. |
Longitudinal trend and change tracking is part of continuous monitoring/due diligence cycles. |
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