Sample background check report

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Report

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Investigation Report

Date: xxxxxxxxxx

Table of contents

  • Introduction
  • Objectives
  • Executive Summary
  • Profiling
  • Findings
  • Business interest in Japan
  • Criminal Records (Media search basi)
  • Litigation Check (Media search basis)
  • Bankruptcy Check (Name and address match)
  • Credit Record Check (Require letter of authorization)
  • Regulatory Checks
  • Media and Internet Searches

Introduction

Japan PI Inc. (“JPI”) was retained by xxxxxx to undertake full background check on the following individual: –
Taro Yamada (“the Subject”)
Objectives
In particular, we were requested to undertake the following, where possible: –

Identify latest business profile in Japan;
Determine if the individual has any current or previous pending civil and criminal administrative litigation records, or involvement;
Criminal, bankruptcy and credit checks;
Regulatory checks;
Conduct intensive media searches on both public and private databases (covering most of the local magazines, newspapers, websites and newswires) on the Subject Individual in Japanese.

Executive Summary
The subject was confirmed as the CEO of xxxxxxxxx, Inc.

Activities undertaken by JPI have included online electronic database, English language, Japanese language media and Internet searches as well as enquiries to the related parties. No discouraging factor was found associated with the Subject according to this check.

The following report contains results of research to date, and includes conclusions in each chapter summarizing assessments of the information gathered through each research activity.
Profiling
Name
氏名 Taro Yamada
山田 太郎
DOB:
生年月日、 September xx, 19xx
19xx年xx月xx日
Current address
現住所 xxxxxxxxxxxx, Koto-ku, Tokyo
東京都江東区xxxxxxxxx
Employment xxxxxxxxxxxx, Inc.
xxxxxxxxxxxx株式会社
Education

学歴 Faculty of Economics, Sophia University
The University of Hawaii School of Business
上智大学経済学部ハワイ大学経営大学院
職歴 xxxxxxxxxxxxx Embassy, Japan
xxxxxxxx Bank
xxxxxxxxxx, Co., Ltd.
xxxxxxxx大使館xxxxx銀行株式会社xxxxxxxx
Born in
出身 Tokyo
東京

Findings

This Report consists of a review of publicly available information, such as that held in press archives, on the Internet and by regulatory bodies, mainly in Japan.

This Report outlines our findings to date.

Business interest in Japan

The subject was identified as the representative director of xxxxxxxxxxxx, Inc.

Business registry record of xxxxxxxxxx, Inc. was obtained as follows with brief English translation.

Business registry records of xxxxxxxx, Inc.:-

Name: xxxxxxxxxxx, Inc.
Established in: April 2001
Address: xxxxxxxxxxxxxx, Yokohama-shi, Kanagawa Name: World Fund Partners, Inc.
CEO: Taro Yamada
Auditor: xxxxx
Capital: JPY 10 million
Address: xxxxxxxxxxxxxxxxxx
Business Type: Investment adviser/agent, Consulting

Original Japanese language registry records:-

会社法人等番号 0200xxxxxxx
商号 xxxxxxxxxxxxxxxx株式会社
本店 xxxxxxxxxxxxxxxxxxxxx
公告をする方法: 官報に掲載する方法により行う。
会社成立の年月日 平成xx年xx月xx日
目 的
1 .ヘッジファンド等、国内外投資ファンドの精査および情報発信
2 . ファンドの設立支援および業務運営コンサルティング
3 . 証券会社、投資顧問会社等に対するファンドビジネスコンサルティング
4 . 国内外の企業売買案件、投出資案件等の紹介、コンサルティング
5 . 国内金融法人等の海外ビジネス進出に関する代理交渉業務
6 . 海外投資ファンド、外国金融機関等の日本市場進出に関するマーケティング戦略提案
7 . 投資運用術
8 . 投資助言・代理業
9 . 金融商品取引業
1 0 . マクロ金融経済動向等の情報発信
1 1 . 金融関連書籍の発行
1 2 . 前各号に付帯関連する一切の業務
発行可能株式総数 1万株
発行済株式の総数 3000株
資本金の額 金1000万円
株式の上と制限に関する規定 東海者の株式を譲渡により取得するには、当会社の承認を受けなければならない。
役員に関する事項
取締役 cccccc.
横浜市中区xxxxxxxxxxx 代表取締役 xxxxxxxx
監査役 xxxxxxxx 平成23年10月31日辞任 平成23年11月9日登記
監査役設置会社に関す事項 監査役設置会社

The following professional license was verified.

The registration number of financial commodity dealers: Kanto Finance Bureau, Financial Commodity No. xxxxx
金融商品取引業登録番号 関東財務局長(金商)第xxxx号
Registered on June 1, 2001

Sources enquires confirmed that while the subject had been seconded from xxxxx Bank to xxxxx University, xxxx Bank was merged with xxxxx Bank in 2000, which didn’t leave him any suitable position to go back. He finally resigned the bank on 31st August, 2001 and became a free lance fund manager, taking advantage of his previous career as an investment researcher and his language skill.

The subject values most of
– The freedom of his work
– To broaden his network with (foreign) people.

So far, he has no plan to expand his business. All his concerns are improving his fund performances and keeping his life style free from any restraints.

We also ascertained that the subject has two children with his late wife who passed away in February 2009 by traffic accident.

Criminal Records

Criminal records are not available in public. An extensive media search on both public and private databases in both Japanese and English language revealed no articles with alleged criminal activities or prosecutions against the subject.

Litigation Check

Researches on the Tokyo Supreme Court Database revealed that the subject has not been subject to any civil litigation.

Records of judgment and lien filings are not publicly available in complete form in Japan. Research of the Nikkei Database, Teikoku Data Bank Database, Tokyo Shoko Research Database, and Company Registration Office does not mention any outstanding judgments or liens against the subject. Likewise no mention of such in the local media

Bankruptcy Check

No bankruptcy records were found that match subject’s information in Japan.

Credit Record Check

Extensive media search on both public and private databases in both Japanese and English language revealed no records or credit issue against the subject was unearthed.

Regulatory Checks

An extensive media search on both public and private databases in both Japanese and English language revealed relevant limited articles and newswires linked to the subject or his name in Japanese. No article with derogatory issues in nature has been unearthed.

Searches were also conducted with Japan’s FSA disciplinary records regarding the subject to determine if he has been reprimanded. No records of regulatory actions were found on FSA database.
Media and Internet Searches
The extensive media research is contributed by using both public and private databases with nearly 10,000 sources including influential local, national and international newspapers, magazines, trade publications and newswires in Japan. The Subject has low profile in public, we identified the following a few articles most of which is related to CarVal.

Taro Yamada 山田 太郎

Record 1

Web site of entrepreneurs (Message to new entrepreneurs)
http://www.bb-relife.com

Record 2

Web site of official World Fund Partners, Inc.
http://www.wtp.jp

Record 3

Investment seminar for Forex (The subject is one of the speakers)
http://www.fxlaba.com/no=286

Record 4

Investment seminar for Forex (The subject is one of the speakers)
http://www.fxla.com/

Record 5

May 21, 1999
The article of personnel transfer of Tokyo Bank (Nikkei News)
The subject was appointed as the vice managing director of the securities fund department.

▽資金証券部次長(同部次長)山田 太郎

End of Report

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