Investor integrity due diligence and monitoring

Application

Screen sponsors, investees, and key counterparties before and during the investment; track integrity issues and follow-up actions, escalate enhanced due diligence when red flags appear, and use findings to condition, delay, or exit the investment.

Resources

• ILPA DDQ and follow-up due diligence tracker (issues log and closure)

  Tool

  Institutional Limited Partners Association

  Institutional Limited Partners Association. (n.d.). Due Diligence Questionnaire. Available from: https://ilpa.org/resource/due-diligence-questionnaire/

  Available from ↗ Download static copy ↓

• PRI Limited Partner (LP) Responsible Investment Due Diligence Questionnaire (DDQ) – governance and integrity modules

  Tool

  Principles for Responsible Investment

  Principles for Responsible Investment. (n.d.). Limited partners’ responsible investment due diligence questionnaire. Available from: https://d8g8t13e9vf2o.cloudfront.net/Uploads/h/n/l/prilpresponsibleinvestmentddq_76200.pdf

  Available from ↗ Download static copy ↓

• Monitoring commitments log covering covenants and reporting schedule

  Template

  Principles for Responsible Investment

  Principles for Responsible Investment. (n.d.). Investment Manager monitoring. Available from: https://trustwaikato.co.nz/wp-content/uploads/2024/02/pri_assetownertechnicalguide_monitoring_933663.pdf

  Available from ↗ Download static copy ↓

• Responsible Business Conduct for Institutional Investors

  Guideline

  Organisation for Economic Co-operation and Development

  Organisation for Economic Co-operation and Development. (2017). Responsible Business Conduct for Institutional Investors. Available from: https://www.oecd.org/en/publications/responsible-business-conduct-for-institutional-investors_8b9e240a-en.html

  Available from ↗ Download static copy ↓

• Corporate Governance Methodology and Corporate Governance Progression Matrix

  Tool

  International Finance Corporation

  International Finance Corporation. (2023). IFC Corporate Governance Methodology. Companion resource includes the Corporate Governance Progression Matrix. Available from: https://www.ifc.org/content/dam/ifc/doc/2023/ifc-corporate-governance-methodology.pdf

  Available from ↗ Download static copy ↓

• Integrity due diligence protocol covering screening, enhanced due diligence (EDD) triggers, and ongoing monitoring checklist

  Guideline

  International Finance Corporation

  International Finance Corporation. (2021). Integrity due diligence process. Available from: https://www.ifc.org/content/dam/ifc/doc/2023/202103-ifc-integrity-due-dilligence-process.pdf

  Available from ↗ Download static copy ↓

• OECD Due Diligence Guidance for Responsible Business Conduct

  Guideline

  Organisation for Economic Co-operation and Development

  Organisation for Economic Co-operation and Development. (2018). OECD Due Diligence Guidance for Responsible Business Conduct. Available from: https://www.oecd.org/en/publications/oecd-due-diligence-guidance-for-responsible-business-conduct_15f5f4b3-en.html

  Available from ↗ Download static copy ↓