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Verify that your candidate has had responsibility for financially-regulated activities
A financial regulation check reveals details of a candidate’s history in financially regulated organizations. This includes roles across sectors dealing with finance, investments, budgeting, accounting, and money.
With automated financial regulation checks, businesses can help mitigate the risk of fraud and ensure compliance with all candidates who will have direct access to a company or client’s finances or who will have the ability to authorize payments.
Our financial regulation checks include:
- Whether the candidate has had responsibility for financially-regulated activities
- Checks if an individual has had disciplinary actions by a financial regulatory body
- Whether the candidate has received financial sanctions from one or more countries
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Our financial regulation check service is a simple process of investigating any past or present job roles in financially-regulated organizations that could influence how an individual conducts themselves in a business.
Integrations into your existing HR workflows mean this type of record can be combined with other confidential data to assess a candidate’s eligibility to work within the organization.
How it works
Bankruptcy and insolvency check
Directorship/Conflict of interest check
Financial regulatory checks are important for all candidates in highly financially regulated sectors, and in businesses providing services to those sectors.
Financial Regulatory Checks are very important for highly financially regulated sectors. In particular Banking, Financial Services, FinTech, Insurance, Investment banking & funds, Payment Services. In addition, all service-providers that provide contract and temporary personnel to the sector, such as Professional Services, Management Consulting, Business Process Outsourcing, HR / Recruitment / Staffing.
Financial Regulations checks verifies whether a candidate has had responsibility for finically regulated activities, and has subsequently received sanctions from the financial regulatory body in a country or countries.
A Financial Regulatory Search would search if an individual has had the past permission & responsibilities with financially regulated activities. The checks would reveal if an individual has experienced disciplinary actions that have been charged by the Financial Regulatory Body.
For the UK, the Financial Conduct Authority(FCA).
For Singapore, The MAS Register of Representatives.
For Australia, The Australia Securities& Investments Commission (ASIC)
For the USA, The Financial Industry Regulatory Authority (FINRA)
Financial regulations background checks are also available in other countries, including Malaysia, Canada & New Zealand.
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