Discover if your candidate is restricted from working in a regulated financial capacity.

This is particularly critical for roles with trust account access, treasury responsibilities, or client funds. The Financial Regulatory Check searches relevant banned and disqualified persons registers to determine whether an individual is currently or previously restricted from working in a regulated financial role. A consumer credit report can be added for roles where financial history is directly relevant, this requires separate consent from the applicant. Information will include the following details:

• Type of restriction or listing
• Date of restriction or listing
• Full name and alias of individual
• Register the listing was found on
• End date of the restriction, if applicable

Note: This check is conducted on an individual’s current full name, so if an individual was known by any other names, it is recommended that a Financial Regulatory Check be conducted on each additional name.