Financial Regulatory

Has your candidate been disqualified from or is your candidate registered for their role on the relevant regulators register?

This search will verify if an applicant has been disqualified from involvement in the management of a corporation, or banned from practicing in the financial services industry.
Financial Regulatory searches will also verify whether a person or organization holds the appropriate license associated with the position. This is particularly relevant in the Financial Services industry and will pertain to Auditors, Liquidators, Authorised Representatives, and Financial Planners roles.

There may be severe penalties and fines for individuals and organisations that operate without a licence or registration, or while they are banned and disqualified.

This search is vital for any role within the financial services industry.

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