FCA & financial screenings

Our financial screenings were designed to satisfy the specific requirements of the financial industry (FCA, PRA, JMLSG, Sarbanes Oxley and PCI).

Our specialist FCA screenings are suitable for financial companies regulated by the FCA (Financial Conduct Authority) and PRA (Prudential Regulation Authority). Regulated employees must be fit and proper for the role they perform, therefore our screenings obey the FCA criteria verifying the competence, capability, honesty, integrity, reputation and financial soundness of the applicants.

FCA Level 1 – basic:
for most roles within an FCA regulated company

Confirmation of identity
Confirmation of two previous addresses
Undeclared links
County Court Judgements (CCJ)
Bankruptcy/insolvency
Notices of correction
Credit check
Directorships
Sanction search BoE

Money laundering check
Property ownership
Professional memberships
Professional qualifications
Highest education verification
Employment history 5 years (if controlled position was held before, regulatory reference is obtained)
Basic Disclosure / Standard DBS check*
*only for FCA controlled functions

This service can be customised with additional searches added or more in-depth information sought.

FCA Level 2 – enhanced:
for more senior FCA controlled functions

Confirmation of identity
Confirmation of two previous addresses
Undeclared links
County Court Judgements (CCJ)
Bankruptcy/insolvency
Notices of correction
Credit check
Media search
Directorships
Sanction search BoE
Money laundering check
Property ownership
Professional memberships
Professional qualifications
Top 3 educational establishments
Employment history 10 years (if controlled position was held before, regulatory reference is obtained)
Standard DBS check

This service can be customised with additional searches added or more in-depth information sought.

PCI compliance (Payment Card Industry):
for employees who have access to cardholder data or the cardholder data environment

Confirmation of identity
Confirmation of two previous addresses
Undeclared links
County Court Judgements (CCJ)
Bankruptcy/insolvency
Notices of correction
Credit check
Basic Disclosure
Employment history 5 years

<span;”>This screening complies with section 12.7 of Payment Card Industry Data Security Standards and can be customised with additional searches added or more in-depth information sought.

Sarbanes Oxley

Confirmation of identity
Confirmation of two previous addresses
Undeclared links
County Court Judgements (CCJ)
Bankruptcy/insolvency
Notices of correction
Credit check
Directorships
Property ownership
Professional memberships
Professional qualifications
Top 3 educational establishments
Employment history 10 years

This service can be customised with additional searches added, or more in-depth information sought.

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