Financial Regulator Checks
Validate Authorizations and Registrations
Confirm financial licensing status and uncover any disciplinary history.
A dedicated search service querying specific databases managed by in-country financial regulatory authorities.
The scope of information provided is determined by the local regulatory framework of each jurisdiction. The service aims to cover all publicly available data from relevant financial regulatory authorities, including:
- Licenses
- Registrations
- Disciplinary Actions
- Disqualifications
- Fines
- Warnings
Key Features
- Increasing Jurisdiction
The service currently covers almost 50 jurisdictions, with a primary focus on Europe and Asia. The offering is subject to proactive expansion. Searches official databases held by national and regional financial regulators—covering licenses, registrations, disciplinary records, disqualifications, fines, and warnings. - Scope Aligned With Local Regulations
Tailor results to reflect the type and depth of information required by each jurisdiction’s regulatory framework—such as licensing duration, renewal conditions, and enforcement visibility - Structured & Verifiable Reporting
Compiles findings into clear, audit-ready reports, detailing regulatory authority, action dates, citation type, and specific issue - Enhanced Employment Or Partnership Onboarding
Delivers a defensible compliance tool for pre-employment, partnership vetting, or contractor onboarding—ensuring all regulatory credentials are intact and transparent.
Purposes:
- Regulatory Compliance Assurance
Ensure the subject is legally authorized to operate by confirming their standing with in-country financial regulatory authorities, in line with national licensing requirements/ Confirming regulatory standing and ensure candidates have no adverse records with previous regulators. - Oversight Risk Mitigation
Detect any disciplinary actions such as fines, warnings, disqualifications, or suspensions—essential for avoiding partnerships with sanctioned or non-compliant individuals/entities. Mitigate risks associated with financial misconduct, compliance failures, reputational damage, and potential insider trading. - Operational Integrity & Transparency
Maintain trust and transparency by verifying that no professional has unresolved enforcement actions or inactive licenses that could affect their reliability
2 business days
Geographical coverage: Selected jurisdictions
SOI Type:
Individuals
Get Started with our Financial Regulator Checks
Click below to request a demo or contact us to learn how we can help with your location accuracy and compliance needs.
Iris Transaction
Search
Identified Records
Human Review
Confirmation and Final Report
Report
After a check, whether it results in a “NO NEGATIVE RECORDS FOUND” or “RECORDS FOUND” status, a report is generated with the following key features:
- Standard Template:
Reports follow a consistent and user-friendly structure to ensure clarity and ease of understanding. - Unique Features:
Includes clear categorization of findings, actionable insights, and a concise summary of results.
- Personalization: The report can be white-labeled or customized to match your organization’s branding and specific preferences.
Integration: Designed to align with your operational needs, the report integrates seamlessly into existing workflows for improved efficiency and usability.
Preview report visual available on request
Global Coverage:
Expanded Country Catalog
We’re excited to announce the latest countries added to our Financial Regulator Checks. Need detailed information about specific countries? Contact us, and we’ll provide all the information you need on demand!