• BACKGROUND SCREENING
• OVERVIEW
• Criminal, Public Records
• Academic
• Credit
• Driving Records
• Employment
• Adverse Action
• Professional License
• References
• SSN Verification
• Electronic Fingerprinting Services
• International Screening
• Industry Specific
  • Aviation
  • Financial
  • Healthcare
  • Insurance
• VIAM

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FINANCIAL INDUSTRY BACKGROUND CHECKS

Financial Enforcement Action
Financial Enforcement Action is a background check of five federal banking agencies that provides names of individuals who are barred from working for and/or doing business with financial entities. Agencies checked include: Board of Governors of the Federal Reserve System (FRB), Federal Deposit Insurance Corporation (FDIC), National Credit Union Administration (NCUA), Office of the Comptroller of the Currency (OCC), and Office of Thrift Supervision (OTS).

Financial Industry Regulatory Authority Central Records Depository (FINRA-CRD)
A search of public records from the Financial Industry Regulatory Authority (FINRA) Central Records Depository (CRD), formerly known as the National Association of Securities Dealers Central Records Depository (NASD-CRD). Employers in the financial services industry can use it to check the professional background of current and former FINRA-registered securities firms and brokers. The database includes records provided by individual brokers, FINRA member firms and securities regulators as part of the securities industry registration and licensing process.

Fraud Screening
Designed to help financial services organizations (FSOs) manage internal risk, this employment screening service helps identify individuals who were previously released from an FSO because they knowingly caused or attempted to cause financial loss. Inquiries are compared to records contributed by human resources, corporate security and risk management professionals from FSOs across the country. Information reported includes a description of the incident, when the incident occurred, the name of the contributing financial institution and what type of admission of guilt was received. The service is only available to FSOs who are contributing members.

SEC Decisions, Orders, and Releases
SEC Decisions, Orders and Releases searches administrative materials to determine if an individual has been named in any administrative decisions, administrative proceedings, administrative proceedings rulings, Administrative Law Judge (ALJ) initial decisions, EDGAR File Manual, Market 2000 Report and interpretive releases. Because SEC Decisions, Orders and Releases searches SEC administrative materials to determine if an individual has been named in any decision, order or release, it is intended for those in the financial industry as well as for executive and high-level financial positions.

SEC Filings
The SEC requires all publicly owned companies, foreign and domestic, to file registration statements, periodic reports and forms. SEC Filings searches these reports and forms to confirm that an individual served as an officer or member of a company's board of directors. It is recommended when hiring executives whose previous experience includes officer or board of director positions of a publicly owned company.