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Topic: Financial Services

Three Focus Areas to Get the Most from your Executive Background Check

In today’s world, the actions of a single person can tarnish the reputation of an entire business. News feeds are flooded with headlines linking the bad behavior of executives to the major brands they represent. This negative press can have lasting financial impacts. According to a 2015 study by researchers at Drexel University, when the […]

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Financial Conduct Authority (FCA) Final Rules on Regulatory References

Following the changes earlier this year from the Financial Conduct Authority (FCA) which began 7th March 2016, financial services organizations/Firms have had to make several changes to the way in which they not only define regulated roles, but also the framework for regulated references to ensure the continued assessment of the ‘fitness and propriety’ of […]

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The Financial Conduct Authority and UK Criminal Checks

Following the recent changes from the Financial Conduct Authority (FCA) starting 7th March 2016, Firms have had to make several changes to the way in which they define regulated roles, ensure the continued assessment of the ‘fitness and propriety’ of their employees and the way in which they perform their background screening checks on applicants. […]

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March 7th PRA/FCA Update

The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) reviewed feedback provided by respondents to the new conduct rules and regimes of the March 7th requirement where firms are responsible for taking reasonable steps to obtain appropriate references covering the last 5 (five) years instead of 6 and ‘as soon as reasonably practicable’ upon […]

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The UK Tightening Financial Industry Senior Manager Background Checks

While the financial industry has one of the lowest background check discrepancy rates, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) championed actions to tighten senior manager’s fitness by conducting appropriate screening, including but not limited to criminal record checks and regulatory references for the last six years and annually thereafter. This […]

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