This involves a search of The Securities Investment Commission register of Financial Services Licensees to validate whether the candidate holds a Securities Investment Commission license or is authorized as a representative by any Financial Services License.
The Securities Investment Commission Banned & Disqualified Register Check provides information about people & organizations that The Securities Investment Commission has disqualified or banned.
Our Financial Regulatory & Business Checks
Financial Regulatory Checks are generally applied to candidates involved with the Management & Financial Components of an organization such as Senior Executives, Directors, Financial Officers & Investment Bankers. Certain regulated industries, such as Financial Services or Banking require these Checks to be completed.
Augustus Hall Limited® Financial Regulatory Checks include:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Our Business Interests / Directorship Check
Does the applicant have an interest in other businesses that might cause a conflict of interest in the role they are applying for? This Check is commonly used for positions such as Directors, Managers & other Decision-making Roles.
|
|
|
|
|
|
Our Bankruptcy Check
The Check helps to access Personal Insolvency Information about individuals.
The Check provides information about individuals who have been subject to proceedings under the Bankruptcy Act.
It may or may not include any information on company liquidations or administrations.
Our Disqualified Register Check
Lists individuals who have been disqualified from holding Prudentially Significant Roles within Regulated Industries such as the authorized institutions involved in Deposit-taking, General Insurance, Fiduciary, etc.
Our Enforceable Undertakings Register Check
The Enforceable Undertaking Register lists all Enforceable Undertakings accepted from Individuals or Entities.
Enforceable Undertaking Register Check reveals if the candidate has ever been subject to undertakings accepted by The Securities Investment Commission & enforceable in a court.
An undertaking is generally accepted by The Securities Investment Commission as an alternative to Civil or Administrative action where there has been a contravention of the Legislation Administered by The Securities Investment Commission.
Our Banned & Disqualified Register Check
The Securities Investment Commission Banned & Disqualified Register Check provides information about people & organizations that The Securities Investment Commission has disqualified or banned.
Our Licensees Register Check
The Licensees Register Check is conducted through The Securities Investment Commission to ensure that the applicant is an authorized Securities Investment Commission License Holder.
Any business or person that offers or advises you about Financial Product must hold The Securities Investment Commission or related Financial Services License
Our Licensees & Authorized Representative Register Check
This involves a search of The Securities Investment Commission register of Financial Services Licensees to validate whether the candidate holds a Securities Investment Commission license or is authorized as a representative by any Financial Services License.
Under the Financial Services Reform, a Financial Services License is required if an entity is providing, or intending to provide, Financial Services.
Our Anti-Money Laundering Check
The Anti-Money Laundering & Counter-Terrorism Financing Act (AML / CTF Act), & the Anti-Money Laundering & Counter-Terrorism Financing Rules (AML / CTF Rules) aim to prevent Money Laundering & the Financing of Terrorism by imposing a number of obligations on the Financial Sector, Gambling Sector, Remittance (Money Transfer) Services, Bullion Dealers & other Professionals or Businesses (known as ‘Reporting Entities’) that provide Particular Services (known as ‘Designated Services’).
Our Service Terms & Conditions
Note:
Having access to this type of private data, however, comes with rules, criteria, regulatory compliances, due processes, official approvals, administrative protocols, restrictions, usage terms & conditions, & other regulations governing it.
Augustus Hall Limited may officially reject your applications or orders based on the aforesaid, & for many other reasons, or criteria that does not conform to our objectives, principles, ethics, norms, standards, generally accepted practice.
Such request for Verifications Services are only granted or carried out or conducted solely for strictly verified entities, receiver, beneficiary, or recipient with vetted aims & objectives of which the ultimate utility of such verification service is vetted & traced to fulfilling generally accepted principles, aims, & objectives as regards to Risk Assessment, Risk Valuation, Risk Control, Risk Mitigation, Risk Management, Risk Intelligence, Risk-based Decisioning, etc.; which altogether must be seen to amount to transparency, restorations & preservations of Trust, Value, Assets, Investments, Common Wealth, Security, Integrity, Ethics, Governance, Business Development, Business Continuity Management, Business Sustainability Management, Humanity, Equity, Balance, etc.
Our Due Diligence Capabilities & Access are Wide Ranging.
For more information on how we can provide further insight for you, your business, or your clients, we would encourage you to contact us to Buy Now or Subscribe or Discover more.
Comments