Financial regulatory screenings, Sanctions, credit checks, and more

Global Sanctions

This search thoroughly checks over 70 global databases covering financial sanctions, suspected terrorist watch lists, and most-wanted criminals. Data sets include the OFAC, FBI, ATF, Homeland Security, OFSI, GSA Debarment, OIG, Interpol Most Wanted, U.N. and EU terrorist lists, and many more. Searches should be conducted on provided and developed names.

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Self-regulated Organizations Checks (SRO)

This is a comprehensive search of over 70 financial services regulatory databases, including state securities commissions, SEC, various FINRA industry checks, NYSE, NASDAQ, CBOE, BATS, and others.

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U.S. FFIEC Check

Cisive conducts a search of enforcement actions and orders against institutions or their affiliated parties via the following regulators: Board of Governors of the Federal Reserve System (FRB); Federal Deposit Insurance Corporation (FDIC); National Credit Union Administration (NCUA), and Office of the Comptroller of the Currency (OCC).

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FINRA Broker Sanctions Search

Cisive will search the FINRA (Financial Industry Regulatory Authority) database, which provides licensing, disciplinary actions, industry exams, and employment history for financial positions regulated by FINRA. This search is conducted to determine if there are any disciplinary actions against individuals or firms as reported to FINRA by several other regulatory organizations as well as actions instituted by the FINRA organization. The following information is needed to conduct this search: individual name (and/or CRD number) or firm name (and/or CRD number).

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Financial Anomalies Search Technology (FAST)

This service gives compliance officers and recruiters a way to match regulated candidates’ self-disclosures regarding public civil records, liens, or judgments in compliance with federal, state, or local laws and regulations, or the rules of a self-regulatory organization under the exclusions found in FCRA (Fair Credit Reporting Act) §603 (y)(1)(B)(ii). When the comparison between the self-disclosures (such as the FINRA U-4 or U-5 forms) and the Cisive FAST is complete, the reviewer will have the opportunity to select specific reported records for further research at the source to obtain accurate, complete, and up-to-date records matched to the candidate.

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Fraud and Abuse Control Information System Level III, or iMed (Healthcare Check)

This comprehensive and compliance-critical risk mitigation tool for healthcare professional includes a search of the sanction, debarment, and exclusion history of individuals and organizations against federal and state-level databases (all 50 states). These databases include General Services Administration Office of Inspector General (HHS/OIG), Drug Enforcement Administration, Food & Drug Administration, TRICARE, and individual state healthcare licensing boards.