A financial regulatory check is a formal screening process conducted to confirm whether an individual or organization holds the necessary licenses or registrations, or has been sanctioned, disciplined, or flagged by relevant financial regulatory authorities. This procedure is integral to ensuring compliance, supporting recruitment for finance-related roles, and managing risk across sectors such as banking, insurance, asset management, and fintech.

The screening typically covers:

·       Verification of regulatory licenses or registrations, such as fund manager, financial advisor, broker, insurance agent

·       Disciplinary measures, including bans, fines, or suspensions

·       Sanctions or public warnings issued by authorities

·       Disqualifications from assuming financial positions

·       Fit-and-proper assessments or status reviews