Fingerprinting for FINRA Compliance at your office anywhere in the UK or Europe
FINRA requires fingerprints to be submitted by registered brokers and industry professionals. An FBI Criminal check will be submitted, and this is mandatory and mandated by Federal securities laws. This process verifies identity and disqualifying criminal history
Fingerprint submission ensures compliance with SEC Rule 17f-2, which requires fingerprinting for individuals in the securities industry
All persons associated with a FINRA-regulated firm who sells securities, has access to funds/books, or supervises these activities must be fingerprinted. This includes brokers, partners, and officers.
Section 17(f)(2) of the Securities Exchange Act of 1934 requires SEC firms to submit fingerprints for all partners, directors, officers and employees
To make an appointment please call us:
London: 020 7158 0332
Surrey: 01483 200999
Hants: 02380 308274
or email info@private-detectives.co.uk
Organisations
We work for major asset management and investment companies as well as private individuals and other businesses, taking fingerprint records for registration / clearance with:
