Sanctions & regulatory
Sanctions and regulatory exposure, checked for every person behind the company.
A sanctioned owner or a barred executive becomes your problem the day you sign. We check the company and each principal against sanctions lists and regulatory records, and an investigator confirms every match is the right person.
What it checks
The lists and records regulators expect you to have checked.
OFAC and global sanctions
Sanctions lists for the entity and every owner and officer.
SAM.gov award check
Exclusions from federal awards, which matter if you contract with the government.
SEC enforcement actions
Enforcement history for the company and anyone who has raised or managed money.
FINRA and NFA
Registrations, disciplinary history and bars in securities and futures.
Investment adviser records
Adviser registrations and disclosures for firms and individuals.
Documented negatives
Every list and record searched is listed with its date, so a clear result holds up too.
What you receive
A report your partners can read in five minutes and defend for five years.
- 01
Analyst summary
What we found, what it means and what we would ask the subject about.
- 02
Findings by severity
Each finding graded, with court, case number, dates and outcome.
- 03
Every search, including the clear ones
A record of every jurisdiction and database searched, so “nothing found” is documented too.
- 04
Source documents
The underlying records attached, ready for the deal file.
When the standard package isn’t enough
- Continuous monitoringDaily re-screening against sanctions lists, criminal databases and adverse media after the first report.Learn more →
- Corporate due diligenceThe full package these checks belong to: 28 searches per subject.Learn more →
- InternationalLocal registries and source-language records for subjects outside the US.Quoted per jurisdiction →
Questions
Sanctions and regulatory screening, answered.
Can we order sanctions checks on their own?
Sanctions and regulatory searches are part of every standard package. Tell us what you need when you open the case and we’ll scope it with you.
How do you handle a possible match?
An investigator compares identifiers and address history before anything is reported, so a shared name isn’t a finding.
Can you keep checking after the first report?
Yes. Continuous monitoring re-screens enrolled subjects daily against sanctions lists and alerts you to changes.