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Background Screening

Background Screening in the Financial Services Industry

This White Paper provides a comprehensive overview of the background screening and investigation requirements that apply to firms operating in the financial services industry while highlighting some of the potential issues that can arise due to increasing antidiscrimination legislation.

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Background Screening

Preparing Applicants for the Background Check Process

This White Paper provides simple steps that applicants can take to proactively monitor third-party sources of personal information prior to the pre-employment background check.

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Background Screening

Written Consent Requirements Under 18 U.S.C. 1033

This White Paper outlines requirements under the Violent Crime Control and Law Enforcement Act 18 U.S. C. 1033, which prohibits individuals convicted of certain felony crimes from working in the insurance industry without written consent.

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Background Screening

FINRA: New Rule Requirements

This White Paper outlines the requirements of broker-dealerers under new FINRA rule 3110-e to investigate applicants prior to registration through public records searches.

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Background Screening

Alternative Methods for Verifying Employment

This Compliance Issue Analysis outlines some of the issues that can arise when attempting to verify an applicant's previous employment through alternative means such as requesting W2s or pay stubs.

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Background Screening

Continuous Screening

In this CIA, best practices for conducting continuous screening and the results that may be returned are addressed.

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Investment and Insurance Company

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Large Insurance Agency

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