Compliance
Favourite Monitoring Resources

Favourite Compliance Monitoring Resources

The Financial Services RegisterCheck whether a firm is authorised to conduct investment business in the UK, its permitted business and Approved Persons at the FCA's register of Authorised Persons
The ESMA Registries and DatabasesCheck whether a firm is authorised to conduct investment business in the EEA at the ESMA Consolidated Registers of National Competent Authority Databases
Companies HouseCheck details of registered companies and vet individuals by seeing if they have been disqualified from being a director. Use CH Beta Service to download copies of company filings including for private companies
ICO SearchSearch at the Information Commissioner's Office to find what types of information organisations may hold about individuals. Check that your firm is registered correctly
OFAC Search ToolCheck potential customers against the USA blacklist of terrorists and money launderers
Hemmington Scott's
Equities Direct
Prices, graphs and extensive corporate data for UK quoted companies. Helpful tool for a fund manager or a private investor with a self-managed portfolio
Interactive Investor InternationalA hub for investment information. Research tools, statistics, trade magazines, selected firms and associations are presented here, as well as stock quotes
Trustnet A wealth of information about investment trusts and offshore funds, including sortable performance graphs, corporate data, PEP-ability status and discounts to NAV. Audit that funds are not open-ended schemes subject to the FSA's 5% holdings limit for UK Authorised Collective Investment Schemes
funddata.com Another good site for details of closed-ended investment funds from around the world
Lipper fund performance statisticsProvide Compliance backup for your Marketing Manager by verifying advertised performance statistics for unit trusts. Check that your Fund of Funds is not breaching FSA rules byinvesting into another Fund of Funds
Official Company RegistersReporting and filing requirements for companies in worldwide jurisdictions
Charity CommissionSearch the Register of Charities to verify the status of customers which are charities. Obtain their registered number and address
Trademark searchSearch for a trademark at the UK Government intellectual property portal
PEPs and ISAsThe HMRC official list of PEP and ISA Managers
Free EDGARSearch the "Free EDGAR" database of regulatory filings for recent information about USA listed shares and funds, possibly a day or so more current than information direct from the SEC at Search Edgar
Investor GuideFor USA stocks and funds enter ticker at research feature for current charts, quotes and news. View minute-by-minute intraday charts for individual stocks to audit that your trader has achieved Best Execution
URL Adviser
W3Snoop
Check that the information you use in your monitoring has come from an authoritative source by seeing who controls the internet domain where you found it
Internet ArchiveView earlier versions of websites by entering the relevant URL. Audit trail goes back ten years
FBI publicised filesReleased under the Freedom of Information Privacy Act (USA) - an interesting selection of documents covering historical frauds and other subjects