| The Financial Services Register | Check 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 Databases | Check whether a firm is authorised to conduct investment business in the EEA at the ESMA Consolidated Registers of National Competent Authority Databases |
| Companies House | Check 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 Search | Search at the Information Commissioner's Office to find what types of information organisations may hold about individuals. Check that your firm is registered correctly |
| IIR Search | Search at the Individual Insolvency Register to find bankruptcies and other types of insolvency that are current or have ended in the last 3 months |
| OFAC Search Tool | Check 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 International | A 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 statistics | Provide 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 Registers | Reporting and filing requirements for companies in worldwide jurisdictions |
| Charity Commission | Search the Register of Charities to verify the status of customers which are charities. Obtain their registered number and address |
| Trademark search | Search for a trademark at the UK Government intellectual property portal |
| PEPs and ISAs | The HMRC official list of PEP and ISA Managers |
| Free EDGAR | Search 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 Guide | For 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 Archive | View earlier versions of websites by entering the relevant URL. Audit trail goes back ten years |
| FBI publicised files | Released under the Freedom of Information Privacy Act (USA) - an interesting selection of documents covering historical frauds and other subjects |