Financial Advisors

Those involved in Financial Advice have witnessed great change in the sector over the last few years, with many Rules & Regulations being introduced depending on the advice being given to clients. The Anti-Money Laundering Legislation provides the back drop and starting point, and in most cases, when being instructed by a new client, Know Your Customer and Customer Due Diligence will be first item on the list.

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What We Did for
A Major IFA

SmartSearch was chosen as the Preferred Supplier of electronic AML verification by a major Directly Authorised IFA. This decision was taken by the Firm due to the fact that it is the only AML platform that allows Individuals and Businesses to be quickly AML verified and screened for Sanctions and PEPs in a single platform.

Financial Advisors Solutions

Networks and Compliance Providers offer their clients a large range of support products and services. SmartSearch partners with some of the largest Networks to provide their Members with cost effective compliant AML solutions, helping Firms comply with the Money Laundering Regulations.
Speak to one of our Networks & Appointed Representatives specialists today 0113 223 4106
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Financial Advisors, whether they only give advice or whether they act on behalf of their Customers in dealing with Product Providers, are subject to the full provisions of UK Law and Regulations relating to the Prevention of Money Laundering and Terrorist Financing. Generally, Financial Advisors do not hold client money, so in practice there is unlikely to be any involvement in the placement stage...
Speak to one of our Independent Financial Advisors specialists today 0113 223 4106
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Tweets

Financial Advisors News

Warrant issued for suspected fraudster

A WARRANT has been issued for the arrest of a financial advisor suspected of swindling pensioners ou...

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Money manager switches laundering plea to guilty

Cayman money manager Eric StCyr now admits hes guilty of attempting to launder money. Documents from...

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