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► Department of Commerce
► Bureau of Industry and Security (BIS)
► Denied Persons List – Search for an applicant that has been denied export privileges.
► Denied Entity List – Search for an applicant that has been denied export privileges.
► Unverified List – Search for an applicant who BIS has been unable to verify in prior transactions
► Department of State
► Terrorist Exclusion List (TEL)
► Search for an applicant that has been placed on the TEL . Applicant on the TEL is either a member or related Individuals that prepares, plans, gathers information on targets, provides material support, commits and/or incites a terrorist activity.
► Bureau of International Security and Non-proliferation
► Search for an applicant that has been sanctioned under various statutes by Bureau of International Security.
► Directorate of Defense Trade Control
► Search for an applicant who has been prohibited from participating directly or indirectly in the export of defense articles, including technical data and defense services. Pursuant to the Arms Export Control Act (AECA) and the International Traffic in Arms Regulations (ITAR), the AECA Debarred List includes persons convicted in court of violating or conspiring to violate the AECA and subject to “statutory debarment” or persons established to have violated the AECA in an administrative proceeding and subject to “administrative debarment.”
► Department of the Treasury
► Office of Foreign Assets Control (OFAC)
► Search for an applicant who is controlled by, or acting for or on behalf of, targeted countries. It also lists individuals, groups, and entities, such as terrorists and narcotics traffickers designated under programs that are not country-specific. Collectively, such individuals and companies are called "Specially Designated Nationals" or "SDNs." Their assets are blocked and U.S. persons are generally prohibited from dealing with them.
► Office of the Inspector General (OIG)
► Search for an applicant who is excluded from federally funded health care programs. Search includes List of Excluded Individuals and Entities (LEIE). Anyone who hires an individual or entity on the LEIE may be subject to civil monetary penalties.
► Financial Industry Regulatory Authority (FINRA) Search
► Search for an applicant who is in the Financial Industry Regulatory Authority (FINRA) index. This is the largest independent regulator for all securities firms doing business in the United States. Information is provided on brokers and individuals currently or formerly registered with FINRA or those that have ever been (1) the subject of a final regulatory event, (2) convicted of or pled guilty or nolo contendere to a crime, (3) the subject of a civil injunction or civil court finding involving a violation of any investment-related statute(s) or regulation(s), or (4) a respondent or defendant in an arbitration or civil litigation which resulted in an award, decision or judgment for a customer that has been reported to CRD.
► Federal Reserve Board
► Search for an applicant who is in the Federal Reserve Board Sanction Index. Search includes the Federal Reserve formal enforcement actions against entities including state member banks, bank holding companies, and officers, directors, employees, and certain other categories of individuals associated with these entities for violations of laws, rules, or regulations, unsafe or unsound practices, breaches of fiduciary duty, and violations of final orders.
► Federal Deposit Insurance Corporation
► Search for an applicant who is listed on the FDIC Enforcement Decisions and Orders (ED&O) index. This index contains the formal enforcement actions against financial institutions that are regulated by the FDIC or against their affiliated parties. Affiliated parties include officers, directors, employees, and certain other categories of individuals associated with these entities for violations of laws, rules, or regulations, unsafe or unsound practices, breaches of fiduciary duty, and violations of final orders.
► Office of the Comptroller of the Currency
► Search for an applicant who is in the OCC index which includes statutory enforcement actions against National banks and their subsidiaries; federally chartered savings associations and their subsidiaries; Federal branches and agencies of foreign banks; Institution-affiliated parties (IAPs), including officers, directors, and employees. A bank's controlling stockholders, agents, and certain other individuals. Generally, the OCC may take formal enforcement actions for violations of laws, rules or regulations, unsafe or unsound practices, violations of final orders, violations of conditions imposed in writing, and for IAP's breaches of fiduciary duty.
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