What do the criminal history checks cover?
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Criminal history checks are carried out on every individual FSP, and all individuals in the role of a director, senior manager or controlling owner of an FSP.
The checks look for convictions that disqualify a person from being an FSP, under sections 14(d), 14(e) and 14(f) of the Financial Service Providers (Registration and Dispute Resolution) Act 2008.
Those convictions include any under sections 217 to 266 of the Crimes Act (within the past five years) , as well as convictions for money laundering or offences relating to the financing of terrorism.
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