US and AU regulatory records, checked before onboarding, not after
Checking an adviser before onboarding them means answering questions that live in different registers depending on jurisdiction. In the US, that's FINRA disciplinary history and SEC enforcement actions. In Australia, it's current ASIC authorisation status. A firm operating across both has to check both, and neither manual process scales past a handful of advisers.
US enforcement and disciplinary screening covers FINRA BrokerCheck and SEC enforcement history in one call. AU adviser verification confirms current ASIC authorisation status and licence hierarchy. Sanctions screening adds a third check where relevant, confirming the adviser or their associated entities don't appear on the SDN list. Together, a firm checking an adviser with cross border exposure gets a complete picture rather than a jurisdiction shaped gap.
All three are paid add ons, there's no free tier component to this workflow. US Enforcement is USD only at USD $800/mo, AU Financial Advisers is AUD only at AUD $400/mo, OFAC is USD only at USD $1,500/mo. A firm needing the full AU and US picture on the same account needs both a USD and an AUD add on active simultaneously, worth knowing before setting up billing, not after. Firms needing AU and US checks on a single account should contact [email protected] to arrange this.