Industry Checklist: Background Checks in the Financial Sector
The regulatory checklist for BaFin Fit & Proper, MaRisk, sanctions lists, PEP screening, and AML/KYC — specifically for banks, insurance companies, and asset managers.
✓ BaFin Fit & Proper Requirements (8-Point Check)
✓ MaRisk-compliant audit processes (5 points)
✓ Sanctions List and PEP Screening Checklist
✓ Requirements for AML/KYC Compliance
✓ 15-Point Comprehensive Checklist to Cross Off
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What is on the checklist?
All regulatory requirements at a glance
BaFin Fit & Proper
8-point checklist for the suitability assessment of executives and key personnel according to KWG §25c and §25d.
Sanctions & PEP
Obligations for screening EU sanction lists, UN lists, and PEP databases — including screening frequency and documentation.
AML/KYC Compliance
Know-Your-Customer and Anti-Money-Laundering requirements—from identity verification to ongoing monitoring.
Download the checklist now to ensure compliance
All regulatory requirements for the financial sector — free and ready to use immediately.
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