Credentials & Qualifications

The foundation of CompliAdvice: together with more than 30 years of front-office and compliance experience at institutions such as ABN AMRO, Rabobank, NN Group and Viterra, these certifications form the professional foundation of CompliAdvice.

CAMS

Certified Anti-Money Laundering Specialist

The CAMS certification is the globally recognised standard for anti-money laundering professionals, issued by ACAMS (Association of Certified Anti-Money Laundering Specialists). It covers AML legislation, transaction monitoring, Know Your Customer (KYC), sanctions compliance and investigative techniques.

Relevant for: AML/CFT compliance, KYC/CDD programmes, financial economic crime, sanctions management and AML policy development.

Issued by: ACAMS — Association of Certified Anti-Money Laundering Specialists

DSI

Dutch Securities Institute

DSI (Dutch Securities Institute) is the Dutch quality register for investment professionals. DSI registration demonstrates that a professional meets the knowledge, experience and conduct requirements that apply within the Dutch financial sector under Wft supervision.

Relevant for: MiFID II, the Dutch Financial Supervision Act (Wft), investment services and financial advice.

Issued by: DSI — Dutch Securities Institute, the Netherlands

FSA

Financial Services Authority Registration

Registration with the FSA (Financial Services Authority, UK) confirms that a professional meets the fit and proper requirements under British financial regulation. This registration was relevant during activities on the UK market and demonstrates familiarity with international regulatory frameworks.

Relevant for: cross-border compliance, UK regulatory requirements and international financial services.

Issued by: FCA/FSA — Financial Conduct Authority, United Kingdom

Series 7

General Securities Representative

The Series 7 is the US securities licence issued by FINRA (Financial Industry Regulatory Authority), authorising professionals to trade a broad range of financial instruments, including equities, bonds, options and investment funds. This licence was obtained during trading activities on the US market.

Relevant for: US securities regulation, cross-border capital markets activity and FINRA compliance.

Issued by: FINRA — Financial Industry Regulatory Authority, United States