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Anti Money Laundering and Surveillance for Brokerages SoS-Signs of Surveillance & AML Integrated.

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Presentation on theme: "Anti Money Laundering and Surveillance for Brokerages SoS-Signs of Surveillance & AML Integrated."— Presentation transcript:

1 Anti Money Laundering and Surveillance for Brokerages SoS-Signs of Surveillance & AML Integrated

2 Compiled Analyze n Control

3 Master Related Alerts Order & Trade Alerts DP Settlement Alerts Exchange Query Management Investigation Workflow SOS ALERTS

4 Compiled Analyze n Control

5

6 Objective of the System-AML To create a system to fulfill the AML compliance requirements. Create a system to capture a KYC to track client acquisitions. Create a system to identify fraudulent transactions in securities market. Reporting and Case Management for STR.

7 Compiled Analyze n Control Objective of the System-Surveillance A system to track orders and transactions which violate Broker Code of Conduct. Rule engine based on different kind of transaction patterns Reporting and Case Management for internal surveillance.

8 Compiled Analyze n Control Thank you For any further Queries, please contact us at : Call us at Call at


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