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