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Anti Money Laundering and Surveillance for Brokerages

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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Anti Money Laundering and Surveillance for Brokerages

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

  2. SOS ALERTS

  3. 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.

  4. 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.

  5. Thank you • For any further Queries, please contact us at : • anc@analyzencontrol.com • Call us at -022 26470737 • Call at 9930579147

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