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SoS-Signs of Surveillance and AML Integrated

The Product covers Four key risk assessment components

◘Client Risk Assessment
◘Transaction Risk Measurement
◘Behavior Detection Technology
◘Workflow and Reporting Tools

USP of the product:
Product High on IQ
Comprehensive masters management as per SEBI PMLA Circulars
Parameterized Alerts
Multiple Rules as a part of each alert including tracking of alerts client category wise
Multiple dashboards to ensure speedy investigation
Covers NSE/BSE Cash/Derivatives and DP
Debarment data entry module or tracking with database
Covers Orders/Trades/Settlements related alerts
Interactive work flow between Alert allocation team/Compliance approval team/Branches/ and management
Focussed PMLA Alerts and Surveillance Alerts-multiple level dashboards
Tracking Exchange/SEBI queries

The product is into four modules:
•Order and trade related alerts
•DP and Settlement alerts
•Interactive Work flow

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SoS-Signs of Surveillance and AML Integrated

  1. 1. Anti Money Laundering andSurveillance for Brokerages SoS-Signs of Surveillance & AML Integrated
  2. 2. 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. Compiled Analyze n Control
  3. 3. 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. Compiled Analyze n Control
  4. 4. Product Features - KYC◘ Capturing client details as per regulatory requirements.◘ Reporting shortfalls in information gathering.◘ Tracking related entities thru set parameters◘ Provisions for verifications of PAN with NSDL◘ Tracking multiple DP accounts◘ Tracking multiple Bank accounts◘ Promoters, Key Employees and Directors mapping with respective scrip Compiled Analyze n Control
  5. 5. Product Features - KYC◘ PEP mappings◘ Risky Businesses◘ Residence status and business relations – High risk countries◘ Black Listing of client◘ Tracking Joint holder details◘ POA holder details◘ Client categorization and profiling – Mapping of required Documents Compiled Analyze n Control
  6. 6. Product Features - STR◘ Segments-Cash and Derivatives◘ Penny & Illiquid stock trading◘ Order Properties and patterns◘ Trade analysis◘ Trading Pattern analysis◘ Off market transaction analysis◘ Own company/Insider trading◘ Pledge exits◘ Third party transfers (Stocks and Funds) Compiled Analyze n Control
  7. 7. Product Features - Reports◘ KYC compliance◘ Suspicious Transactions Alerts Possible Circular Trades Third party transfers Suspicious off market Owners exit Price manipulation Volume manipulation Synchronization Front running Compiled Analyze n Control
  8. 8. Product Features - Reports◘ Case Management Client details Transaction history Patterns Suspicious behavior analysis Compiled Analyze n Control
  9. 9. Alerts not just a dump◘ Reports or Alerts will be segregated into Critical Alerts Moderately Strong alerts Review the Dump Compiled Analyze n Control
  10. 10. Technical Features◘ Flexibility to build surveillance Rules◘ Interfaces with Front Office, Back-office system of Brokerage and DP◘ Access rights and restrictions◘ E-mailing the reports thru the system◘ Multi Exchange, Multi Segment setup and single surveillance. Compiled Analyze n Control
  11. 11. Technical Detail◘ Windows based system◘ .Net technologies for front end◘ MS-SQL Database Compiled Analyze n Control
  12. 12. Thank youCompiled Analyze n Control