Signs Of Surveillance & Anti - Money Laundering Integrated (SOSAML)

Product Overview

SOS is comprehensive global Surveillance and AML compliance solution that integrates the client data, transaction data, exchange market data and the regulatory requirements to generate reports/ alerts and dashboards that ensure early detection of compliance violation, fraud or mis-management if any.

Financial markets  have  witnessed  peaks  as  well as plunged into the troughs due to  changing economic cycles,financial market scams, financial frauds  etc.

Financial institutions  are  therefore  making  significant changes in response to regulatory action and increasingly  far-reaching global  AML regulations,  escalating compliance  and surveillance  to  higher  agenda  of  the senior management.

SOS-AML system aims at structured approach in highlighting the key Surveillance and Money Laundering risk and compliance issues of Member Brokers that promote Equity, Currency and Commodity secondary markets.

Also captures the Funds and stocks related settlement alerts.

  • Comprehensive solution that encapsulates PMLA and Surveillance guidelines
  • Auto file upload scheduler based on exchange files
  • Exchange guided Alert setup and triggers
  • Facilitates master data integration
  • Client/security categorization as per member and or exchange requirements
  • Flexible Rule engine that facilitates scenario  creation, pattern detection, rule definition with suppression capabilities on selected attributes
  • Client on Boarding Due Diligence
  • Dashboard-for detailed investigation-at client level, alert level and scrip level
  • Alert generation based on Flexible Rule Engine which is the core of this system
  • Regulatory Enquiries management
  • Transaction Monitoring from AML and Surveillance perspective
  • Most Importantly-STR generation as per FIU reporting requirements at scrip transaction and client level
  • Detailed investigation and integrated workflow at all levels with escalation capability for maker checker and management
  • Case Management for Master Based Alerts
  • Case Management for Transaction based alerts
  • Alert notification via email
  • Base for Business Intelligence reports
  • Capable of processing large data
  • Rich intuitive graphical tools for quick and easy interpretation of the pattern/behaviour
  • SOSAML client Risk Integrated with CSAFE

Reports/Alerts/Dashboards are the final stage of usage of this system.

Following is the list of few key reports/alerts traced from the system;

  • Strong client due diligence linked  with Client master data alerts and Client transaction alerts with historical data and regulatory enquiries
  • Client on Boarding Due Diligence covering
    • Client master data related reports
    • Client income and NW mismatch
    • Linked accounts
  • Client grouping reports
  • Alert Rule related reports
  • Alert Related reports
  • Comprehensive MIS on client Orders, Transactions, and Exchange related information
  • Case Management MIS with investigation details and attachments
  • Exchange Enquiry reports
  • FIU related reports
  • Regulatory reports
  • Circular Trading Reports

Indicative Client List

Motilal Oswal
JM Financial
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