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.
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;