SOS-Signs of Surveillance and AML Integrated is the most comprehensive tool helping in review of integrated display of Market Surveillance and Money Laundering Risks. The Software is an integral part of our client due diligence and order and transaction based alerts. The most amazing aspect is the Rule engine which helps define alerts from different dimensions. The integrated view of a client across segments helps analysis and saves a lot of time accessing multiple different systems and eases investigation. Reports like Circular Trading or insider trading or front running have immensely helped internal risk management. The New release features in SOSAML and training is regular to help team remain updated on the AML and Market Surveillance. I am surprised how broking houses are managing without such a system.
Mr. Ajay Menon
Managing Director & CEO | Broking & Distribution / Motilal Oswal Securities Ltd.
About SOS-Signs of Surveillance and AML Integrated: The product helps in alerts from all aspects of probable client fraudulent behaviour or Money Laundering Risks. We have been using SOS-AML since last 3 years. The Software is one of the critical aspects of our client due diligence and order and transaction based alerts. ANC team support on transitions of changes on account of New Regulatory changes and FIU based requirements. It maps clients across segments and hence there is a common risk view. The FIU reporting has been completely updated and overall the system helps in efficient alert management across. Equity, Derivatives, Currency and Commodity segment along with depository and ledger based transactions. ANC Team is proactive in training on the AML and Market Surveillance with respect to using SOS-AML.
Shailesh Kumar Sinha
Surveillance Department / Religare Broking
“On behalf of the entire project team I would like to thank ANC for the great service provided throughout our project which has been an important endeavour for CS presence and growth aspirations in India. We have experienced ANC team's commitment and service quality as exceptional and very valuable. It was a great collaboration and of course we will not forget ANC in case of any future external support required! ” “We wish Team ANC all the best for the future. ”
Stefan Bachmann
Credit Suisse AG / Business Development International
“Compliments for you and your team which you all deserve:- ” “All our employees in sales and operations are very happy with POWER UPDATES. Compliance team loves Compliance Reference Window software provided by Analyze n control. What we like is constant innovation by ANC team to make the software user friendly. All our suggestions are duly taken care off. It is very easy to locate any circular by putting the keywords. Gist of the circulars & orders as well its implication is very well drafted. We can get all circulars and orders at a click of button. It is tremendous time saving for compliance team and is a big knowledge bank at fingertips. One can’t miss any important circular if he/she is using Compliance Reference Window software. We wish Analyze n control and its team all the best for future.”
Sandeep Chordia
Executive Vice President Strategy / Kotak Securities Limited
“Power Alerts and Compliance Reference Window Great Products - Value for Money ”
Uttam Bagri
Managing Director / BCB Brokerage Pvt Limited
LearningnBeyond Series-On Training Program at Hyderabad : At the outset, we would like to profusely thank you for your lucid presentation on compliance issues prescribed by SEBI, NSE and BSE. The presentation given by you was quite appreciated by all the Members and they were of the unanimous view that the presentation was very informative and useful for those looking after compliance matters. Members were quite appreciative of your view that the compliance issues should not be viewed as something forced on them, but should be viewed as the ‘safeguards’ to ensure the continuity of their businesses and also to secure the confidence of the investors. We once again thank you on behalf of the members of AP Chapter of Association of National Stock Exchanges Members of India for your reasoned explanations on vital issues relating to compliance with the Rules, Bye Laws, Guidelines, Circulars of SEBI, NSE, BSE, NSDL and CDSL.
Chairman / ANMI AP Chapter
“The Power Alerts takes care of ensuring updation on intraday circulars across regulators.It helps us in keeping abreast with all the circular and press releases issued by the Regulators. ” “The Compliance Reference Window is one of its kind knowledge bank on various circulars issued by the Regulators.The linking of previous circulars is wonderfully done. The package helps us in speedy retrieval of various circulars. ”
Prashant Mody
Head Operations and Compliance / Global Wealth Management Edelweiss Broking
“The Compliance Reference Window / Power Alerts is a great help, it instantly gives alerts for any new order, circulars, thus reaching out information to us the moment it is released. Updated information is of utmost help as it keeps us well informed and above all enables us to take quick decisions and act fast ”
Sudha Gurnani
Then Deputy Manager - Compliance / Sharekhan Limited
“Analyze N Control has played an integral role in helping us set up broking,depository and PMS operations from application to regulators to system implementation.Their partner based approach was a value proposition.It helped us take right decisions and define appropriate process flows at a very critical stage of setting up operations, compliance and risk management.”
P. Rangarajan
Executive Director / Dawnay Day AV India Advisors Private Limited (Erstwhile)
“A meticulous and systematic approach of AnC in the assignment carried out was most appealing and professional. Hallmark of any ‘Good’ consultant is: healthy arguments, echoing disagreements, and timeliness of deliverables. I am happy to place on record our appreciation on these counts”
Mr. Mayank Shah
Director / Anagram Securities Ltd. (Erstwhile)
"AnC offers wide range of servicing to broking fraternity, which inter-alias include operational process, compliance and risk management reviews. Their approach is holistic and thoroughly professional, they, most of the time, come out with innovative solution which eventually help in mitigating various risk associated and result into better client servicing."
Mr. Pramod Parmar
Associate Director (Operations) / JM Financial
"AnC has been instrumental in evaluating and setting up a complete process flow for our back office and CRM. The in-depth knowledge and the detailing has immensely helped in getting the processes streamlined and automated. Moreover their monthly POWER UPDATES are very fruitful and time saving tool for having the important updates during the month."
Mr. Ajay Menon
Managing Director / Motilal Oswal Securities Ltd.
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