Tag

#AML/KYC

4articles

Your Brokerage Isn’t a Fund Manager: The Hidden Risk of “Broker-Owned Investment Funds”

When a broker launches an “investment fund” under its own brand, the compliance, custody, and conflict-of-interest risks multiply fast. Here’s why brokers should avoid running investment schemes.

May 22, 20266 min629

Noman Chaudhary

Wake Up Dormant Traders Without Waking Up Your Regulator: A Practical Reactivation Playbook

A practical playbook for brokers and prop firms to define dormancy triggers, run compliant reactivation outreach, and keep audit-ready records—without creating AML, privacy, or conduct risk.

May 5, 20267 min983

Hana Takahashi

Before the First Deposit: The Saint Lucia FX Broker Paperwork Checklist That Prevents Costly Rework

Launching from Saint Lucia? Before you accept deposits, you need a clean document pack: client agreements, risk disclosures, AML/KYC policies, and operational templates that match your flows.

April 19, 20266 min1,251

Aisha Rahman

Maker-Checker Without the Chaos: A Practical Segregation of Duties Playbook for Brokers

Segregation of duties reduces fraud, errors, and audit findings—if it’s implemented with clear RBAC, approvals, and maker-checker workflows across CRM, payments, and trading ops.

April 19, 20267 min1,303

Rajiv Patel