KYC onboarding for the brokerage sector


Watch a replay of this round table webinar where we discuss the challenges faced by broker-dealers to onboard and monitor their client portfolios in a compliant fashion. We look into the common traps that can occur with KYC onboarding on the sell side, and how technology is arming compliance teams to overcome them. Key themes include:

  • Industry challenges - Overcoming the latency pressures to onboard new trading clients quickly, ensuring regulatory and business commitments are equally satisfied
  • Data challenges - Bringing data together into a single unified framework that includes UBO, corporate & identify information
  • Workflow challenges - Streamlining onboarding processes to create a single source of truth
  • Digital onboarding - What 'good' can look like

Regulatory expert and RiskScreen CEO, Stephen Platt, is joined in conversation with Singer Capital Markets Head of Compliance and former CME Group CCO, Sarah-Rose Perry.