Advanced Risk and Compliance Analytics Solutions: AML surveillance for the securities industry

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September 2016


Regulators have intensified their scrutiny of securities firms and are levying heavy penalties for noncompliance with AML/CTF regulations. These firms often struggle to mitigate risks related to high transaction volumes and velocities, opaque ownership structures, and the overall diversity of the schemes they must monitor. To meet the challenge, securities firms are developing more customer- and product-oriented monitoring programs supported by data analytics and emerging technologies.

How can securities firms protect themselves against AML risks?

Money launderers are drawn to the size and complexity of the securities industry. This paper explores:

  • Intensified regulatory focus on money laundering in the securities industry
  • Challenges securities firms face in developing effective and efficient AML surveillance programs
  • The use of data analytics and emerging technologies to refine alerts and enhance monitoring

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Jeff  Lavine

Jeff Lavine

Global Financial Crimes Leader, PwC US

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