Markets Compliance and Anti-Fraud

Markets Compliance and Anti-Fraud

Compliance and Anti-Fraud Scholarship

Boetie advises you on an efficient, ethical organization that fights against the many types of fraud for

Stock Exchange Compliance and Fight Against Fraud articulates its action around 3 services

  • Stock Exchange Services
  • Swift Operations
  • and Corporate Action

Markets Compliance and Anti-Fraud

Stock Exchange Service (in local or international market):

Markets Compliance and Anti-Fraud

Markets Compliance and Anti-Fraud

Implementation of efficient processes limiting errors, anomalies and fraud (gray lists, Chinese wall, authorizations, etc.)
Internal rules on conflicts of interest with clients
Prohibited values
Overdraft and leverage authorizations
Agent X tracking …
Error resolution policy
The case of American customers
Compliance control
Control over the water

Securities Operations Department

  • Ensure reliable follow-up of files with the financial department
  • Posting of entries on customer accounts
  • Control of personnel files
  • Monitoring of US taxation
  • Generation of 1042-S
  • Multi-custodian traps and local tax particularities


The Swift Service

  • Organization of exchanges with the cashier, stock exchange and corporate action departments
  • A challenge, its security, the fight against fraud
  • Upgrading Swift’s CSP standards
  • Control over the water

All our studies are tailor-made and according to your specific needs. We can also act with

software packages
on Fatca its implementation and how to become compliant
Do not hesitate to contact us