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

Stock Exchange Service (in local or international market):

Markets Compliance and Anti-Fraud

Implementation of efficient processes limiting errors, anomalies and fraud (gray lists, Chinese wall, authorizations, etc.)
Breadcrumb
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
compliance

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