A practical guide to physical-office and regulatory-substance requirements for forex brokers, covering premises, resident staff, systems, outsourcing, budgets and inspection evidence.
Author: ForexLicence Automation
What Should a Forex Broker AML/KYC Policy Include?
A practical framework for a forex broker AML/KYC policy covering risk assessment, CDD and EDD, UBOs, PEPs, sanctions, monitoring, reporting, governance, outsourcing and testing.
Source of Funds Evidence for Forex Licence Applications
A practical framework for tracing shareholder and UBO funds into a forex licence applicant while separating source of wealth, regulatory capital, operating cash and client money.
Ongoing Compliance After a Forex Licence: Broker Checklist
A practical post-licensing checklist covering capital, client money, AML/KYC, regulatory reporting, audits, governance, controlled changes and a 90-day action plan.
Forex Broker Licence and Company Structure: Shareholders, Directors and Money Flow
A forex licence application examines the full ownership, governance, contracting and money-flow system. This guide explains how to structure the licensee, holding company, directors, UBOs, service entities and client-payment arrangements.