Broker-dealers Insights - ComplyAdvantage

Solutions
- ComplyAdvantage Mesh
  - Financial crime risk applications
    Streamline risk management across the customer lifecycle with a unified suite of AI-native applications.
  - Customer Screening
  - Company Screening
  - Ongoing Monitoring
  - Transaction Monitoring
  - Payment Screening
- Financial crime risk intelligence
  Power your compliance engine with full-stack proprietary risk intelligence designed for risk-based decisioning.
- Agentic workflows
  Use agentic AI to resolve up to 85% of routine alerts autonomously while maintaining total regulatory defensibility.
Pricing
Partnerships
Insights
- Insights
  Explore our latest materials designed for compliance leaders and practitioners.
- Featured insights
  - The State of Financial Crime 2026
Company
- Company
  Behind our AI-driven platform is a team reshaping how enterprises fight financial crime. Explore who we are, what’s new, and how to connect.
- Careers
  We’re building the future of financial crime risk management. Explore open roles and find out how you can make an impact with us.
  - Open positions

Get a demo

AML compliance Crypto Knowledge & training

The biggest AML fines in 2025

2025 has been a watershed year for the enforcement of anti-money laundering and countering the financing of terrorism (AML/CFT) regulations. The current year has witnessed an evolution in the scope, sophistication, and strategic intent of regulatory penalties, as well as […]

7 minute read

Broker-dealers Customer stories

Pepperstone enhances operational efficiency across multiple markets and jurisdictions with bespoke transaction monitoring rules

Pepperstone is an award-winning online global forex and contract for differences (CFD) broker founded in 2010. Headquartered in Australia, the group is regulated in 8 jurisdictions. Committed to providing a premium trading experience for its clients globally, Pepperstone offers access to […]

2 minute read

AML compliance Broker-dealers Knowledge & training

CDD best practices for broker-dealers

Between 2016 and 2022, broker-dealers suffered significant penalties – some in the millions – for customer due diligence failures. These fines have made it clear that firms dealing in securities are not exempt from global anti-money laundering (AML) regulators’ scrutiny. […]

4 minute read

AML compliance Broker-dealers Knowledge & training

AML governance best practices for broker-dealers

Even the most advanced anti-money laundering and countering of terrorist financing (AML/CFT) technology depends on a well-conceived underlying governance structure to serve its intended purpose. Indeed, U.S. regulators expect firms to designate specific individuals solely responsible for AML/CFT functions – […]

6 minute read