Securities Broker-Dealers

Outcome-driven compliance solutions tailored for securities broker-dealers in Kenya.

Sector Overview

Compliance, made fit-for-purpose

Securities broker-dealers in Kenya operate under the Capital Markets Authority and face specific AML/CFT obligations. We support broker-dealers design and implement compliance programmes suited to the securities trading environment.

Key Challenges We Solve

CMA licensing and ongoing compliance

Client onboarding and suitability assessments

Trade surveillance and monitoring

Regulatory reporting requirements

How We Support

Money laundering, terrorism financing and proliferation financing (ML/TF/PF) risk assessments

CMA compliance framework development

Client due diligence procedures

Trade monitoring and surveillance systems

Compliance officer training and support

Regulatory audit preparation

Outcomes

What you walk away with

Concrete, audit-ready compliance outcomes — not just paperwork.

Regulatory licensing and compliance advisory

Digital KYC framework development

AML/CFT compliance programme design

Product risk assessments for new offerings

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FAQ

Frequently Asked Questions

Common questions about Fintechs & Digital Payment Platformsin Kenya

What compliance requirements do broker-dealers face in Kenya?

Broker-dealers must comply with CMA regulations, POCAMLA, and implement AML/CFT programmes including client identification, transaction monitoring, and suspicious activity reporting.

How should broker-dealers monitor for suspicious trading?

Broker-dealers should implement trade surveillance systems to detect unusual patterns such as wash trading, layering, or transactions inconsistent with client profiles.

What KYC requirements apply to securities clients?

Broker-dealers must verify client identity, assess suitability, and apply risk-based due diligence. Enhanced measures apply to PEPs and high-risk clients.

Can Complywise help with CMA compliance audits?

Yes, we provide independent compliance audits aligned with CMA requirements, including gap analysis and remediation recommendations.

How often should compliance training be conducted?

Compliance training should be conducted at least annually for all staff, with additional training when regulations change or new products are introduced.

Corporate Social Responsibility

Regulatory Engagement

Virtual Assets Compliance

Data Protection & Compliance

Anti-Corruption & Anti-Fraud Compliance

Financial Inclusion & Innovation

AML/CFT/CPF Advisory

Securities Broker-Dealers

Compliance, made fit-for-purpose

Key Challenges We Solve

How We Support

What you walk away with

Have a fintechs & digital paymentscompliance question?

Frequently Asked Questions

Broker-dealers must comply with CMA regulations, POCAMLA, and implement AML/CFT programmes including client identification, transaction monitoring, and suspicious activity reporting.

Broker-dealers should implement trade surveillance systems to detect unusual patterns such as wash trading, layering, or transactions inconsistent with client profiles.

Broker-dealers must verify client identity, assess suitability, and apply risk-based due diligence. Enhanced measures apply to PEPs and high-risk clients.

Yes, we provide independent compliance audits aligned with CMA requirements, including gap analysis and remediation recommendations.

Compliance training should be conducted at least annually for all staff, with additional training when regulations change or new products are introduced.