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Why KYC is Important for Brokerage Companies

Author: Rosemary Barnes
06.02.2020

These regulations have important implications as far as brokerages are concerned, especially when it comes to onboarding clients. While a brokerage’s primary aim is to onboard more clients and increase revenue, it is at the same time also necessary to comply with regulations to prevent fraud.


How Regulations Impact Brokerages

Due to the substantial interest in forex trading across the globe, brokerages are subject to regulations depending on the regions or countries that they operate in. For brokerage businesses, the regulations which directly impact client onboarding are Anti-Money Laundering (AML) and Know Your Customer (KYC).

These regulations require companies to carry out forex account verification procedures i.e. due diligence on their clients in order to verify their identity. In doing so, the brokerage can determine whether a customer is who they say they are. Screening processes involving checking their names against AML watchlists also help ensure that they haven’t been involved in financial crimes such as money laundering.


Know Your Customer (KYC) Requirements

All brokerage companies are obliged to subject any clients they are onboarding through a KYC process. KYC is a common process where proof of identity is required to verify the identity of clients. This will require them to provide some sensitive personal data to the brokerage in order to open a new trading account and start trading. Failure to meet these requirements may otherwise result in deposit and withdrawal issues.

Each brokerage will have their own set of requirements regarding the kind of documents they will request. Some brokers have strict KYC requirements while others may be more flexible.

Brokers regulated by CySEC, for example, have become a lot stricter with KYC regulations in recent years following the introduction of the MIFID II directive. Offshore brokerages, however, tend to be more lenient with their requirements.


Typical KYC Requirements

A set of verification documents will be required to confirm the client’s identity and financial status. Typical KYC documents for forex that may be requested include a passport or national ID card to prove the true name of the client, date and place of birth, a recent utility bill to confirm home address and phone number, email address, sample signatures and other financial information such as purpose for opening a trading account, source of funds, etc. 

To make the process as pain-free as possible, brokerages should ensure that they are able to provide their clients with a user-friendly client area. Many brokerages do this via B2Core where they can quickly submit all the relevant documents for the verification process and complete the forex registration process with ease. 

As it is an obligation to carry out these procedures in accordance with the relevant regulator, it is essential that as a brokerage, you offer your clients an effective forex verification service in order to do so.


Get Verified Quicky and Dependably

B2Broker offers its clients the means to quickly and dependably verify their customers’ ID by offering integration free of charge with industry leading KYC providers such as Identitymind and Sum&Sub. This provides a full-proof way for conducting all the KYC and AML compliance necessities, together with conducting identity proofing, risk-based authentication, regulatory compliance and the prevention of identity fraud.

Industry regulations are now tougher than ever and in order to be compliant and protect all parties involved, KYC procedures are of prime importance to all brokerage businesses. If you are thinking about launching a brokerage or require assistance with any aspect of forex broker verification, contact us today.

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