SPARLAFTD for the Securities Market in Ecuador

AML/CTF Risk Management in the Securities Market

Securities brokerage firms, mutual funds, and other securities market participants must implement robust controls against money laundering. Líderes APLA designs the SPARLAFTD according to the risk profile of financial products and investors.

Implementation and UAFE reporting

Implementing the SPARLAFTD in this sector is governed by the Organic Law for the Prevention, Detection and Combat of Money Laundering and by UAFE resolutions. As part of our AML/CTF Consulting, we deliver the risk matrix, the prevention manual, Compliance Officer training and support in filing RESU and ROS reports. Request an assessment for your organization.