Compliance & Regulatory • KYC / AML / FATCA / CRS / Annex IV / SFDR

EU regulatory coverage, native and structured

KYC/AML, FATCA/CRS, Annex IV, and SFDR with structured exports, compliance dashboards, and screening workflows. COMPLIANCE role enforced.

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Capabilities

Compliance and regulatory features

NOT_STARTED → IN_PROGRESS → COMPLETE → EXPIRED/REJECTED. Document collection and expiry tracking.

LOW, MEDIUM, HIGH. Configurable per investor. Drives screening and review workflows.

CLEAR, HIT_PENDING, HIT_CLEARED, HIT_CONFIRMED, ERROR. Screening results immutable.

7 categories: US_PERSON, EXEMPT_BENEFICIAL_OWNER, ACTIVE_NFFE, PASSIVE_NFFE, PARTICIPATING_FFI, NON_PARTICIPATING_FFI, OWNER_DOCUMENTED_FFI.

5 categories: FINANCIAL_INSTITUTION, ACTIVE_NFE, PASSIVE_NFE, GOVERNMENT_ENTITY, INTERNATIONAL_ORG.

AIFMD Annex IV reporting with structured XML export, entity mapping, and filing-ready output.

Sustainability disclosure indicators, PAI data collection, Article 8/9 classification tracking.

Workflow

KYC onboarding Investor documents collected; status progresses through lifecycle.

Risk assessment Risk level assigned; drives screening and review requirements.

AML screening Screening run; hits resolved through HIT_CLEARED or HIT_CONFIRMED workflow.

FATCA/CRS classification Entity classification for reporting. XML export for filing.

Regulatory exports Annex IV, SFDR, FATCA/CRS XML generated. Celery tasks for async processing.

Controls

COMPLIANCE role required for KYC/AML/screening Screening results immutable Chinese walls per fund Audit trail on all compliance actions

Proof

KYC, screening, FATCA/CRS, compliance dashboards. Full CRUD with RBAC.

Annex IV, SFDR, FATCA/CRS XML generation. Async Celery tasks for large exports.

KYC, AML, FATCA, CRS, Annex IV, SFDR. Tested and validated across modules.

Schedule a guided demo: KYC lifecycle, AML screening, FATCA/CRS classification, Annex IV and SFDR exports with structured XML.

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