AML Compliance Services for Futures Brokers
Omnibus accounts hide the individual clients behind an intermediary, and give up arrangements move the business between different brokers entirely. Both of them obscure exactly who you are genuinely dealing with here.
- FINTRAC Registered
- Cross-Border Expertise
- Audit Ready
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Omnibus Accounts and Real Client Visibility
Futures broking frequently operates through omnibus accounts, where one intermediary holds positions for many underlying clients and the broker sees the intermediary rather than the individuals behind it. That arrangement is entirely standard and commercially sensible, and it means the identity of the person genuinely trading sits one layer away from anything you directly observe.
Give up arrangements add movement to that picture. A trade executed by one broker is transferred to another for clearing, so business arrives from firms you did not onboard and passes to firms you do not control. Establishing what each intermediary does, what identification they perform, and what you can obtain when required is the practical work this structure demands.
Compliance Support for Futures Brokers
We deliver omnibus account risk frameworks, intermediary due diligence procedures, give up arrangement documentation, margin flow monitoring, record access arrangements, independent effectiveness reviews, and ongoing compliance support for futures broking businesses across Canada.
PSP Registration
End-to-end PSP registration support under Canada's Retail Payment Activities Act framework.
MSB Licensing
Complete MSB licensing and FINTRAC registration for money services businesses nationwide.
Banking
Deliver secure banking compliance solutions supporting regulatory excellence and operational efficiency.
AML Compliance
Build robust AML frameworks ensuring regulatory compliance and effective financial crime prevention.
Regulatory Consulting
Receive strategic regulatory advice supporting sustainable growth and complete compliance confidence.
Transaction Monitoring
Ongoing transaction monitoring and screening to detect and report suspicious activity.
Why Futures Brokers Choose Us
We work through omnibus and give up arrangements properly, because both of them place the client you are genuinely exposed to one layer away from anything your own systems actually observe.
Omnibus Risk Handled
We build frameworks for accounts holding many underlying clients, where individual identity sits behind an intermediary you deal with.
Intermediaries Properly Assessed
We assess the firms holding omnibus accounts, including what identification they perform and to what standard they perform it.
Give Ups Documented
We document give up arrangements clearly, since business arriving from firms you never onboarded still carries genuine exposure.
Records Genuinely Obtainable
We build access arrangements so underlying client information can be obtained when circumstances or a regulator require it.
Futures Brokers We Support
We support futures broking businesses in every single province right across the whole of Canada today, alongside foreign brokers that clear through Canadian infrastructure or serve Canadian clients directly here.
What Our Clients Say
Canadian financial firms trust ABM Global Compliance to navigate complex regulation with clarity and care. From MSB licensing to ongoing AML support, our clients value our responsiveness, expertise, and genuine commitment to their long-term compliance success.
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Whether you’re starting a new MSB or need ongoing AML support, our team responds within one business day.
Futures Broking Questions
Clear and direct answers to the questions futures brokers ask most about omnibus accounts and the client visibility that structure removes.
We only see the intermediary
That is inherent to omnibus structures, which makes assessing the intermediary and its identification standards the practical obligation available.
What is a give up arrangement?
A trade executed by one broker and transferred to another for clearing, so business arrives from firms you never onboarded.
Can we obtain client details?
You should establish that you can, because circumstances and regulators may require underlying client information you do not directly hold.
What should we monitor here?
Margin flows, position changes inconsistent with stated strategy, and intermediary behaviour that departs from what was originally described.
Are we a reporting entity?
That depends on your registration and activities, which we establish specifically rather than assuming futures broking answers the question.