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AML and trade surveillance glossary
Short, practical definitions for compliance teams at brokers and payment firms. Each entry says why the term matters in day-to-day monitoring and links to related terms.
Reporting and FIUs · Customers and due diligence · Money-laundering methods · Market abuse · Broker and payment typologies · Monitoring and controls · Regulators and frameworks
Reporting and FIUs
- goAML
- STR Suspicious transaction report
- SAR Suspicious activity report
- STOR Suspicious transaction and order report
- CTR Cash or currency transaction report
- FIU Financial intelligence unit
- MLRO Money laundering reporting officer
- Tipping-off
Customers and due diligence
- UBO Ultimate beneficial owner
- PEP Politically exposed person
- CDD Customer due diligence
- KYC Know your customer
- EDD Enhanced due diligence
- Adverse media
- Beneficial ownership register
- Nominee
- Shell company
Money-laundering methods
- Placement
- Layering Money-laundering stage
- Integration
- Structuring
- Smurfing
- Money mule
- TBML Trade-based money laundering
Market abuse
Broker and payment typologies
- IB rebate abuse
- Bonus abuse
- Latency arbitrage
- Third-party funding
- Pass-through account
- KYT Know your transaction
Monitoring and controls
- Transaction monitoring
- Alert
- Case
- False positive
- ATL/BTL testing Above-the-line and below-the-line testing
- Maker-checker
- Four-eyes principle
- Audit trail
- Typology
- Red flag
- Risk-based approach
- Sanctions screening
Regulators and frameworks
- FATF grey list Jurisdictions under increased monitoring
- Travel rule
- VASP Virtual asset service provider
- Correspondent banking
- CBUAE Central Bank of the UAE
- DFSA Dubai Financial Services Authority
- FSRA Financial Services Regulatory Authority
- VARA Virtual Assets Regulatory Authority
- SCA / CMA Securities and Commodities Authority, now Capital Market Authority
- MASAK Financial Crimes Investigation Board (Türkiye)
- SPK Capital Markets Board of Türkiye
- SAMA Saudi Central Bank