Financial Services

FINRA broker-dealer compliance

KYC tier 3, full OFAC/EU/UN screening, 7-year audit, dual approval on large trades.

Use this package in Studio →Test in simulator ← All packages

What this package does

FINRA-aligned guardrails for registered broker-dealers and investment advisors. Enforces the highest KYC tier, screens every counterparty and transaction against all major sanctions lists, caps trade size with a manual review path, and archives every decision for the required 7-year retention period.

Designed for

Registered broker-dealers
Investment advisory platforms
Wealth-management AI agents

What's included

KYC tier 3 enforcement (highest level)
Full OFAC / EU / UN sanctions screen
Trade ceiling with dual-approval escalation
7-year immutable audit (FINRA Rule 4511)

Controls in this bundle

Control	Action	Parameters
`require_kyc_tier`	block	`min_tier=3`
`mfa_required`	block	`max_age_seconds=900`
`ofac_screen`	block	`lists=["ofac_sdn","eu_consolidated","un_consolidated"]`
`txn_amount_ceiling`	review	`max_amount_usd=50000`
`ip_country_mismatch`	review	`severity="review"`
`dual_approval`	review	`approver_role="compliance_officer", min_distinct_approvers=2`
`pii_redaction`	flag	`strategy="mask"`
`breach_threshold`	review	`max_records=500`
`immutable_log`	flag	`retention_days=2555`
`manual_review_queue`	review	`reviewer_role="compliance", sla_hours=4`

Profile tiers

Switch profiles in Studio to retune default thresholds across the whole bundle without rewriting any control by hand. This package ships at strict — anything you've already tightened by hand is preserved on switch.

Every control in this package uses identical parameters across all four profiles. Switching profile in Studio has no effect here.

Attestation

The canonical hash of these bundle bytes is sha256:259234c16999fb0bbd192cbe8599c4a237b781c41497651fc43f2ee8d09edfba. The same hash is computed at lock time, at Stripe checkout, and again on the runtime side before any byte is honored.

Want to customize first? Opening this package in Studio prefills the canvas with the 10 controls above. You can add, remove, or retune any of them before you lock the hash and pay.

Open in Studio

What this package does

Designed for

Registered broker-dealers

Investment advisory platforms

Wealth-management AI agents

What's included

KYC tier 3 enforcement (highest level)

Full OFAC / EU / UN sanctions screen

Trade ceiling with dual-approval escalation

7-year immutable audit (FINRA Rule 4511)