Insights
Counterparty diligence and sanctions screening as execution controls
In physical markets, KYC and sanctions checks are not back office tasks. They shape what can be executed, when, and with whom.
November 28, 2025
ComplianceRiskGovernance
Counterparty diligence supports reliable execution by reducing exposure to fraud, misrepresentation, and regulatory breach. Screening and documentation standards also inform operational readiness.
Disciplined processes include role separation, approvals, and recorded decisions. Exceptions are managed through documented escalation and clear mandates.
This insight is for information only and should not be treated as legal advice.
Disclaimer: This material is provided for information purposes only and does not constitute an offer, solicitation, or recommendation.