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IT in Investment Operations (Level 3, Unit 3)
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A procedure review at a listed company in United States has identified gaps in Blockchain and distributed ledger technology as part of sanctions screening. The review highlights that while the firm's permissioned DLT platform for tokenized alternative investments validates participants during initial KYC, it lacks a mechanism to prevent transfers if a participant is added to the OFAC Specially Designated Nationals (SDN) list post-onboarding. The current system relies on post-trade reconciliation, which creates a window of regulatory risk between the execution of a peer-to-peer transfer and the next scheduled compliance sweep. The Chief Compliance Officer requires a solution that integrates with the existing IT infrastructure to ensure immediate enforcement of US Treasury requirements. Which of the following represents the most effective technical control to mitigate this risk?
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