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KYC Automated verification of customers and their data Learn more
Read now: 115-FZ: What Businesses Are Required to Do and How to Meet the Law’s Requirements 115-FZ: What Businesses Are Required to Do and How to Meet the Law’s Requirements 13.10.2026 1000 100
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Read now: Politically Exposed Person (PEP): Who It Is and What 115-FZ Requires Politically Exposed Person (PEP): Who It Is and What 115-FZ Requires 13.10.2026 1000 100
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Investor screening for brokers, asset managers and investment platforms

Verification of a customer of a broker, an asset manager or an investment platform on a single platform: recognition of documents from 195+ countries and territories, checks against state databases, the Rosfinmonitoring watchlists, sanctions and politically exposed persons. For investment platforms there are also checks on companies and on their directors and shareholders by tax number.

Try it for free API documentation
The investor check result: document, passport, watchlists, sanctions and PEP status
16 000+ document types from 195+ countries and territories
5 ₽ a watchlist, sanctions or passport check
36 ₽ PEP status and sanctions from 50+ countries
Tax number the director and shareholders of a company in one request
Russian passport A foreign passport Tax number Social insurance no. Company

Data stored in Russia · Russian software registry no. 19972 · 115‑FZ and 152‑FZ

What the law requires of brokers, asset managers and investment platforms

Brokers, trustees, fund management companies and operators of investment platforms all fall under 115‑FZ. Below are the obligations that bear directly on taking a customer on: identification, watchlists, screening for politically exposed persons, and the requirements on those raising investment.
NeuroVision supplies the data for screening customers and those raising investment. Identification, recognition as a qualified investor, enforcement of the limit, the freezing of funds and reports to Rosfinmonitoring are carried out by the firm itself.

  • Customers · 115‑FZ

    Art. 7 — identification and simplified identification.

    Customer screening (KYC)

    Before taking the customer on

    • Identify the customer, their representative, the beneficiary and the beneficial owner

    Simplified identification · art. 7(1.11)

    • Permitted when signing a brokerage agreement, a securities trust management agreement or buying units in a unit investment fund — subject to conditions
    • Not available if the customer is on the Rosfinmonitoring list or subject to a freezing decision of the Interagency Commission

    Art. 7(1.5-1)

    • Identification may be delegated to a credit institution under contract

  • PEPs and watchlists

    115‑FZ, art. 7.3, 7.4 and 7.5 — politically exposed persons and the Rosfinmonitoring watchlists.

    Watchlist screening

    PEPs · art. 7.3

    • Identify foreign and Russian politically exposed persons and officials of international organisations among customers — both when taking them on and during the relationship
    • Take on a foreign politically exposed person only by written decision of the head of the firm or their deputy
    • Establish the source of a foreign PEP's funds and update their details regularly

    Watchlists

    • Screen the customer against the Rosfinmonitoring watchlists when taking them on
    • Freeze the funds — the national list and the Interagency Commission's decisions — within 24 hours of publication
    • Match the entire customer base against the watchlists at least once every 3 months

  • Investment platforms

    259‑FZ — the requirements on those raising investment and the investor limit.

    Checks under art. 14

    Art. 14 · who may not raise investment

    • The party raising investment, the persons controlling it and its director may not be on the Rosfinmonitoring list or on the UN Security Council lists — cl. 1
    • A company may not raise investment if bankruptcy proceedings have been opened against it or its director has been disqualified — cl. 2
    • A sole trader may not raise investment while in bankruptcy proceedings — cl. 3

    Art. 7(1) · on the investor's representation

    • An individual without qualified investor status, and a sole trader, may invest no more than 600,000 ₽ a year across all platforms

KYC for a broker and an investment platform: six tasks

The customer wants to open an account and buy their first security the same day, while compliance needs to be sure the firm can do business with them. These are the tasks brokers, asset managers and platform operators come to us with.

Three types of customer — three sets of checks

  • A private investor

    Passport recognition, validity against the police database, the tax and social insurance numbers, and the Rosfinmonitoring list. The data feeds the identification carried out by the broker or the platform.

  • A foreign investor

    A document from 195+ countries and territories, the name in Latin script from the MRZ, international sanctions lists and compliance screening: politically exposed persons, sanctions from 50+ countries and adverse media.

  • A company or a sole trader raising investment

    The director and shareholders by tax number: watchlists, sanctions, bankruptcy, commercial court cases and nominee status. The conditions of article 14 of 259‑FZ are checked before the offer is published.

You define the set of checks — by customer type and risk level.
NeuroVision supplies the checks for each of them.

An investor opening an account in the app

How an investor check works

The checks slot into account opening in the app or the client portal and return an answer before the customer can fund the account.

Step 1

The document with no manual entry

A Russian passport or a foreign national's document is recognised in the app, with the name in Latin script taken from the MRZ. The document is checked for forgery and traces of editing.

Passport recognition when opening a brokerage account: the form filled with no manual entry
Step 2

The checks in a single request

Passport validity, the tax number, the social insurance number, the Rosfinmonitoring list, sanctions lists and politically exposed persons — only what your procedure requires.

Checking an investor against state databases, watchlists, sanctions and PEP lists
Step 3

The decision in the customer file

For every check: the result, the source and the date, in JSON. The broker's rules open the account, send the application for manual review, or escalate it to the head of the firm when the customer is a foreign politically exposed person.

The decision in the investor's file: account opened; a foreign PEP escalated to the head of the firm

Products and checks for a broker and an investment platform

Every check is enabled separately and you pay for the requests performed. Descriptions, sources and response fields are in the API check catalogue.

The document and the investor's data

Recognition and checks against state databases.

  • KYC · OCR

    Recognition of documents from 195+ countries and territories

    A Russian passport or a foreign national's document is recognised in the app, with the name in Latin script taken from the MRZ.

    Learn more
  • Police · SMEV

    Validity of a Russian passport

    The authenticity and validity of a Russian passport through the interagency interaction system. It catches expired, replaced, lost and invalid documents and verifies that the passport was issued to this particular person.

    5 ₽ / check

    Learn more
  • Federal Tax Service

    Retrieving the tax number

    Determining the tax number from the passport data. It unlocks the checks that need precise identification of the person — with no namesakes.

    5 ₽ / check

    Learn more
  • Social Fund · SMEV

    Validating the social insurance number

    Checking the social insurance number against the full name and date of birth: does the number really belong to this person. The answer is a match or no match.

    5 ₽ / check

    Learn more
  • 40+ checks

    Document anti-fraud

    Edited passports, screen photos, and other people's or freshly bought phone numbers — caught before the account is activated.

    Learn more
  • Telecom operators

    The number belongs to the person

    Confirmation that the phone number is linked to the customer's name. A yes/no answer.

    5 ₽ / check

    Learn more

What the checks cost for a broker

Checks against databases and lists carry a fixed price per request, with no subscription fee and no annual licence. Document recognition and anti-fraud are quoted against your flow of customers.

Document recognition, anti-fraud and phone number checks are priced separately — we will quote for your volume.

Connecting to brokerage onboarding

The checks slot into account opening through the API or a ready-made widget. Large brokers and asset managers can install it inside their own perimeter.

REST API

Send the document data and the tax number of the customer or the company in one JSON request and choose the checks — the result comes back by run ID or by webhook. API documentation

  • JSON and webhooks
  • A cloud in Russia
  • On-premises
  • A web portal for manual checks

Test access on the day you ask for it.

Payment for the checks performed, with 24/7 support.

Why brokers and investment platforms choose NeuroVision

A broker needs a vendor that does not slow account opening down, handles foreign documents and covers checks on both people and companies.

The investor and the company on one platform

Documents, checks against state databases, watchlists, sanctions, politically exposed persons and checks on directors and shareholders by tax number — one vendor and one API.

There is no need to reconcile results from several services.

OCR MRZ 195+ JSON

Foreign documents

16,000+ document types from 195+ countries and territories, with the name in Latin script from the MRZ.

A price per check

Database checks from 5 ₽, with no subscription fee and no annual licence.

Data in Russia

A cloud in Russia or an installation inside your perimeter; 152‑FZ and 242‑FZ.

Skolkovo — participant

A Russian developer

A Skolkovo resident; the platform is entry no. 19972 in the Russian software registry.

Read also

Politically exposed persons, sanctions screening and company checks — in our blog.

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All our articles

Frequent questions about screening customers of brokers and investment platforms

Yes. Professional securities market participants, management companies of investment funds and unit investment funds, and operators of investment platforms are all on the list of organisations in article 5 of 115‑FZ. They identify their customers, screen them against the Rosfinmonitoring watchlists and identify politically exposed persons.

No. Identification and simplified identification under 115‑FZ are carried out by the broker itself — including through the state services portal and the Unified Biometric System, or through a bank under an agency agreement. NeuroVision recognises the document and checks the data against databases, watchlists and sanctions lists — the broker then uses those results in its own procedure.

115‑FZ permits simplified identification when signing a brokerage agreement or a securities trust management agreement — subject to conditions. One of them is that the customer is not on the Rosfinmonitoring list and not subject to a freezing decision of the Interagency Commission. That is why the watchlist check is run before the account is opened.

Through compliance screening: an international database of politically exposed persons and their associates, sanctions lists from more than 50 countries, regulatory actions and adverse media — 36 ₽ per check. Under 115‑FZ a foreign PEP may be taken on only by written decision of the head of the firm or their deputy.

Recognise the document — passports from 195+ countries and territories, with the name in Latin script from the MRZ — then check them against the international sanctions lists of OFAC, the EU, the UK and the UN, and run compliance screening for PEP status and adverse media. The Rosfinmonitoring list is mandatory for every customer.

Under article 14 of 259‑FZ the company, the persons controlling it and its director must not be on the Rosfinmonitoring list or the UN lists, there must be no bankruptcy case against the company, and a sole trader must not be in bankruptcy proceedings. NeuroVision screens the director and shareholders against watchlists and sanctions and checks bankruptcy and commercial court cases — by tax number. Criminal records and disqualification are checked by the operator itself.

No. Under 259‑FZ an individual without qualified investor status, and a sole trader, may invest no more than 600,000 ₽ per calendar year across all investment platforms. The platform operator enforces this on the basis of the investor's representations, and the operator is also the one that recognises qualified investor status. NeuroVision does not provide investor testing or qualified investor recognition.

In the NeuroVision cloud in Russia, or in your own infrastructure with an on-premises installation. 152‑FZ and 242‑FZ.

Checks against databases and lists cost from 5 ₽, compliance screening costs 36 ₽ and a package of 16 checks costs 50 ₽. Document recognition and anti-fraud are quoted individually. We give test access the same day you ask.

We will put together the checks for your firm

Tell us how many accounts you open a month, whether you have foreign customers and whether you need company checks on the platform — we will assemble a set of checks and give you test access.

Can't put your request into words? Book a call and our team will contact you at a convenient time

Book a call

The company is included in the register of IT companies and the register of personal data operators of the Russian Ministry of Digital Development.

Address: Moscow, Presnenskaya Embankment 12 — Moscow City business centre, Federation Tower. Nearest metro stations: Delovoy Tsentr and Mezhdunarodnaya.