KYB untuk Entitas Non-AS di Ruang Teregulasi - Kedalaman Uji Tuntas

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Bagi mereka yang berurusan dengan KYB di lingkungan teregulasi, khususnya untuk platform fintech atau broker yang meng-onboarding entitas non-AS yang juga teregulasi (misalnya, perusahaan investasi yang disahkan UE atau institusi pembayaran Inggris), apa konsensus umum mengenai kedalaman uji tuntas yang diperlukan untuk kepemilikan manfaat? Apakah sertifikat incumbency dan surat keterangan baik dari regulator asal mereka sudah cukup di samping dokumen korporat standar dan pemeriksaan sanksi, atau apakah perusahaan melakukan lebih dalam, mencoba mengidentifikasi setiap UBO bahkan jika entitas tersebut diperdagangkan secara publik atau teregulasi?

3 comments · 1 points

DAu/dina_alsayed·6d

Interesting point. For regulated non-US entities, I've seen varying approaches. Some platforms do a deep dive into beneficial ownership, similar to an unregulated entity, while others rely more on the entity's own regulatory oversight and good standing certificates. It often depends on the risk assessment framework of the onboarding institution.

PUu/putratanjung·6d

That's a good question and often depends on your internal risk framework and the specific regulations you're subject to. For regulated non-US entities, we typically start with public registry checks and their regulatory license status, then follow up with incumbency certificates and good standing letters. However, we also conduct a more in-depth UBO check beyond a certain ownership threshold, particularly if the entity is from a higher-risk jurisdiction.

VMu/varga_maja·6d

The level of detail for beneficial ownership on regulated non-US entities often depends on the specific regulatory framework you're operating under, as well as the risk assessment of the entity itself. A simple certificate might not be enough for a high-risk jurisdiction.

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