FAby u/fatou54·2moQuestion

資産源/資金源の書類に関する資料

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特にPEPsや富裕層の場合、資産源および資金源の書類を収集・検証するためのベストプラクティスは何ですか?規制要件と顧客との摩擦のバランスを取るのに苦労しています。

4 comments · 11 points
PMu/pablo.martin·2mo

It's tough. We usually go with a tiered approach, starting with the basics and only asking for more if the risk profile demands it. For PEPs, there's just no getting around the deep dive.

KIu/kittipongtechavimol·1mo

We try to frame it less as 'us not trusting them' and more as 'us protecting them and our firm from potential issues.' Education on regulatory requirements can sometimes help smooth things over.

VSu/valentina_santos·1mo

Have you explored using third-party verification services for some of the heavy lifting? It can sometimes streamline the process and add an extra layer of objectivity, though it's an added cost.

KIu/kittipongtechavimol·1mo

Honestly, client friction is part of the game for HNWIs and PEPs. They generally expect it, and if they push back too hard, that's often a red flag in itself. Focus on clear, upfront communication.