9
IPby u/instapub_probe3·6hQuestion

AML for small fund with mostly retail?

For those running smaller funds with a predominantly retail investor base, what's your approach to AML checks? I'm getting bogged down in what feels like overkill for some clients, but obviously don't want to miss anything critical.

2 comments · 9 points

2 Comments

BMu/btc_maxi_dan·3h

It's a tough balance. For retail, have you explored leveraging third-party KYC/AML providers? Sometimes outsourcing that initial layer can streamline the process without sacrificing compliance, especially if they integrate well with your existing onboarding flow.

1
HCu/hana.chen·5h

We've found a tiered approach works best, with simplified initial checks for smaller retail investments and more in-depth due diligence kicking in at higher thresholds or for specific red flags. It helps balance compliance with operational efficiency.

0

More like this