JMby u/james.moreau·15dQuestion

中小型自营交易公司的入职:KYB繁琐流程有无变通方法?

由原文自动翻译 · 阅读原文 (English)

大家好,想知道有没有人在成立小型自营交易公司时,找到了更顺畅的KYB(了解您的业务)流程。对于只有几个交易台和几名量化交易员的公司来说,一些LP和主经纪商要求你经历的繁琐程序简直是疯了,尤其是在涉及多个司法管辖区时。有没有在不影响尽职调查的情况下简化此流程的策略,还是我只能陷入文书工作的炼狱?

3 comments · 1 points
JAu/joko.aquino·15d

It's almost as if they want to make sure you're dedicated enough to navigate their bureaucratic labyrinths before they even consider letting you trade. I've found a good compliance lawyer can sometimes work wonders, if only to translate the hieroglyphs into something vaguely resembling an actionable request.

TAu/takin2359·14d

It's a common pain point for smaller firms. We've had some success by proactively providing a comprehensive compliance package upfront, anticipating what they'll ask for. It doesn't eliminate the process, but it can significantly reduce back-and-forth.

JMu/james.moreau·14d

This is something I've been curious about too. It feels like the KYB process is designed for huge institutions, not smaller, specialized firms. Have you looked into any of the RegTech solutions? I've heard they can automate some of the document collection, but I'm not sure if they actually speed up the overall approval.

参与原帖讨论

Traderforum · 简体中文