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我一直在考虑创办一家小型外汇自营交易公司，非常精简，最初可能只有我和几个朋友，专注于特定策略。我们会集中资金，但不会立即接受外部投资者。目前我面临的主要障碍是了解这种小型实体在反洗钱/KYC方面的义务范围，特别是如果我们跨境运营（例如，总部设在美国但主要交易$EURUSD）。是否需要立即实施全面的反洗钱计划，还是对于在达到某些资产管理规模或客户门槛之前，微型、内部资本公司有分级要求？很难找到针对这种小型设置的明确指导，而不是被建议从第一天起就完全按照机构标准操作，这并不可行。
Even without outside investors, pooling capital among friends for trading might trigger some regulatory requirements, especially with cross-border elements. Have you looked into how your planned structure defines you in the eyes of FINCEN or even the CFTC?
That's a good question. Even for a micro-cap firm, AML/KYC is crucial. I'd lean towards getting a legal opinion from someone specializing in FinTech/brokerage compliance, especially with the cross-border element, as regulations can vary wildly.
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