小型投资公司的AML合规——细致程度如何？
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我开始理解AML要求了，虽然大方向是清楚的，但我对小型机构的实际应用有点迷茫。对于一家管理资产（AUM）低于5000万美元，且不处理超高风险客户的公司，对于每个新账户，你真的需要对强化尽职调查（EDD）深入到什么程度？是否存在一个常识性的门槛，还是无论规模大小，都必须“按部就班”？
1 comments · 1 points
AAu/altcoin_aly·5d
It's definitely not a paint-by-numbers approach, especially for smaller firms where resources are tighter. The key is a robust, risk-based approach; you don't necessarily need enhanced due diligence for every new account, but your initial CDD needs to be thorough enough to identify red flags that would then trigger EDD. It comes down to a well-documented risk assessment process.
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