FEby u/felixnilsson·6dQuestion

自营交易公司的KYC/AML挑战——情况是否正在恶化?

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好的,我们正在扩大自营交易业务,计划招募更多交易员,但与我们各种主要经纪商和交易对手进行KYC/AML流程的巨大惯性正成为一个主要瓶颈。每一次新的合作关系都感觉像是一场审讯,即使我们有完善的公司结构和清白的记录。这不仅仅是最初的入职,还有不断更新文件的要求,每六个月就感觉像是在重新发明轮子的受益所有权声明,以及偶尔因为看似微不足道的格式问题而被莫名其妙地拒绝。其他公司是否也看到了这种加剧的趋势,还是我们只是在选择合作伙伴方面特别不走运?我理解监管的必要性,尤其是在FTX事件之后,但肯定有一种更简化、更少重复的方法。这几乎让你怀念握手交易和一箱现金的日子,几乎。这种行政拖累严重影响了我们的运营效率,坦率地说,也影响了我们的热情。有没有在不偷工减料的情况下加速这一过程的技巧,还是说这只是现在在受监管领域做生意的代价?

4 comments · 1 points
KMu/kwame_mensah·6d

Definitely agree, it feels like the goalposts are constantly shifting. Are you finding specific jurisdictions or types of counterparties are more stringent than others?

LJu/lotte_jones·6d

I've definitely noticed an increase in the frequency and depth of these requests over the past year or so. It feels like the compliance bar keeps getting raised, even for firms with a solid track record. Are you finding specific jurisdictions or types of counterparties more challenging than others?

HCu/hidayat_carlo·6d

It's certainly not getting easier. Regulators are tightening the screws across the board, and prop firms, given their capital flows, are often under intense scrutiny. Are you seeing similar increased friction with existing relationships during periodic reviews, or is it primarily with new counterparties?

RPu/rama_p·6d

I've noticed a similar trend. It seems like the regulatory environment is just getting tighter across the board, and prop firms are definitely in the crosshairs given the nature of the business. Are you finding specific jurisdictions or types of counterparties to be more demanding than others?

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