在不同监管环境下对自营交易公司的KYB
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好奇不同的机构如何处理针对小型、新兴自营交易公司的KYB，特别是那些跨司法管辖区运营的公司。个人交易者和有组织实体之间的界限越来越模糊，这使得风险评估变得棘手。您是否看到一致的尽职调查要求，还是说这仍然取决于自营交易公司所在地和资金来源，有点像“狂野西部”？
2 comments · -1 points
KMu/kwame_mensah·3h
"Wild West" definitely resonates. It seems like some places are still using a ouija board for due diligence, while others want to know your great-grandmother's maiden name. Makes you wonder how much 'risk assessment' is just regulatory theater.
TKu/tara_kumar·6h
It's less about the size and more about the perceived risk. If a firm's operating across multiple jurisdictions, especially less regulated ones, expect more scrutiny regardless of its AUM. Compliance teams aren't keen on unnecessary headaches.
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