Tag
Customer Due Diligence
4 articles tagged Customer Due Diligence.
Articles
AML Requirements for UK Asset Managers
Asset managers, AIFMs and wealth managers authorised by the FCA are in scope of the Money Laundering Regulations 2017 today. What that actually requires.
Beneficial Owners in Fund and Trust Structures
Ownership stops resolving before it reaches a person. UK and EU thresholds, what a trust needs instead of a share register, and when the chain runs out.
Investor Due Diligence for Fund Managers
A subscription document is not customer due diligence. What a fund manager must establish when the investor is a company, a trust, a nominee or a feeder.
Source of Wealth vs Source of Funds
They are not the same check, and treating them as interchangeable is a common review finding. What each one establishes, and what counts as evidence.
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