Stay compliant with SEC and FinCEN standards while meeting increasing bank and broker-dealer requirements. Our financial crime advisory team leverages Passthrough's AI-powered software to provide fully managed KYC/AML services that scale with your firm.
Avoid regulatory penalties and reputational damage with a comprehensive KYC/AML program that demonstrates risk management to investors, counterparties, and regulators. Professional compliance oversight builds credibility with institutional investors and protects your firm from costly remediation down the road.
Stay ahead of financial crime risks with continuous monitoring, real-time alerts, and centralized platform visibility. See all your LP information in one place with detailed audit logs and customizable alerts when an investor's status changes.
Leverage deep regulatory expertise without the cost or difficulty of building an internal financial crime compliance department. Our Chief Compliance Officer serves as your named AML officer, handling day-to-day operations so you can focus on fund management.
Meet the KYC/AML standards that banks and broker-dealers increasingly demand from their investment adviser clients. Our financial crimes advisory infrastructure ensures you can maintain critical banking relationships and satisfy counterparty due diligence requirements.
Managed services handle increased LP volume and regulatory complexity without requiring additional internal staff. Our expert team grows with your firm, managing everything from policies and training to investigations and ongoing monitoring.
Comprehensive KYC/AML policies and procedures tailored specifically for RIAs. We provide the foundational compliance framework that demonstrates professional risk management to counterparties.
Expert-led training programs that keep your team current on evolving KYC/AML requirements and best practices. Our training ensures your staff understands compliance obligations and can identify potential red flags.
Advanced due diligence capabilities that confirm investor funds are derived from legitimate activity. We reconcile banking activity and provide comprehensive documentation that exceeds bank requirements and satisfies institutional investor expectations.
Professional investigation services and Suspicious Activity Report (SAR) filing when potential risks are identified. Our experts handle the documenting and reporting suspicious activity.
Technology-powered audit platform with expert oversight that conducts thorough testing and compliance assessment. Our audits deliver more accurate results than traditional manual approaches and provide the documentation required for institutional relationships.
Our Chief Compliance Officer serves as your named AML officer, providing dedicated oversight and professional leadership. This eliminates the need to hire specialized internal staff while ensuring you have expert guidance.
We build custom document collection workflows for investors to provide the required ownership docs, down to the ultimate beneficial owner.
Our team reviews the investor’s documentation to validate their identity.
We automatically screen investors against sanctions lists to provide recommendations so you can assess the level of risk before admitting LPs.
Our team screens nightly and surfaces additional information on matches or potential new matches so you can mitigate any potential risks in the future.
Establish a financial crime compliance infrastructure that grows with your firm and doesn't overwhelm your lean team.
You're focused on growth with limited resources. Make sure you manage your risk from day one and know exactly who you're letting into your fund. Get essential KYC/AML infrastructure to meet bank and broker-dealer requirements without exhausting your resources.
Confidently scale your protection capabilities without adding headcount as you attract institutional investors and meet heightened counterparty requirements.
You're growing fast. Make sure your financial crime compliance can scale to keep up with your growth and the increased scrutiny that comes with an expanding and uncertain regulatory landscape. You can expand upmarket with institutional investors knowing your KYC/AML will satisfy their needs.
Comprehensive documentation and audit capabilities that meet the most demanding institutional and regulatory requirements.
You need granular, real-time data on your investors in one place so your compliance team and fund administrators can be as efficient as possible. We can build document collection workflows for multiple jurisdictions so your team has the investor info and audit trails they need at their fingertips.
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