Know Your Investors Before You Know Their Returns
Hedge funds, asset managers, broker-dealers, RIAs, and family offices face increasing AML/KYC obligations from FinCEN, the SEC, FINRA, and international regulators.
Wealth Management Is a Prime Target for Layering
Investment accounts are ideal for layering. Complex transactions across securities, funds, and asset classes obscure the origin of illicit funds. FinCEN's Investment Advisor AML Rule (effective 2026) extends mandatory AML programs to registered investment advisors for the first time.
Sentinel™ provides investment firms with onboarding KYC, beneficial ownership verification, PEP screening, adverse media monitoring, and continuous portfolio-wide customer monitoring, all with the immutable audit trail regulators demand.
Good Tip from Oscar
"A PEP is not automatically a criminal. But a politically exposed person with unexplained wealth investing in your fund is a question you are now legally required to answer. The FinCEN 2026 rule makes it mandatory. Ask the question."
Key AML/KYC Regulations Sentinel™ Helps You Meet
FinCEN Investment Advisor AML Rule
Effective 2026, SEC-registered investment advisors must implement written AML programs, file SARs, and comply with applicable BSA requirements.
FINRA / SEC AML Requirements
FINRA Rule 3310 requires broker-dealers to establish AML compliance programs. SEC examinations increasingly focus on beneficial ownership identification.
OFAC Sanctions Screening
Investment managers must screen all investors, counterparties, and portfolio companies against OFAC's SDN list.
EU AMLA & 6AMLD
Asset managers in the EU are obligated entities under the AML Directives. AMLA's unified rulebook applies to cross-border investment entities from 2025.
FCA / MLRs 2017
FCA-authorized investment firms must comply with MLRs 2017, implement AML programs, conduct CDD on investors, and file SARs with the NCA.
FATF Recommendations
FATF's guidance on the securities sector identifies investment accounts as high-risk for layering. Risk-based CDD and beneficial ownership verification are required.
FINTRAC / PCMLTFA
Securities dealers and investment firms in Canada are reporting entities under the PCMLTFA.
AUSTRAC / ASIC
Australian fund managers must comply with AUSTRAC AML/CTF Act obligations, including customer identification and suspicious matter reporting.
Everything Your AML/KYC Compliance Team Needs
Lowest False Positive Rate
Secondary matching criteria date of birth, citizenship, address eliminate erroneous alerts before they reach your team. Your analysts focus on real risk.
Continuous Customer Monitoring
Your full customer portfolio is automatically re-screened when watchlists update. No manual batch jobs. No compliance gaps between periodic reviews.
Un-editable Audit Logs
Every decision, every alert, every override is timestamped and logged in an immutable audit trail. Fully exportable for examiner review at any time.
Real-Time API & Batch Processing
Integrate at onboarding via Real-Time API, or run batch screening across your full portfolio. Same-day go-live less than one business day to integrate.
Global Watchlist Coverage
OFAC SDN, UN, EU, HMT, DFAT, and 50+ additional global sanctions lists all updated daily. PEP screening and adverse media in 5 languages.
Tier 1 & 2 Support
From user training to technical consultation. Dedicated support for large operations. Human support from compliance professionals not a help desk queue.
Know Your Investors
Before They Know Your Fund.
FinCEN's Investment Advisor AML Rule is live. The days of investment managers sitting outside BSA scope are over. Sentinel™ has been screening beneficial owners and PEPs since before your LPs were asking about it. Learn more →
The irony of a compliance company having a disclaimer is not lost on us.
The information on this website is provided for general informational purposes only and does not constitute legal, regulatory, or compliance advice. Truth Technologies, Inc. makes no representations or warranties regarding the accuracy, completeness, or currency of the regulatory information presented. AML/KYC obligations vary by jurisdiction, institution type, and individual circumstances. Organizations should consult qualified legal counsel or a licensed compliance professional before making compliance decisions. Sentinel Compliance Platform™ is a product of Truth Technologies, Inc.