On 22 August 2024, K2 Integrity hosted a webinar discussing considerations related to the pending anti-money laundering rule (AML) for investment advisers (IAs) from the Financial Crimes Enforcement Network (FinCEN). The...more
8/27/2024
/ Anti-Money Laundering ,
Banks ,
Broker-Dealer ,
Capital Markets ,
Customer Due Diligence (CDD) ,
Data Privacy ,
Financial Crimes ,
Financial Institutions ,
FinCEN ,
Investment Adviser ,
Investment Companies ,
Notice of Proposed Rulemaking (NOPR) ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
On 12 June 2024, K2 Integrity and Schulte Roth & Zabel hosted a webinar discussing new regulatory obligations anticipated under proposed rules for investment advisers (IAs), timelines for finalization and compliance, and how...more
6/18/2024
/ AML/CFT ,
Broker-Dealer ,
Customer Due Diligence (CDD) ,
Customer Identification Program (CIP) ,
Filing Requirements ,
FinCEN ,
Investment Adviser ,
Notice of Proposed Rulemaking (NOPR) ,
Patriot Act ,
Policies and Procedures ,
Popular ,
Proposed Rules ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
On 13 February 2024, the Financial Crimes Enforcement Network (FinCEN) issued a groundbreaking Notice of Proposed Rulemaking (NPRM) to combat illicit finance and national security threats in the investment adviser sector. The...more
5/17/2024
/ AML/CFT ,
Anti-Money Laundering ,
Anti-Terrorism Financing ,
Bank Secrecy Act ,
FinCEN ,
Investment Adviser ,
National Security ,
Notice of Proposed Rulemaking (NOPR) ,
Proposed Rules ,
Recordkeeping Requirements ,
Regulatory Requirements ,
Reporting Requirements ,
Suspicious Activities ,
Webinars
On 13 February 2024, the Financial Crimes Enforcement Network (FinCEN) issued a groundbreaking Notice of Proposed Rulemaking (NPRM) to combat illicit finance and national security threats in the investment adviser sector. The...more
2/27/2024
/ AML/CFT ,
Anti-Money Laundering ,
Bank Secrecy Act ,
China ,
Corruption ,
Exempt Reporting Advisers (ERAs) ,
FinCEN ,
Fraud ,
Investment ,
Investment Adviser ,
National Security ,
Notice of Proposed Rulemaking (NOPR) ,
Office of Foreign Assets Control (OFAC) ,
Patriot Act ,
Proposed Rules ,
Russia ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Tax Evasion
Summary of What Has Happened and What Is Yet to Come -
On 19 October 2023, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced a Notice of Proposed Rule Making (NPRM), pursuant to...more
11/14/2023
/ Convertible Virtual Currencies (CVCs) ,
Department of Justice (DOJ) ,
Employee Benefits ,
Financial Institutions ,
FinCEN ,
Money Laundering ,
Notice of Proposed Rulemaking (NOPR) ,
Office of Foreign Assets Control (OFAC) ,
Patriot Act ,
Popular ,
Proposed Regulation ,
Recordkeeping Requirements ,
Reporting Requirements ,
Risk Assessment ,
Risk Management ,
Suspicious Activity Reports (SARs) ,
Terrorist Financing ,
Transparency ,
Virtual Currency