On May 13, 2024, the Securities and Exchange Commission (SEC) and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed rules (CIP Rules) that would impose customer identification...more
5/21/2024
/ AML/CFT ,
Comment Period ,
Compliance ,
Customer Identification Program (CIP) ,
Customer Information ,
FinCEN ,
Investment Adviser ,
Popular ,
Proposed Rules ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
On February 13, 2024, the U.S. Treasury Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking regarding a new proposed rule that would require certain investment advisers to apply anti-money...more
2/26/2024
/ AML/CFT ,
Anti-Money Laundering ,
Bank Secrecy Act ,
Beneficial Owner ,
Comment Period ,
Compliance ,
Examination Priorities ,
Exemptions ,
Financial Institutions ,
Financial Services Industry ,
FinCEN ,
Information Sharing ,
Investment Adviser ,
NPRM ,
Popular ,
Proposed Rules ,
Registered Investment Advisors ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
U.S. Treasury