Cailin Liu

Cooley LLP

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SEC, FinCEN Propose to Mandate Customer Identification Programs for Registered Investment Advisers, Exempt Reporting Advisers

On May 13, 2024, the US Securities and Exchange Commission (SEC) and the Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly issued a notice of proposed rulemaking that would require investment...more

5/22/2024  /  Anti-Money Laundering , Customer Identification Program (CIP) , Exempt Reporting Advisers (ERAs) , FinCEN , Investment Adviser , Popular , Registered Investment Advisors , Securities and Exchange Commission (SEC)
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