On May 13, 2024, the Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) issued a joint notice of proposed rulemaking (proposed rule) that would impact how investment advisers handle...more
5/21/2024
/ AML/CFT ,
Anti-Money Laundering ,
Comment Period ,
Customer Identification Program (CIP) ,
Financial Crimes ,
Financial Services Industry ,
FinCEN ,
Investment Adviser ,
NPRM ,
Popular ,
Registered Investment Advisors ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
On February 13, 2024, the Financial Crimes Enforcement Network (FinCEN) of the U.S. Department of Treasury (Treasury) issued a "Notice of proposed rulemaking" (proposed rule) that would require Securities Exchange Commission...more
2/23/2024
/ AML/CFT ,
Anti-Money Laundering ,
Beneficial Owner ,
BSA/AML ,
Comment Period ,
FinCEN ,
Investment Adviser ,
Money Laundering ,
NPRM ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Securities Transactions ,
Suspicious Activity Reports (SARs) ,
U.S. Treasury