Jennifer Tian

Jennifer Tian

Latham & Watkins LLP

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SEC and FinCEN’s Proposed AML Rule Could Increase Compliance Burden on Investment Advisers

RIAs and ERAs may soon be required to implement procedures to verify their clients’ identities. On May 13, 2024, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes...more

6/4/2024  /  AML/CFT , Anti-Money Laundering , FinCEN , Investment Adviser , Proposed Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)
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