Paul Stevens Jr.

Paul Stevens Jr.

Dechert LLP

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U.S. Proposes to Subject Non-U.S. SEC Registered Investment Advisers to Anti-Money Laundering Rules

The United States is proposing rules that, for the first time, would subject investment advisers registered or required to be registered (RIAs) with the U.S. Securities and Exchange Commission (SEC) under the Investment...more

9/24/2015  /  Anti-Money Laundering , Bank Secrecy Act , FinCEN , Non-US Entities , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Suspicious Activity Reports (SARs)

FinCEN Proposes Anti-Money Laundering Regulation for Investment Advisers

The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking on August 25, 2015,1 pertaining to all investment advisers registered or required to be registered...more

9/23/2015  /  Anti-Money Laundering , Bank Secrecy Act , Compliance , FinCEN , Investment Adviser , NPRM , Recordkeeping Requirements , Registered Investment Advisors , Suspicious Activity Reports (SARs) , U.S. Treasury
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