On 28 August 2024, the Financial Crimes Enforcement Network (FinCEN) issued its Final Rulemaking to include certain investment advisers in the definition of a “financial institution” under the Bank Secrecy Act (BSA). The...more
10/24/2024
/ AML/CFT ,
Anti-Money Laundering ,
Bank Secrecy Act ,
Currency Transaction Reports (CTR) ,
Customer Due Diligence (CDD) ,
Customer Identification Program (CIP) ,
Employee Training ,
Enforcement ,
Exempt Reporting Advisers (ERAs) ,
FBAR ,
Final Rules ,
Financial Institutions ,
FinCEN ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Popular ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
On 22 August 2024, K2 Integrity hosted a webinar discussing considerations related to the pending anti-money laundering rule (AML) for investment advisers (IAs) from the Financial Crimes Enforcement Network (FinCEN). The...more
8/27/2024
/ Anti-Money Laundering ,
Banks ,
Broker-Dealer ,
Capital Markets ,
Customer Due Diligence (CDD) ,
Data Privacy ,
Financial Crimes ,
Financial Institutions ,
FinCEN ,
Investment Adviser ,
Investment Companies ,
Notice of Proposed Rulemaking (NOPR) ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
On 12 June 2024, K2 Integrity and Schulte Roth & Zabel hosted a webinar discussing new regulatory obligations anticipated under proposed rules for investment advisers (IAs), timelines for finalization and compliance, and how...more
6/18/2024
/ AML/CFT ,
Broker-Dealer ,
Customer Due Diligence (CDD) ,
Customer Identification Program (CIP) ,
Filing Requirements ,
FinCEN ,
Investment Adviser ,
Notice of Proposed Rulemaking (NOPR) ,
Patriot Act ,
Policies and Procedures ,
Popular ,
Proposed Rules ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)