The Proposed Rule would require registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish, document and maintain written customer identification programs (CIPs).
The Proposed Rule comes...more
6/5/2024
/ AML/CFT ,
Bank Secrecy Act ,
Beneficial Owner ,
Customer Identification Program (CIP) ,
Exempt Reporting Advisers (ERAs) ,
Financial Services Industry ,
FinCEN ,
Investment Adviser ,
Notice Requirements ,
Proposed Rules ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)