News & Analysis as of November 12, 2024

Exempt Reporting Advisers (ERAs)

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Implementing FinCEN Final Rule Imposing Anti-Money Laundering Requirements On Investment Advisers

K2 Integrity on 10/24/2024

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

FinCEN Proposes Rule to Extend Bank Secrecy Act Obligations to Certain Investment Advisers

King & Spalding on 2/27/2024

The Proposed Rule Would Subject Certain Investment Advisers to a Broad Range of AML/CFT Obligations and Represents a Significant Development for the Sector - Regulators have long considered the lack of anti-money...more

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Investment Advisers Act of 1940 › Currency Transaction Reports (CTR) › Exempt Reporting Advisers (ERAs)

Implementing FinCEN Final Rule Imposing Anti-Money Laundering Requirements On Investment Advisers

FinCEN Proposes Rule to Extend Bank Secrecy Act Obligations to Certain Investment Advisers

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