News & Analysis as of September 18, 2024

Comment Period

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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +

SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain Investment Advisers

BCLP on 5/21/2024

On May 13, 2024, the Securities and Exchange Commission (SEC) and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed rules (CIP Rules) that would impose customer identification...more

SEC, FinCEN Propose Customer Identification Program Requirements for RIAs and ERAs

Stinson LLP on 5/21/2024

On May 13, 2024, the Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) issued a joint notice of proposed rulemaking (proposed rule) that would impact how investment advisers handle...more

FinCEN Proposes AML/CFT Rules for Investment Advisers

BCLP on 2/26/2024

On February 13, 2024, the U.S. Treasury Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking regarding a new proposed rule that would require certain investment advisers to apply anti-money...more

Proposed AML Suspicious Activity Rule

Stark & Stark on 2/19/2024

On February 13, 2024, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed a rule to combat criminals and foreign adversaries from exploiting the U.S. financial system through investment...more

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Today's Popular Updates › AML/CFT › Comment Period

SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain Investment Advisers

SEC, FinCEN Propose Customer Identification Program Requirements for RIAs and ERAs

FinCEN Proposes AML/CFT Rules for Investment Advisers

Proposed AML Suspicious Activity Rule

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