Charles Horn

Charles Horn

Morgan Lewis

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SEC Extends AML Relief for Broker-Dealer CIP Reliance on Advisers

The SEC’s action suggests that formal antimoney laundering program requirements for investment advisers may be on the horizon. On January 9, the staff of the U.S. Securities and Exchange Commission (SEC) issued the...more

1/19/2015 - Anti-Money Laundering Bank Secrecy Act FinCEN Investment Adviser No-Action Relief NOPR Reporting Requirements SEC SIFMA U.S. Treasury

FinCEN Proposes to Expand Financial Institution Customer Due Diligence Requirements

The proposal would require financial institutions to identify beneficial owners of legal entities and codify existing customer due diligence guidance....more

8/6/2014 - Anti-Money Laundering Bank Secrecy Act Banks Compliance Due Diligence FCMs FinCEN SEC

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