Charles Horn

Charles Horn

Morgan Lewis

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Latest Posts › Bank Secrecy Act


AML Requirements Proposed for SEC Registered Advisers

On August 25, the Financial Crimes Enforcement Network (FinCEN), a bureau of the US Department of the Treasury (Treasury), published a notice of proposed rulemaking (NPRM) to impose anti-money laundering (AML) programs and...more

9/2/2015 - Anti-Money Laundering Bank Secrecy Act Banking Sector Currency Transaction Reports (CTR) Financial Institutions Financial Services Industry FinCEN Investment Adviser Investment Advisers Act of 1940 Patriot Act Recordkeeping Requirements SEC Suspicious Activity Reports

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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