Now that the dust has settled a little on the BE-10 benchmark survey responses, U.S. financial service providers, including investment advisers, should take note that the U.S. Bureau of Economic Analysis (the “BEA”) has...more
9/30/2015
/ BE-180 ,
BEA ,
Benchmarks ,
Civil Monetary Penalty ,
Filing Deadlines ,
Financial Institutions ,
Form BE-10 ,
Form BE-13 ,
Investment Adviser ,
Offshore Funds ,
Reporting Requirements ,
Surveys ,
Time Extensions
The Financial Crimes Enforcement Network (“FinCEN”), a bureau of the Department of Treasury, issued a proposed anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange...more
9/11/2015
/ Anti-Money Laundering ,
Bank Secrecy Act ,
CIP ,
Comment Period ,
Currency Transaction Reports (CTR) ,
Financial Institutions ,
FinCEN ,
Internal Controls ,
Investment Adviser ,
Policies and Procedures ,
Proposed Regulation ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Training
On April 15, 2014, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (the “SEC”) issued a Risk Alert regarding the SEC’s initiative to assess cybersecurity preparedness and...more