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
5/21/2024
/ AML/CFT ,
Anti-Money Laundering ,
Comment Period ,
Customer Identification Program (CIP) ,
Financial Crimes ,
Financial Services Industry ,
FinCEN ,
Investment Adviser ,
NPRM ,
Popular ,
Registered Investment Advisors ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
On February 13, 2024, the Financial Crimes Enforcement Network (FinCEN) of the U.S. Department of Treasury (Treasury) issued a "Notice of proposed rulemaking" (proposed rule) that would require Securities Exchange Commission...more
2/23/2024
/ AML/CFT ,
Anti-Money Laundering ,
Beneficial Owner ,
BSA/AML ,
Comment Period ,
FinCEN ,
Investment Adviser ,
Money Laundering ,
NPRM ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Securities Transactions ,
Suspicious Activity Reports (SARs) ,
U.S. Treasury
On Tuesday, the United States Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed a rule that would require SEC-registered investment advisers, including private equity and hedge funds, to comply...more
8/27/2015
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Banking Sector ,
Banks ,
Broker-Dealer ,
BSA/AML ,
Compliance ,
Currency Transaction Reports (CTR) ,
Financial Institutions ,
FinCEN ,
Hedge Funds ,
Investment Adviser ,
Money Laundering ,
Patriot Act ,
Private Equity ,
SAR ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
U.S. Treasury