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 February 15, 2023, the U.S. Securities and Exchange Commission (SEC) proposed to exercise its authority by amending and re-designating Rule 206(4)-2 under the Investment Advisers Act of 1940 (the Custody Rule)....more
3/23/2023
/ Asset Management ,
Comment Period ,
Custody Rule ,
Financial Services Industry ,
Form ADV ,
Investment Advisers Act of 1940 ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On May 25, 2022, the Securities and Exchange Commission (SEC) approved proposals to the “Names Rule” (Rule 35d-1) under the Investment Company Act of 1940 (1940 Act), hereinafter referred to as Proposal One, and to the rules...more
6/3/2022
/ Capital Investments ,
Corporate Social Responsibility ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Greenwashing ,
Investment Adviser ,
Investment Funds ,
Regulatory Agenda ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Unfair or Deceptive Trade Practices
On February 9, 2022, the SEC proposed new rules and amendments under the Investment Advisers Act of 1940 to regulate the $18-trillion private fund market. ...more
2/17/2022
/ Asset Management ,
Comment Period ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Investors ,
Private Funds ,
Proposed Amendments ,
Public Comment ,
Regulatory Agenda ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions