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United States - Money Laundering - SEC And FinCEN Propose Customer Identification Obligations For Investment Advisers

On May 13, the Securities and Exchange Commission (SEC) and the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) released a joint notice of a proposed.

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SEC and FinCEN Propose Rule Requiring Investment Advisers to Enact Customer Identification Programs | Kramer Levin Naftalis & Frankel LLP

On May 13, 2024, the Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) of the U.S. Treasury Department announced a joint notice of proposed.

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SEC, FinCEN Propose Customer Identification Program Requirements for RIAs and ERAs | Stinson LLP

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.

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SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain Investment Advisers | BCLP

SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain Investment Advisers | BCLP
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FinCEN and SEC Move Closer to New AML Requirements for Investment Advisers & ERAs | White & Case LLP

On May 13, 2024, FinCEN and the SEC jointly proposed a new rule that would require SEC-registered investment advisers and exempt reporting advisers to maintain written customer.

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