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United States - Corporate Governance - SEC And FinCEN Propose Rule Requiring Investment Advisers To Enact Customer Identification Programs

May 27, 2024
On May 13, 2024, the Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) of the U.S. Treasury Department announced...
Money Laundering Program Program Requirements For Registered Investment Advisers Us Treasury Department Financial Crimes Enforcement Network Fin Treasury Department Bank Secrecy
Source: mondaq.com

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

May 22, 2024
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...
Us Treasury Department Bank Secrecy Money Laundering Program Kramer Levin Naftalis Frankel Exchange Commission Financial Crimes Enforcement Network Fin
Source: jdsupra.com

Practical Tips for Broker-Dealers After SEC Flags Compliance Issue | Parker Poe Adams & Bernstein LLP

August 22, 2023
Last month, the U.S. Securities and Exchange Commission (SEC) took a refreshed look at how broker-dealers are complying with anti-money laundering rules. What auditors discerned — as...
Exchange Commission Financial Industry Regulatory Authority Parker Poe Adams Bernstein Division Of Examinations Parker Poe Adams Customer Identification Programs
Source: jdsupra.com

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