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SEC, FinCEN Propose to Mandate Customer Identification Programs for Registered Investment Advisers,...
JD Supra· 4 days agoBoth SEC-registered investment advisers (RIAs) and SEC-exempt reporting advisers (ERAs) would be subject to the rule, while state-registered< ...
FinCEN and SEC Move Closer to New AML Requirements for Investment Advisers & ERAs | JD Supra
JD Supra· 5 days agoOn 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 ...
...Second Wave: FinCEN and SEC Further Extend Investment Advisers’ AML Obligations with New CIP ...
JD Supra· 6 days agoIn a sequel to FinCEN’s proposal earlier this year to extend anti-money laundering and Bank Secrecy Act regulations to investment advisers (AML/BSA Proposal), on May 13, 2024 ...
Request for Comments on FinCEN and SEC rule on CIP | JD Supra
JD Supra· 2 days agoReg. 44571, requesting comments on the proposed requirement that certain investment advisers (“RIAs”) and exempt reporting advisors ( ...
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
The National Law Review· 24 hours agoOn May 16, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced the adoption of...
SEC and FinCEN Propose Rule Requiring Investment Advisers to Enact Customer Identification Programs...
JD Supra· 4 days agoTreasury Department announced a joint notice of proposed rulemaking that would require investment advisers to take steps to verify their customers’ identities. The rule would ...
SEC and FinCEN Propose Customer Identification Obligations for Investment Advisers | JD Supra
JD Supra· 5 days agoUnder...relationship between a person and an investment adviser under which the investment adviser provides advisory services.”4 “Customer ...
SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies | JD...
JD Supra· 2 days agoOn May 16, 2024, the SEC amended Regulation S-P to impose new data privacy and security requirements on broker-dealers, registered investment< ...
SEC and FinCEN Propose Customer Identification Rule for Registered Investment | JD Supra
JD Supra· 3 days agoThe Proposed Rule would require ...
JD Supra: The SEC Amends the Internet Adviser Exemption
JD Supra· 3 days agoThe Internet Adviser Exemption, which was originally adopted in 2002, is one of several exemptions adopted by rule that permits investment advisers to register< ...