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FinCEN and SEC propose Customer Identification Program requirements for investment advisers | JD...
JD Supra· 6 days agoEarlier in May 2024, the Financial Crimes Enforcement Network (FinCEN) continued its efforts to require registered investment advisers (RIAs) and exempt ...
SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment...
JD Supra· 6 days ago(FinCEN) jointly proposed a new rule that would require certain investment advisers to establish customer identification programs (CIPs). A CIP would need to include risk-based ...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 6 days agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-
Regulatory Roundup for May 2024 | JD Supra
JD Supra· 5 days agoThe SEC adopted extensive new requirements under Regulation S-P that will require broker-dealers, investment companies, registered < ...
SEC Expands Security and Breach Notification Requirements for Investment Firms | JD Supra
JD Supra· 4 days agoBrokers, dealers, investment companies, investment advisers, crowdfunding portals, and transfer agents registered with the SEC or another ...
JD Supra: SEC Settles with Five Investment Advisers for Marketing Rule Violations
JD Supra· 4 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers...
Fuchs Financial: Scenario-Based Planning for Retirement
WTNH-TV New Haven· 2 days agoHARTFORD, Conn. (WTNH) – Connecticut’s Morning Buzz’s Rachel Lutzker recently met with Ben Fuchs,...
We Are Still Bullish | ETF Trends
ETF Trends· 4 days agoEvery week, our research team aggregates all the macroeconomic indicators that Astoria monitors. Also, Frank Tedesco sent out a message, but I am...
Client Alert: The SEC Expands Its Cybersecurity Oversight by Adopting Regulation S-P Amendments | JD...
JD Supra· 1 day agoCovered financial institutions—including any broker-dealer, investment company, registered investment adviser, or transfer agent—will ...
FinCEN Seeks To Expand Reach of the BSA and Modernize Customer Identification Regulations | JD Supra
JD Supra· 5 days agoSecurities and Exchange Commission (SEC)-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish, document and maintain ...