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FinCEN and SEC Move Closer to New AML Requirements for Investment Advisers & ERAs | JD Supra
JD Supra· 21 hours 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 ...
SEC and FinCEN Propose Customer Identification Obligations for Investment Advisers | JD Supra
JD Supra· 21 hours agoDepartment of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released a joint notice of a proposed rulemaking (NPRM) that would require federally registered ...
SEC, FinCEN Propose Customer Identification Program Requirements for RIAs and ERAs | JD Supra
JD Supra· 21 hours agoThe proposed rule would establish Customer Identification Programs (CIPs) for certain Registered Investment Advisers (RIAs) and Exempt Reporting Advisers ...
New Privacy and Cybersecurity Obligations for Private Fund Sponsors and Managers | JD Supra
JD Supra· 21 hours agoLast week, the Securities and Exchange Commission imposed expanded privacy and cybersecurity obligations on fund managers and sponsors registered with the SEC as ...
...Client Alert: A Second Wave: FinCEN and SEC Further Extend Investment Advisers’ AML Obligations...
JD Supra· 2 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 ...
Modern Wealth Makes 2 More Acquisitions as Assets Top $3.7 Billion
Barrons.com· 10 hours agoBEST PRACTICES Modern Wealth Management, the registered investment advisor launched a year ago by...
FUNDamentals: Is the Joint FinCEN and SEC Proposal for Investment Adviser Customer Identification...
JD Supra· 5 days agoOn May 13, 2024, the U.S. Securities and Exchange Commission’s Division of Investment Management (“SEC”) and the U.S. Department of the Treasury’s...
Terry Savage: Deadline for applications for student loan forgiveness extended
Chicago Tribune· 4 hours agoConsumers just got some good news about a student loan forgiveness extension and about protections...
IsoEnergy Ltd.'s (CVE:ISO) largest shareholders are individual investors with 50% ownership, public...
Simply Wall St. via Yahoo Finance· 11 hours agoThe company's largest shareholder is NexGen Energy Ltd., with ownership of 33%. With 6.2% and 4.4%...
Meet an Advisor: Simon Brady
ETF Trends via Yahoo Finance· 5 days agoEvan Harp sat down with Anglia Advisors Founder and Principal, Simon Brady CFP®, CETF® to discuss his journey and philosophy. Simon Brady: One thing to...
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