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AML/CFT Rules for Investment Advisers | JD Supra
JD Supra· 14 hours agoOn 12 June 2024, K2 Integrity and Schulte Roth & Zabel hosted a webinar discussing new regulatory obligations anticipated under proposed rules for investment advisers (IAs ...
FinCEN AML Alert Part 2: Customer Identification Program Requirements for Investment Advisers
The National Law Review· 4 days agoCIPs are intended to...
Understanding the Enhanced Regulation S-P Requirements | JD Supra
JD Supra· 14 hours agoThe amendments apply to broker-dealers, investment companies, and registered investment advisers (collectively, “covered institutions ...
SEC Adopts Amendments to Expand the Requirements of Regulation S-P for Registered Investment...
JD Supra· 5 days agoOn May 16, 2024, the SEC adopted amendments (the “Amendments”) to Regulation S-P to require SEC-registered investment advisers and broker-dealers (collectively ...
SEC and FinCEN Propose New Rule: Mandatory Customer Verification for Investment Advisers in 2024
The National Law Review· 6 days agoOn May 13, the US Securities and Exchange Commission (SEC) and the US Department of the Treasury’s...
Crypto for Advisors: Advisors and Crypto
CoinDesk via Yahoo Finance· 5 days agoThe day...education. Advisors must understand the available options, strategic allocation, investment theses, regulatory landscape and compliance
Anson Funds, affiliate to pay $2.25M for fund disclosure violations
Compliance Week· 6 days agoDallas-based registered investment adviser Anson Funds Management and Toronto-based exempt reporting...
SEC Tightens Cybersecurity Requirements with Regulation S-P Amendments
The National Law Review· 5 days agoFor covered institutions (generally, broker-dealers, investment companies, registered investment...
JD Supra: Reporting Requirements under the Corporate Transparency Act
JD Supra· 2 days agoThe CTA was enacted to counter, among other things, money laundering and financing of illegal activity by making it more difficult for bad actors to...
Fifth Circuit Vacates SEC Private Fund Adviser Rules | JD Supra
JD Supra· 6 days agoIn adopting the Private Fund Adviser Rules, the SEC had highlighted the increasing importance of private...
