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KLR Investment Advisors LLC Has $902,000 Stock Holdings in JPMorgan Chase & Co. (NYSE:JPM)
ETF DAILY NEWS· 7 days agoKLR Investment Advisors LLC decreased its holdings in shares of JPMorgan Chase & Co. (NYSE:JPM) by...
CSharpCorner Appoints Brian Hogan as Chief Investment Officer and Peter Rafferty as Senior Strategy ...
FOX 23 News Albany· 6 days agoCSharpCorner, the premier online community for software developers, announces the appointment of...
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 written customer ...
SEC, FinCEN Propose to Mandate Customer Identification Programs for Registered Investment Advisers,...
JD Supra· 4 days agoCommission (SEC) and the Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly issued a notice of proposed rulemaking that would require investment</ ...
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.gov | SEC Charges Ohio Broker-Dealer and Investment Adviser with Violations of Regulation BI and...
U.S. Securities and Exchange Commission· 5 days ago...2022, Key Investment Services failed to comply with Regulation BI by recommending, through its registered representatives and investment adviser representatives, that certain of its brokerage customers and advisory clients transfer securities from Key Investment Services accounts to new ...
JD Supra: Goodbye “Five-Part Test”—DOL Finalizes New Investment Advice Fiduciary Rules
JD Supra· 7 hours agoOn April 23, 2024, the Department of Labor (“DOL”) issued final rules which expand what it means to provide fiduciary “investment advice” under the Employee Retirement Income ...
...Client Alert: A Second Wave: FinCEN and SEC Further Extend Investment Advisers’ AML Obligations...
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 ...
Former investment advisor could face 30 years in jail for fraud, money laundering
InvestmentNews· 6 days agoA former New York registered investment advisor has been convicted in connection with a scheme to...
SEC and FinCEN Propose Customer Identification Obligations for Investment Advisers | JD Supra
JD Supra· 5 days ago...Advisers would be required to implement reasonable procedures to identify and verify the identity of their customers.3 The NPRM would define “account” as “any contractual or other business relationship between a person and an investment adviser under which the investment adviser provides advisory...
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