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SEC, FinCEN Propose to Mandate Customer Identification Programs for Registered Investment Advisers,...
JD Supra· 3 days agoBoth SEC-registered investment advisers (RIAs) and SEC-exempt reporting advisers (ERAs) would be subject to the rule, while state-registered< ...
SEC and FinCEN Propose Rule Requiring Investment Advisers to Enact Customer Identification Programs...
JD Supra· 3 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 ...
RIAs See Growth Potential in Clients' Savings Account Assets: Survey | ThinkAdvisor
ThinkAdvisor· 3 days agoRegistered investment advisors have mixed views on how November elections will affect the economic...
FinCEN and SEC Move Closer to New AML Requirements for Investment Advisers & ERAs | JD Supra
JD Supra· 4 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 ...
DCI Advisors (LON:DCI) Share Price Passes Above Two Hundred Day Moving Average of $4.73
ETF DAILY NEWS· 6 hours agoDCI Advisors Ltd (LON:DCI – Get Free Report) passed above its two hundred day moving average during trading on Friday . The stock has a two hundred day moving average of GBX ...
Former investment advisor could face 30 years in jail for fraud, money laundering
InvestmentNews· 5 days agoA former New York registered investment advisor has been convicted in connection with a scheme to...
myCIO Promotes William Stanley to Partner effective April 1, 2024
FOX 5 San Diego· 2 days agoPHILADELPHIA, May 23, 2024 /PRNewswire/ -- myCIO Wealth Partners LLC (myCIO), one of the largest independent registered investment advisors< ...
SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain ...
JD Supra· 4 days agoDepartment of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed rules (CIP Rules)[1] that would impose customer identification program obligations on SEC-registered ...
Modern Wealth Makes 2 More Acquisitions as Assets Top $3.7 Billion
Barrons.com· 4 days agoBEST PRACTICES Modern Wealth Management, the registered investment advisor launched a year ago by...
SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies | JD...
JD Supra· 1 day agoOn May 16, 2024, the SEC amended Regulation S-P to impose new data privacy and security requirements on broker-dealers, registered investment advisers, ...