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SEC, FinCEN Propose to Mandate Customer Identification Programs for Registered Investment Advisers,...
JD Supra· 4 days agoBoth SEC-registered investment advisers (RIAs) and SEC-exempt reporting advisers (ERAs) would be subject to the rule, while state-registered< ...
RIAs See Growth Potential in Clients' Savings Account Assets: Survey | ThinkAdvisor
ThinkAdvisor· 4 days agoRegistered investment advisors have mixed views on how November elections will affect the economic...
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 ...
Security Benefit releases new benchmark study exploring RIA sentiment around 2024’s most galvanizing...
The Morning Sun· 4 days agoSecurity Benefit today released its Registered Investment Advisor (RIA) Benchmark Study, a detailed look into the perspectives of RIAs ...
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 ...
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...
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 Rules to Impose Customer Identification Program Obligations on Certain ...
JD Supra· 5 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 ...
SEC, FinCEN Propose Customer Identification Program Requirements for RIAs and ERAs | JD Supra
JD Supra· 5 days agoThe proposed rule would establish Customer Identification Programs (CIPs) for certain Registered Investment Advisers (RIAs) and Exempt Reporting Advisers ...
Waverly Advisors acquires Georgia firm - Birmingham Business Journal
The Business Journals· 3 days agoA Birmingham-based investment advisory firm has further expanded into the Atlanta area. Local ...