Search results
SEC and FinCEN Propose New Rule: Mandatory Customer Verification for Investment Advisers in 2024
The National Law Review· 7 days agoOn May 13, the US Securities and Exchange Commission (SEC) and the US Department of the Treasury’s...
New Documents Show SEC’s Concerns About Crypto Company Aiming for IPO
Barrons.com· 8 hours agoFrom the first set of questions, the agency homed in on Circle’s regulatory status and whether the...
SEC and FinCEN Propose Customer Identification Program Requirements for Investment Advisers | JD...
JD Supra· 6 days agoOn May 13, 2024, the SEC and FinCEN jointly proposed a new rule under the Bank Secrecy Act (BSA) that would impose new customer identification program (CIP) requirements on ...
FinCEN AML Alert Part 2: Customer Identification Program Requirements for Investment Advisers
The National Law Review· 5 days agoCIPs are intended...
AML/CFT Rules for Investment Advisers | JD Supra
JD Supra· 20 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 ...
Fugitive ex-CEO of investment firm arrested on securities, wire fraud charges
CNBC· 4 hours agoA former investment company CEO who previously appeared as a paid contributor to CNBC was arrested...
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
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 Settles Charges Against Dually-Registered Broker-Dealer and Adviser for Alleged Failure to...
JD Supra· 5 days agoOn May 21, 2024, the SEC announced the settlement of administrative proceedings brought against a dually-registered broker-dealer and investment ...
Financial Advisors Slow In Adopting Bitcoin ETFs Despite Self-Directed Investor Surge, BlackRock...
Benzinga· 2 days agoA BlackRock Inc. executive has suggested that financial advisors are proceeding cautiously with...