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SEC and FinCEN Propose Customer Identification Program Requirements for Investment Advisers | JD...
JD Supra· 4 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 ...
FINRA Proposes Rules Regarding SEC-Mandated Reporting of Securities Lending Transactions | JD Supra
JD Supra· 5 days agoRule 10c-1a requires “covered persons” to report specified information about “covered securities loans” (as these terms are defined in...
...The CFTC Adopts Amendments to Capital and Financial Reporting Requirements for Swap Dealers...
The National Law Review· 3 days agoSection 4s(e) of the Commodity Exchange Act (CEA) requires the CFTC to adopt minimum capital and...
SEC Tightens Cybersecurity Requirements with Regulation S-P Amendments
The National Law Review· 4 days agoFor covered institutions (generally, broker-dealers, investment companies, registered investment...
Anson Funds, affiliate to pay $2.25M for fund disclosure violations
Compliance Week· 4 days agoDallas-based registered investment adviser Anson Funds Management and Toronto-based exempt reporting...
SEC and FinCEN Propose New Rule: Mandatory Customer Verification for Investment Advisers in 2024
The National Law Review· 5 days agoOn May 13, the US Securities and Exchange Commission (SEC) and the US Department of the Treasury’s...
Commissioner Uyeda calls for development of guiding principles for foreign company disclosure ...
JD Supra· 6 days agoMark Uyeda at the Harvard Law School Program on International Financial Systems, 2024 U.S.-China Symposium last week. Uyeda observes that, from its earliest days, the SEC ...
Data Breach Notification Requirements Under the Safeguards Rule Now in Effect | JD Supra
JD Supra· 4 days agoFor years, the Gramm-Leach-Bliley Act (GLBA) has required financial institutions to maintain reasonable safeguards for consumer data, but has only had limited breach-reporting
FinCEN AML Alert Part 2: Customer Identification Program Requirements for Investment Advisers
The National Law Review· 3 days agoCIPs are intended to aid in preventing, detecting and prosecuting money laundering...
Mitesco's Centcore Unit Joins With TeamLogic IT for Nationwide Support
NewMediaWire via Yahoo Finance· 48 minutes agoAccucom Adds Sentry RMS Application Set for Municpal, Law Enforcement and Public Works ContentVERO...