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Client Alert: A Second Wave: FinCEN and SEC Further Extend Investment Advisers’ AML Obligations with...
JD Supra· 1 day 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 ...
SEC Fines Financial Advisor for Undisclosed Conflicts Related to Film-Production Company
Barron s Online· 6 days agoThe Securities and Exchange Commission has fined a New York registered investment advisor firm and...
Pushing Reg S-P: SEC Adopts Amendments to Modernize and Enhance Regulation S-P | JD Supra
JD Supra· 1 day agoOn May 16, 2024, the Securities and Exchange Commission (“SEC”) approved amendments to Regulation S-P to address unauthorized access to or use of “customer information” (a ...
SEC Releases a Ton of Data on Financial Advice Firms. Here Are 4 Remarkable Stats.
Barrons.com· 23 hours agoFrom total number of firms and employee count to the steep rise in assets under management, the...
FUNDamentals: Is the Joint FinCEN and SEC Proposal for Investment Adviser Customer Identification...
JD Supra· 4 days agoOn May 13, 2024, the U.S. Securities and Exchange Commission’s Division of Investment Management (“SEC”) and the U.S. Department of the Treasury’s...
Go Ahead and Take a CIP: SEC and Treasury Department Propose New Regulations for Investment Advisors
The National Law Review· 6 days ago...Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism...
FinCEN (and SEC) Propose New Customer Identification Program Rule With Minimal Expected Impact on...
JD Supra· 4 days agoSimilar to the AML/CFT program rule, the Proposed Rule would cover both SEC-registered investment advisers and exempt reporting advisers ...
SEC and FinCEN Propose Customer Identification Program Requirements for Certain Investment Advisers...
JD Supra· 4 days agoIn February 2024, the U.S. Department of the Treasury issued its 2024 Investment Adviser Risk Assessment, which explains that there are “several...
Is Fidelity A Fiduciary To Your Money? What You Need To Know
247wallst.com· 4 days agoFidelity Investments is a fiduciary when it works in an investment adviser capacity. Fidelity’s ...
Customer Identification Program Requirements for Investment Advisers | JD Supra
JD Supra· 5 days agoThe CIP...