Join our panel of experts for a 60-minute session to discuss the pending Financial Crimes Enforcement Network (FinCEN) Investment Advisory Rule and what steps industry should be taking to prepare. The panel will include Sarah...more
On 12 June 2024, K2 Integrity and Schulte Roth & Zabel hosted a webinar discussing new regulatory obligations anticipated under proposed rules for investment advisers (IAs), timelines for finalization and compliance, and how...more
6/18/2024
/ AML/CFT ,
Broker-Dealer ,
Customer Due Diligence (CDD) ,
Customer Identification Program (CIP) ,
Filing Requirements ,
FinCEN ,
Investment Adviser ,
Notice of Proposed Rulemaking (NOPR) ,
Patriot Act ,
Policies and Procedures ,
Popular ,
Proposed Rules ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
On 13 February 2024, the Financial Crimes Enforcement Network (FinCEN) issued a groundbreaking Notice of Proposed Rulemaking (NPRM) to combat illicit finance and national security threats in the investment adviser sector. The...more
5/17/2024
/ AML/CFT ,
Anti-Money Laundering ,
Anti-Terrorism Financing ,
Bank Secrecy Act ,
FinCEN ,
Investment Adviser ,
National Security ,
Notice of Proposed Rulemaking (NOPR) ,
Proposed Rules ,
Recordkeeping Requirements ,
Regulatory Requirements ,
Reporting Requirements ,
Suspicious Activities ,
Webinars
On 13 February 2024, the Financial Crimes Enforcement Network (FinCEN) issued a groundbreaking Notice of Proposed Rulemaking (NPRM) to combat illicit finance and national security threats in the investment adviser sector. The...more
2/27/2024
/ AML/CFT ,
Anti-Money Laundering ,
Bank Secrecy Act ,
China ,
Corruption ,
Exempt Reporting Advisers (ERAs) ,
FinCEN ,
Fraud ,
Investment ,
Investment Adviser ,
National Security ,
Notice of Proposed Rulemaking (NOPR) ,
Office of Foreign Assets Control (OFAC) ,
Patriot Act ,
Proposed Rules ,
Russia ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Tax Evasion
On 14 September 2022, K2 Integrity hosted a webinar on considerations in the digital assets space. K2 Integrity Board Member Christopher Brummer and AML/CFT experts Mariano Federici and Alex Levitov discussed the current...more
10/3/2022
/ AML/CFT ,
Bank Secrecy Act ,
Basel Committee on Banking Supervision (BCBS) ,
Blockchain ,
Capital Controls ,
CFTC ,
Compliance ,
Cryptocurrency ,
Decentralized Finance (DeFi) ,
Digital Assets ,
FATF ,
Financial Institutions ,
Financial Instruments ,
FinCEN ,
FSB ,
Illiquid Assets ,
IOSCO ,
Non-Fungible Tokens (NFTs) ,
Personal Data ,
Risk Management ,
Sanction Violations ,
Securities and Exchange Commission (SEC) ,
Stablecoins ,
Terrorism Funding