On 22 August 2024, K2 Integrity hosted a webinar discussing considerations related to the pending anti-money laundering rule (AML) for investment advisers (IAs) from the Financial Crimes Enforcement Network (FinCEN). The...more
8/27/2024
/ Anti-Money Laundering ,
Banks ,
Broker-Dealer ,
Capital Markets ,
Customer Due Diligence (CDD) ,
Data Privacy ,
Financial Crimes ,
Financial Institutions ,
FinCEN ,
Investment Adviser ,
Investment Companies ,
Notice of Proposed Rulemaking (NOPR) ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
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 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
The United States, the United Kingdom, and European Union have led a broad international coalition imposing a sweeping and unprecedented range of economic and financial sanctions against Russia and Belarus in response to...more
3/14/2022
/ Anti-Money Laundering ,
Anti-Terrorism Financing ,
Belarus ,
Cyber Attacks ,
Cybersecurity ,
Department of Justice (DOJ) ,
Digital Currency ,
Economic Sanctions ,
EU ,
Financial Institutions ,
Global Market ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Russia ,
SDN List ,
SWIFT ,
UK ,
Virtual Currency