The Situation: The Financial Crimes Enforcement Network ("FinCEN") has adopted a rule that subjects certain investment advisers to anti-money laundering/countering the financing of terrorism program ("AML") requirements...more
9/23/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
BSA/AML ,
Final Rules ,
Financial Crimes ,
Financial Institutions ,
Financial Services Industry ,
FinCEN ,
Investment Adviser ,
Money Laundering ,
Reporting Requirements ,
Suspicious Activity Reports (SARs)
The Situation: The U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division") issued its 2021 examination priorities ("2021 Exam Priorities").
The Result: The 2021 Exam Priorities set...more
3/19/2021
/ Anti-Money Laundering ,
Broker-Dealer ,
Compliance ,
Investment Adviser ,
Municipal Advisers ,
OCIE ,
Regulation Best Interest ,
Regulation SCI ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)