Amendment Focuses on Professional “Gatekeepers” – Lawyers, Accountants, Payment Processors, and Those Providing Corporate Formation and Trust Services -
On July 13, 2022, the House of Representatives (the “House”) adopted...more
Amicus Briefs Urge that Only FinCEN, Not the SEC, Should Enforce the BSA in Regards to Broker-Dealers -
In the next stage of the Alpine Securities saga (as we blogged about here, here and here), a petition for a writ of...more
Bottom Line: Biden Administration May Revive FinCEN’s Proposed Rule For Investment Advisers -
Unlike broker-dealers, investment advisers are not currently required to maintain anti-money laundering...more