Laure Sguario

Laure Sguario

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SEC and FinCEN Propose Customer Identification Program Requirements for Investment Advisers

On May 13, 2024, the SEC and FinCEN jointly proposed a new rule under the Bank Secrecy Act (BSA) that would impose new customer identification program (CIP) requirements on registered investment advisers and exempt reporting...more

6/13/2024  /  AML/CFT , Anti-Money Laundering , Bank Secrecy Act , Comment Period , FinCEN , Investment Adviser , Registered Investment Advisors , Securities and Exchange Commission (SEC)
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