On August 28, 2024, the Financial Crimes Enforcement Network (“FinCEN”) issued a final rule (the “Final Rule”) that will define most SEC-registered investment advisers (“RIAs”) and exempt reporting advisers (“ERAs”) as...more
10/16/2024
/ AML/CFT ,
Anti-Money Laundering ,
Bank Secrecy Act ,
Compliance ,
FinCEN ,
Foreign Private Issuers ,
Investment Advisers Act of 1940 ,
Money Laundering ,
Mutual Funds ,
Policies and Procedures ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Travel Rule
On December 8, 2021, the Financial Crimes Enforcement Network (FinCEN) published in the Federal Register its first installment of widely anticipated Proposed Rules regarding the Corporate Transparency Act of 2019 (CTA). The...more