Investment advisers and others involved in the implementation of the new IA AML mandate have been alert to potential ramifications to the rule due to the upcoming change in administration. Upon review, K2 Integrity and...more
12/31/2024
/ Anti-Money Laundering ,
BSA/AML ,
Business Operations ,
Corporate Governance ,
Final Rules ,
Internal Controls ,
Investment Adviser ,
Policies and Procedures ,
Risk Management ,
Trump Administration ,
Vendor Contacts ,
Webinars
On 28 August 2024, the Financial Crimes Enforcement Network (FinCEN) issued its Final Rulemaking to include certain investment advisers in the definition of a “financial institution” under the Bank Secrecy Act (BSA). The...more
10/24/2024
/ AML/CFT ,
Anti-Money Laundering ,
Bank Secrecy Act ,
Currency Transaction Reports (CTR) ,
Customer Due Diligence (CDD) ,
Customer Identification Program (CIP) ,
Employee Training ,
Enforcement ,
Exempt Reporting Advisers (ERAs) ,
FBAR ,
Final Rules ,
Financial Institutions ,
FinCEN ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Popular ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
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