News & Analysis as of August 20, 2025

Beneficial Owner

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The Financial Crimes Enforcement Network (FinCEN) is a bureau of the U.S. Department of the Treasury charged with detecting and combatting illegal activity within the financial system. FinCEN detects evidence of money laundering, terrorist financing and other financial crimes by collecting, monitoring, and analyzing financial transaction data. Such data is disseminated to both domestic and international law enforcement agencies. less -

February and March 2025 Regulatory Roundup

SEC Compliance Consultants, Inc. (SEC³) on 4/7/2025

SEC Clarifies Marketing Rule, Warms up to Crypto and Private Placements under 506(c), and Backs off Form SHO; Latest Lessons from EXAMS: Duty of Care and Risk Identification Failures - Welcome to our February and March 2025...more

Upcoming Reminders for FinCEN Beneficial Ownership Information Reporting

Seward & Kissel LLP on 11/27/2024

The Financial Crimes Enforcement Network’s (“FinCEN’s”) beneficial ownership reporting rule, issued under the Corporate Transparency Act (the “CTA” and such rule, the “BOI Reporting Rule”) became effective as of January 1,...more

Updated Alert: FinCEN Imposes New Reporting Requirements on LLCs and other Entities

Seward & Kissel LLP on 10/18/2024

As a reminder to our clients and friends of the firm, the beneficial ownership reporting deadline is soon approaching. Applicable entities that were formed or registered to do business in the U.S. prior to this year, have...more

Recent Legal Developments Affecting Syndicated Real Estate Funds

Partridge Snow & Hahn LLP on 4/18/2024

Two recent developments may affect private funds, including syndicated real estate offerings. First, at the end of last summer the SEC adopted the Private Fund Adviser rules, regulations that cover certain aspects of...more

The Corporate Transparency Act’s Impact on Private Fund Managers: Immediate Planning Needed

Akin Gump Strauss Hauer & Feld LLP on 12/11/2023

Starting on January 1, 2024, entities that are organized in the United States or are registered to do business in the United States will generally be required to disclose to the Financial Crimes Enforcement Network (an...more

CFTC ‘Clarifies’ Anti-Money Laundering Rule Obligations of Certain Introducing Brokers

Morgan Lewis on 8/6/2019

A recent interpretation by the CFTC (in consultation with FinCEN) of the customer identification program and beneficial ownership rules specifies that these rules do not apply to nontraditional introducing brokers, or...more

Recent Investment Management Developments - May 2016

Ballard Spahr LLP on 5/25/2016

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. ...more

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