investment advisers

2 articles tagged "investment advisers"

Fintech

FinCEN Unveils Final Rule Mandating AML/CFT Programs for Advisers

FinCEN has implemented a new rule that will obligate certain investment advisers to establish AML/CFT compliance programs by January 2026. This initiative is aimed at enhancing the monitoring and reporting of suspicious activities within the financial sector.

12 Sept 2024

Fintech

SEC and FinCEN Seek New Rules for Customer Identification in Finance

The SEC and FinCEN propose new customer identification rules for registered investment advisers to combat illicit financial activity, aiming to strengthen the industry’s safeguards.

13 May 2024