On May 13, 2024, the Financial Crimes Enforcement Network (FinCEN), a bureau within the U.S. Treasury Department, and the Securities and Exchange Commission (SEC) proposed a joint rule (the Proposed ...
In February 2024, the U.S. Department of the Treasury issued its 2024 Investment Adviser Risk Assessment, which explains that there are “several illicit finance threats involving investment advisers,” ...
Financial institutions operate in an environment where trust, compliance, and fraud prevention are inseparable. To protect the financial system from money laundering, terrorist financing, and identity ...
The Securities and Exchange Commission (SEC) and Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed a rule requiring registered investment advisers (RIAs) to implement ...
Written comments on this RFI are welcome and must be received on or before May 28, 2024. ADDRESSES: Comments may be submitted by any of the following methods: * Federal eRulemaking Portal: https://www ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
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