Investment Advisors Archives

Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers

Aug 28, 2024 Investment Advisors, Money Laundering, Regulatory

The Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of the Treasury, has issued a final rule requiring certain investment advisers, including Registered Investment Advisers (RIAs) and Exempt Reporting Advisers (ERAs), to implement...