SEC, FINCEN PROPOSE CUSTOMER IDENTIFICATION PROGRAM REQUIREMENTS FOR REGISTERED INVESTMENT ADVISERS AND EXEMPT REPORTING ADVISERS
May 14, 2024

The Securities and Exchange Commission and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) joi...

JOINT FINANCIAL INTELLIGENCE ADVISORY: ILLEGAL PROCUREMENT OF DUAL-USE GOODS BY RUSSIAN END-USERS
February 21, 2024

In collaboration with the financial intelligence units from the Netherlands and Germany, and in consultation with the Financial Cr...

TREASURY PROPOSES NEW ANTI-MONEY LAUNDERING REGULATIONS FOR U.S. INVESTMENT ADVISERS
February 14, 2024

The Biden administration is rolling out new recordkeeping rules for U.S. investment advisers in its continued effort to clamp down...

BROKERS MUST PREPARE TO BEEF UP AML CONTROLS: FINRA
October 11, 2021

The U.S. Financial Industry Regulatory Authority Inc. (FINRA) is calling on broker-dealers to step up their anti-money laundering ...

LEADERS OF CFTC, FINCEN AND SEC ISSUE JOINT STATEMENT OF ACTIVITIES INVOLVING DIGITAL ASSETS
October 15, 2019

The leaders of the U.S. Commodity Futures Trading Commission, the Financial Crimes Enforcement Network, and the U.S. Securities an...

CFTC AND FINCEN CLARIFIES THE CUSTOMER IDENTIFICATION PROGRAM & BENEFICIAL OWNERSHIP OBLIGATION OF CERTAIN INTRODUCING BROKERS
July 23, 2019

The CFTC in conjunction with the Financial Crimes Enforcement Network (FinCEN), issued interpretive guidance to introducing broker...