IAA Comments on Customer Identification Program Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers.
July 22, 2024
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IAA Comments on Customer Identification Program Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers.
July 22, 2024
IAA Recommends Changes to FinCEN’s AML Rule for Investment Advisers
The IAA has recommended changes to the Treasury Department’s proposed AML rule for investment advisers.
April 15, 2024
The IAA Calls on Treasury for Two-Year Delay of the SECURE 2.0 Roth Catch-up Requirement
The IAA has signed on to a letter requesting that the Treasury Department provide transition relief so that retirement plan participants will not lose the ability to make catch-up contributions.
July 19, 2023
This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
Treasury Issues Final AML Rule for Investment Advisers
The Treasury Department has finalized its proposed AML rule for investment advisers.
August 28, 2024
IAA Submits Comments on CIP Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers
July 22, 2024
Request for Extension on Securities Loan Reporting Proposal
The IAA joined several other groups to urge the SEC to extend the exceedingly short 30-day comment period for the securities lending reporting to 90 days. Given the scope and breadth of this proposal, we believe that a 30-day deadline is not sufficient to solicit meaningful feedback.
November 23, 2021
New Customer Identification Program (CIP) Proposal for Investment Advisers – What You Need to Know
The Financial Crimes Enforcement Network (FinCEN) and SEC recently released a joint proposal outlining potential Customer Identification Program (CIP) regulations for investment advisers.
May 14, 2024
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