On September 22, 2025, FinCEN published a proposed rule to amend the Investment Adviser AML Rule to delay its effective date by two years.
September 29, 2025
Tags: AML, Compliance, FinCEN, Treasury Department
Treasury Announces Postponement, Reopening of AML Rule
The anti-money laundering (AML) rule for investment advisers has been postponed until January 1, 2028. FinCEN and the SEC will also reopen the Customer Identification Program (CIP) rule.
July 21, 2025
AI, Predictive Analytics Identified as Top Compliance Concern Among Advisers
Artificial Intelligence and predictive analytics have ranked as the leading priority among compliance officers, according to the 2025 Investment Management Compliance Testing Survey.
July 22, 2025
Tags: AML, Artificial Intelligence , Compliance, Compliance Testing Survey, Cybersecurity
AML Compliance Deadline is January 1 | Expert Tips For Getting Ready
Takeaways from the New Anti-Money Laundering Rules for Advisers panel at the 2025 IAA Investment Adviser Compliance Conference.
April 25, 2025
AML Compliance Ahead: Navigating the Upcoming FinCEN Requirements
Advisers should prepare for a new AML rule under FinCEN regulations.
February 06, 2025
Tags: AML
IAA Presents Top Regulatory Priorities for the New Administration
The IAA’s top recommendations for regulatory and policy actions that the SEC should prioritize in the first days of the new administration.
January 31, 2025
Tags: AML, Custody, Marketing, Pay-to-Play
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
Tags: AML, Artificial Intelligence , Cybersecurity, Digital Assets, Fiduciary, Marketing Rule, Private Funds, Trading
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
Tags: AML, SEC, Treasury Department
Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 2024
Tags: AML, CFTC, Custody, Cybersecurity, DOL, ESG, Proxy Voting, Regulatory Agendas, SEC Investment Management
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
Tags: AML, SEC, Treasury Department