IAA Comments on AML Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s proposed AML rule for investment advisers.
April 15, 2024
Tags: AML, Treasury Department
New AML Proposal for Investment Advisers – What You Need to Know
The Treasury Department recently released a proposal outlining potential anti-money laundering (AML) regulations for investment advisers.
February 14, 2024
Tags: AML, Treasury Department
SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
OFAC Announces Improved Website
OFAC has a new website with additional search capabilities.
April 07, 2023
Tags: AML, OFAC, Treasury Department
Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist
Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.
January 09, 2023
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management
Experts Discuss Key Adviser Issues; Changes Post-Election
At the IAA Policy and Leadership Forum, a panel of Washington experts discussed regulatory and legislative developments that are important to the advisory community.
October 27, 2022
Tags: Retirement Savings, AML, ESG, Inside the Beltway
Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon
Federal agencies issue Spring 2022 Reg Flex agendas; Custody Rule expected in near term, FTC premerger notification rule and anti-money laundering for advisers on the agenda.
June 27, 2022
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
FinCEN Acting Director Discusses Potential for AML Rules for Investment Advisers
FinCEN discusses possibility for AML regulations for investment advisers.
May 25, 2022
Tags: AML, FinCEN, Private Funds, Treasury Department
New York’s Financial Regulator Provides Virtual Currency Guidance
New York’s financial regulator provides guidance on the use of blockchain analytics to maintain compliance for virtual currency businesses.
May 11, 2022
Tags: AML, Digital Assets, NYDFS