On May 13, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed to require that SEC-registered investment ...
In February 2024, the U.S. Department of the Treasury issued its 2024 Investment Adviser Risk Assessment, which explains that there are “several illicit finance threats involving investment advisers,” ...
The Securities and Exchange Commission and Treasury Department on May 13 issued a rule proposal aimed at combatting money laundering that would require registered investment advisers and exempt ...
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