Anti-Money Laundering

Broker-dealers typically have trade surveillance and asset movement surveillance functions within their compliance structure

Private fund managers can read the risk alert as a warning

Here are directions to help you obtain your FinCEN ID to make it easier to comply with the Corporate Transparency Act

Consider your 'vulnerabilities' to being used for money laundering when crafting your P&Ps, including the investment products you offer, investment recommendations, distribution channels, intermediaries used ...

Be careful giving a CCO too many hats to wear. FinCEN warns 'multiple additional job duties' 'generally would not fulfill" the requirement to have an ...

The latest B-D case touches on customer identification, account opening, and deficient regulatory technology

RCW and industry regulators have a plethora of AML guidance for you

This is FinCEN's amendment to the Bank Secrecy Act to require IAs to develop and implement AML programs

'The private equity industry has been subject to a public discourse that makes the industry a convenient target, but not a valid one,' Simpson Thacher ...

This new FinCEN rule, which takes effect in 2026, would require most investment advisers to create AML programs and to report suspicious activity to FinCEN