Anti-Money Laundering

Keep a log of the marketing materials your firm sends out, including presentations. List who's giving the presentation, the audience, the date, whether the audience ...

Click here to open a Word file that is an example of a compliance training tool used by one of your peers. This one covers ...

The Treasury Department has squeezed mutual funds into the definition of a financial institution under the Bank Secrecy Act, meaning funds will have to have ...

Even though RIAs don't technically have to have an anti-money laundering program, they can expect their business partners to ask more questions following an SEC ...

Regulators are more vigorously scouring anti-money laundering efforts by firms, especially broker-dealers. While the SEC will likely ask your firm about its AML program on ...

Data support a five-year "dramatic increase" in enforcement of Foreign Corrupt Practices Act cases, with both the SEC and the Justice Department prosecuting them.While the ...

Just as Cinderella faced a midnight deadline, the SEC beat by just hours last week its time limit on the expiration of a long-standing no-action ...

It's almost become a tradition, like a champagne toast on New Year's: The SEC releases a new no-action letter every couple of years that permits ...

Many predicted hedge fund registration this year and a bill has been introduced in Congress - the Hedge Fund Transparency Act of 2009 - that ...