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May 13, 2024

New SEC and FinCEN Proposal Aims to Strengthen AML Protocols in Investment Adviser Sector

In an effort to combat money laundering and terrorist financing, the U.S. Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) have announced a new regulatory proposal targeting the investment adviser sector. This proposal requires SEC-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish thorough Customer Identification Programs (CIPs) to enhance their anti-money laundering (AML) and countering the financing of terrorism (CFT) efforts. This move marks a significant step towards bolstering regulatory oversight and protecting the financial system from illicit activities.