September 08, 2015

Financial Crimes Enforcement Network: Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers

配信申込

ジャンプリンクテキスト

 
On August 25, 2015, the U.S. Financial Crimes Enforcement Network (“FinCEN”), the bureau of the Department of the Treasury with principal responsibility for implementing anti-money laundering rules and regulations, issued a notice of proposed rulemaking aimed to prescribe minimum standards for anti-money laundering programs (“AML”) for investment advisers registered, or required to be registered, with the U.S. Securities and Exchange Commission (“SEC”) and to require such investment advisers to report suspicious activity to FinCEN pursuant to the Bank Secrecy Act (“BSA”). Financial institutions other than investment advisers are already subject to BSA and self-regulatory organization rules requiring anti-money laundering programs.

View full memo, Financial Crimes Enforcement Network

著者等

John Adams

パートナー

ファンド

+44 20 7655 5740

+44 20 7655 5740

ロンドン

Lorna Xin Chen

パートナー

ファンド

+852 2978 8001

+852 2978 8001

香港

John (Sean) Finley

パートナー

ファンド

+1 212 848 4346

+1 212 848 4346

ニューヨーク

Thomas Majewski

カウンセル

ファンド

+1 212 848 7182

+1 212 848 7182

ニューヨーク

Jennifer D. Morton

パートナー

金融機関助言・金融規制

+1 212 848 5187

+1 212 848 5187

ニューヨーク

Reena Agrawal Sahni

パートナー

金融機関助言・金融規制

+1 212 848 7324

+1 212 848 7324

ニューヨーク

Paul Schreiber

オブ・カウンセル

ファンド

+1 212 848 8920

+1 212 848 8920

ニューヨーク