Treasury Issues Final AML Rule for Investment Advisers
The Treasury Department has finalized its proposed AML rule for investment advisers.
August 28, 2024
IAA Submits Comments on CIP Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers
July 22, 2024
New Customer Identification Program (CIP) Proposal for Investment Advisers – What You Need to Know
The Financial Crimes Enforcement Network (FinCEN) and SEC recently released a joint proposal outlining potential Customer Identification Program (CIP) regulations for investment advisers.
May 14, 2024
IAA Comments on AML Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s proposed AML rule for investment advisers.
April 15, 2024
New AML Proposal for Investment Advisers – What You Need to Know
The Treasury Department recently released a proposal outlining potential anti-money laundering (AML) regulations for investment advisers.
February 14, 2024
Say-On-Pay Proxy Voting Reporting Requirements for Form 13F Filers
This article discusses the new requirements for institutional managers to file Form N-PX to report say-on-pay proxy votes beginning in 2024.
July 20, 2023
SEC Finalizes Say-on-Pay Rules, Proposes New Registered Fund Liquidity Rules
Institutional managers that vote proxies on say-on-pay (executive compensation) votes will be required to file Form N-PX in 2024, including the number of shares loaned but not recalled and, therefore, not voted by the manager. The SEC also proposed significant amendments to the liquidity risk management program rule for registered funds and related reporting and disclosure.
November 03, 2022
SEC Eyes Reporting of Securities Lending; IAA, Others Object to Comment Deadline
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November 24, 2021
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