Phalgun Vekram’s Post

FinCEN’s Investment Adviser Rule will, as of January 1, 2026, require certain investment advisers to implement and maintain AML/CFT compliance programs and monitor for and report suspicious activity. Read more: https://lnkd.in/eBp3WQjQ #FinCEN #AML #FinancialInstitutions #InvestmentManagement

AML News: Investment Advisers in the US: Upcoming AML/CFT Regulation Changes 📊 FinCEN, the U.S. supervisory authority and financial intelligence unit (FIU), proposed a rule for investment advisers aimed at closing regulatory gaps and combating money laundering. Read our 1-minute article to understand: ✅ What are the requirements of this rule? ✅ Which investment advisers are affected? ✅ What is the rational behind this rule? Contact us if you want to: 👉 Understand further your legal obligations 👉 Establish an effective AML/CFT program based on your risks 👉 Protect your company from the consequences of non-compliance. https://lnkd.in/eHD5DXTE

I’m kind of surprised how few members of the investment community required to meet US regulatory standards are aware of the forthcoming AML/KYC requirements. Tomorrow’s session with Vanguard & K2 Integrity is a substaintive way to get up to speed quickly. https://lnkd.in/gCuM4p2b

Join this expert panel on June 6th for an in-depth discussion 'Staying on Top of the Sanctioned Securities Challenge'. Money launderers are targeting financial markets through investment advisors and OTC markets. Don't let your firm fall victim - join our upcoming webinar on uncovering hidden AML risk. https://buff.ly/4bDKAcS #webinar #aml #investment

Should be very informative...

FinCEN’s new anti-money laundering rule for investment advisers imposes AML obligations on both registered investment advisers and exempt reporting advisers and represents a significant development for global investment managers. For the first time, RIAs and ERAs will be required by law to establish robust AML programs, including procedures for filing suspicious activity reports. Under the new rule, the SEC will have oversight responsibility for AML compliance, and RIAs and ERAs can expect increased scrutiny from both the SEC and FinCEN with respect to AML. Read more: https://lnkd.in/e-A2tDwC. Connect with the team to go deeper: Brad Caswell, Zila Acosta-Grimes, Nina Zegarra and Rachel Francklyn. #AML #moneylaundering #financialregulation #FinCEN #SEC #investmentadvisers

FinCEN’s new anti-money laundering rule for investment advisers imposes AML obligations on both registered investment advisers and exempt reporting advisers and represents a significant development for global investment managers. For the first time, RIAs and ERAs will be required by law to establish robust AML programs, including procedures for filing suspicious activity reports. Under the new rule, the SEC will have oversight responsibility for AML compliance, and RIAs and ERAs can expect increased scrutiny from both the SEC and FinCEN with respect to AML. Read more: https://lnkd.in/gJ-wF29i. Connect with the team to go deeper: Brad Caswell, Zila Acosta-Grimes, Nina Zegarra and Rachel Francklyn. #AML #moneylaundering #financialregulation #FinCEN #SEC #investmentadvisers

Stay ahead of the curve with key updates to the FCA's Financial Crime Guide! Our latest insights offers a comprehensive analysis of proposed changes in critical areas such as Sanctions, Proliferation Financing (PF), Transaction Monitoring, Cryptoassets, and Consumer Duty. These updates are essential for all FCA-supervised firms and entities under Money Laundering regulations seeking to strengthen their financial crime defenses. Ready to dive deeper? Reach out to our team of experts, Christine Reisman Bernadine Reese Melissa Ferri, and Carol Beaumier, on how these changes can affect you and learn proactive measures to safeguard your operations. #FinancialCrime #FCAUpdates #FCAGuide

FinCEN’s new anti-money laundering rule for investment advisers imposes AML obligations on both registered investment advisers and exempt reporting advisers and represents a significant development for global investment managers. For the first time, RIAs and ERAs will be required by law to establish robust AML programs, including procedures for filing suspicious activity reports. Under the new rule, the SEC will have oversight responsibility for AML compliance, and RIAs and ERAs can expect increased scrutiny from both the SEC and FinCEN with respect to AML.   Read more: https://lnkd.in/epF6i2u9.   Connect with the team to go deeper: Brad Caswell, Zila Acosta-Grimes, Nina Zegarra and Rachel Francklyn. #AML #moneylaundering #financialregulation #FinCEN #SEC #investmentadvisers

Stay ahead of the curve with key updates to the FCA's Financial Crime Guide! Our latest insights offers a comprehensive analysis of proposed changes in critical areas such as Sanctions, Proliferation Financing (PF), Transaction Monitoring, Cryptoassets, and Consumer Duty. These updates are essential for all FCA-supervised firms and entities under Money Laundering regulations seeking to strengthen their financial crime defenses. Ready to dive deeper? Reach out to our team of experts, Christine Reisman Bernadine Reese Melissa Ferri, and Carol Beaumier, on how these changes can affect you and learn proactive measures to safeguard your operations. #FinancialCrime #FCAUpdates #FCAGuide