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SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs
SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs
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Aug 292 min
FINCEN AML Rule Adopted
On Wednesday, August 28, 2024, the Financial Crimes Enforcement Network (FinCEN) issued a final rule to help investment advisers...
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Jun 62 min
Broker Dealer Examination Risk Alert
The Division of Examinations (Exams) published a Risk Alert (attached) to help broker-dealers prepare for an examination. The Risk Alert...
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Jun 61 min
Private Fund Adviser Rules Vacated By the Fifth Circuit
Earlier today, United States Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) fully vacated the Private Fund Adviser Rules...
Admin
Jun 53 min
FinCEN Anti-Money Laundering/Countering the Financing of Terrorism Program Proposal
After more than 20 years and multiple iterations (proposals in 2015 and 2003 which were subsequently withdrawn), on February 15, 2024,...
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Nov 18, 20232 min
SEC Enforcement Means Business. What it Means for Your Compliance Program
The Securites and Exchange Commission has been busy in 2023 with a near record-high level of enforcement actions. What does this mean for...
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