On February 13, 2024, the Financial Crimes Enforcement Network (FinCEN) of the U.S. Department of Treasury (Treasury) issued a "Notice of proposed rulemaking" (proposed rule) that would require ...
Not only do financial advisors need to “know your customer,” but they had better know where their customer’s money comes from, too. The Treasury Department’s Financial Crimes Enforcement Network, ...
The Securities and Exchange Commission (SEC) announced on November 22, 2024, that three broker-dealers have agreed to settle charges for filing suspicious activity reports (SARs) that failed to ...
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