What Registered Investment Advisers Need to Know About New FinCEN Money-Laundering Rule

By Matthew Bisanz December 23, 2024 by Matthew Bisanz

As of January 1, 2026, registered investment advisers (RIAs) and exempt reporting advisers (ERAs) will face new regulatory obligations under the Financial Crimes Enforcement Network’s (FinCEN) final rule on anti-money laundering (AML) and countering the financing of terrorism (CFT).[1]…

Mayer Brown explains SEC’s Continued Focus on Cybersecurity

By Raj De, Jeffrey Taft, Adam Kanter and Matthew Bisanz September 29, 2015 by Matthew Bisanz

On September 22, 2015, the US Securities and Exchange Commission (“SEC”) brought and settled charges against a registered investment adviser (the “RIA”) for violations of the Gramm-Leach-Bliley Act’s “safeguards rule” adopted under Regulation S-P.¹ These violations occurred immediately prior …

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Matthew Bisanz

What Registered Investment Advisers Need to Know About New FinCEN Money-Laundering Rule

Mayer Brown explains SEC’s Continued Focus on Cybersecurity