US: AML for investment advisers- registered or required to

[alanbond]

FinCEN’s proposal to extend the anti-money laundering regulations (including the requirement for SAR reporting) to SEC registered investment advisors.

www.pepperlaw.com/resource/10650/13A2

www.pepperlaw.com/podcasts/fincens-proposal-to-extend-the-anti-money-laundering-regulations-to-sec-registered-investment-advisors-2016-01-04/

[anenro]

Thank you for sharing this important information with us.

[congregatio]

keep in mind that it is expected that the "required to register" is read very loosely by the administration; meaning in some states in the US there is a legal but almost always unenforced requirement to register as a finder if you are providing services to the public or advertise such services.

[turm]

Also I can add that knowing Rating foreign brokers can be a good finance tool because you know who trust and who is dark hourse.