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FinCEN (26)
Your search for FinCEN returned 26 results.
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5/05/2017 | Content area: Investment Adviser
Thomas Haider, the former CCO of MoneyGram, has settled his federal case that claimed he was negligent in overseeing the firm’s anti-money laundering ...
10/28/2016 | Content area: Investment Adviser
Add two more signs that the government’s concerned about cybersecurity threats to financial services firms and that it wants you to be, too. Treasury’...
5/11/2016 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA
FinCEN is issuing final rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: Banks; brokers or dealers ...
4/07/2016 | Content area: Investment Adviser | Private Fund
The outcry in the wake of the Panama Papers release has quickly filtered down to investment advisers. Fewer than 24 hours after the release, a group o...
3/10/2016 | Content area: Investment Adviser
June 30 is the deadline for filing an FBAR report if you hold financial interests overseas (IA Watch, Jan. 8, 2015). A new proposal from FinCEN would ...
3/10/2016 | Content area: Investment Adviser
The proposed rule would expand and clarify the exemptions for certain U.S. persons with signature or other authority over foreign financial accounts. ...
1/21/2016 | Content area: Investment Adviser | Broker-Dealer
It’s been one year since we told you the story of Thomas Haider, the former CCO at MoneyGram, who was assessed a $1 million fine by FinCEN for his fai...
9/01/2015 | Content area: Investment Adviser
This is the proposed rule that would require investment advisers to mandate an anti-money laundering program. This was proposed by FinCEN, a part of t...
8/27/2015 | Content area: Investment Adviser
All SEC-registered investment advisers would have to create “a written risk-based AML program” should FinCEN’s new proposed rule be finalized. Thirtee...
6/24/2015 | Content area: Investment Adviser
Even Little Red Riding Hood didn’t cry wolf this much. FinCEN’s at it again – moving closer to proposing an AML rule for investment advisers.   Now, b...
1/08/2015 | Content area: Investment Adviser
FinCEN has again extended the deadline for certain entities to have to file the annual Report of Foreign Bank and Financial Accounts (FBAR) – this tim...
4/01/2013 | Content area: Investment Adviser
Today begins the requirement that any suspicious activity reports submitted to FinCEN must be electronic. You would use the BSA E-Filing System. It's ...
2/25/2013 | Content area: Investment Adviser
The new director of FinCEN hasn't signaled whether she intends to propose a mandatory AML program for investment advisers (IA Watch, Jan. 21, 2013) bu...
1/28/2013 | Content area: Investment Adviser
FinCEN has done it again. It has announced that it's shifting the June 2013 deadline for the filing of Reports of Foreign Bank and Financial Accounts ...
1/21/2013 | Content area: Investment Adviser
Signs point to a new regulation coming your way that would require investment advisers to create an anti-money laundering program. If you're feeling a...
11/21/2011 | Content area: Investment Adviser
Three years after it scuttled a proposal to require investment advisers to create an anti-money laundering program (IA Watch, Nov. 2, 2008), FinCEN ap...
9/26/2011 | Content area: Investment Adviser
A new FinCEN report that analyzes suspicious activity reports (SARs) finds identity thieves prefer to target existing accounts rather than set up phon...
8/15/2011 | Content area: Investment Adviser
It's considered a best practice for investment advisory firms to file a Suspicious Activity Report (SAR) with the government when they come across que...
6/06/2011 | Content area: Investment Adviser
Last week - with fewer than 30 days left until the June 30th deadline for the filing of Foreign Bank and Financial Accounts Reports - FinCEN issued a ...
6/02/2011 | Content area: Investment Adviser
This is a copy of the FBAR, the Report of Foreign Bank and Financial Accounts, a Treasury document that some advisers may have to file annually by the...


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