FinCEN’s Proposal to Extend the Anti-money Laundering Regulations to SEC Registered Investment Advisors
Pepper partner Gregory J. Nowak was joined by Pepper partner Timothy R. McTaggart and Walter B. Donaldson, II from the Freeh Group International Solutions (FGIS) for a podcast to discuss FinCEN’s proposal to extend the anti-money laundering regulations (including the requirement for SAR reporting) to SEC registered investment advisors. These rules are generally applicable now to banks, brokerage houses and other financial institutions.
This session will provide you with a road map for the new FinCEN proposed rule and how you can make a difference in shaping the eventual final rule and its effect on the industry.
These are the powerpoint slides from that discussion.