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Ready Or Not: SEC & FinCEN Spotlights on Investment Advisors

Understand what FinCEN's AML/CFT proposal means for Investment Advisors and assess your readiness with our checklist.

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On February 15th 2024, the Financial Crimes Enforcement Network (FinCEN) proposed extending AML/CFT obligations to certain investment advisors under the Bank Secrecy Act.  

This proposal obligates investment advisors to implement risk-based AML / CFT programs, report suspicious activity to FinCEN and fulfil recordkeeping requirements for the first time. This represents a significant shift in client onboarding and lifecycle management operations for many advisors.  

Download our ‘FinCEN Readiness’ paper to: 

  • Better understand the FinCEN proposal and what it means for organizations like yours.
  • Explore our Readiness Checklist, designed to help you evaluate where you are in your compliance journey.