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ARTICLE · 24 JUNE 2024

AML/CFT Rules For Investment Advisers

K2 Integrity
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On 12 June 2024, K2 Integrity and Schulte Roth & Zabel hosted a webinar discussing new regulatory obligations anticipated under proposed rules for investment advisers ..

United StatesGovernment, Public Sector
Alex Levitov
Alex Levitov
Sarah K. Runge
Sarah K. Runge
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On 12 June 2024, K2 Integrity and Schulte Roth & Zabel hosted a webinar discussing new regulatory obligations anticipated under proposed rules for investment advisers (IAs), timelines for finalization and compliance, and how IAs should prepare in the months ahead. The conversation included Sarah Runge, executive managing director at K2 Integrity; Alex Levitov, managing director at K2 Integrity; and Melissa Goldstein, partner at Schulte Roth & Zabel. To watch a recording of the full webinar, click here. To learn more, download a session handout and a brochure on implementing AML program requirements for investment advisers.

History and Context

The Financial Crimes Enforcement Network (FinCEN) has previously proposed anti-money laundering (AML) regulations for investment advisers, beginning with a Notice of Proposed Rulemaking (NPRM) for unregistered IAs in 2002 and one for certain investment advisers in 2003. In 2007, FinCEN announced that it was undertaking a

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