"FinCEN Awakens: Re-Proposes Investment-Adviser AML Rule," Wall Street Lawyer

Articles / Publications

In an article published in the February issue of Wall Street Lawyer, Thomas K. Potter provides insight on how the anti-money-laundering (AML) rules help detect and report security fraud and market manipulation.

The Financial Crimes Enforcement Network (FinCEN) re-proposed a modified version of regulations that would extend AML and Bank Secrecy Act (BSA) reporting requirements to investment advisers (IAs) registered with the Securities Exchange Commission (SEC). The article details the requirements of the proposed rule, who the rule applies to and the basic AML procedures. Potter emphasizes that the proposed rules are not likely to be adopted quickly or without some tweaking.

Download the full article, "FinCEN Awakens: Re-Proposes Investment-Adviser AML Rule."

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