So, What Happens to SARs?

With investment advisers encouraged to begin filing suspicious activity reports (SARs) as soon as possible upon the issuance of the final anti-money laundering rule, some have wondered, what exactly happens with the reports after they’ve been filed? The SEC’s Enforcement Division has an … Read more

Compliance Program Deficiencies, AML, Form PF

Compliance Program Deficiencies, AML, Form PF Discover how lax compliance procedures can result in big trouble with the SEC; the possibility of an Anti-Money Laundering Program requirement for investment advisers; and the first in our series of discussions of Form … Read more