The SEC and FinCEN Request Comments on their Proposed Rule on Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers The Securities and Exchange Commission ( ...
The Federal Reserve Board said the CIP examination procedures announced at the end of July would be used to examine domestic and foreign banking organisations’ CIPs as required by section 326 of the ...
In a sequel to FinCEN’s proposal earlier this year to extend anti-money laundering and Bank Secrecy Act regulations to investment advisers (AML/BSA Proposal), on May 13, 2024, FinCEN and the SEC ...
Which comes first: clean-in-place systems or plant design? All too often, it is the plant design that comes first, and then processors have to retrofit — at great cost — their equipment to be clean-in ...
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