Iqan Fadaei https://www.passle.net/Content/Images/passle_logo-186px.png Passle https://passle.net Share this: LinkedIn Twitter Facebook SEC & FinCEN Propose Customer ID Program Rule for RIAs & ERAs Earlier this year, the Financial Crimes Enforcement Network (“FinCEN”) issued a proposed rule that would bring SEC-registered investment... Read More…
Iqan Fadaei https://www.passle.net/Content/Images/passle_logo-186px.png Passle https://passle.net Share this: LinkedIn Twitter Facebook SEC Enforcment Roundup & 4 Key Compliance Items If you've ever wondered whether the SEC's Division of Enforcement is active, here is a recap of 4 kinds of enforcement actions the SEC... Read More…