05 Apr, 2024 FinCEN to Impose Broad AML Obligations on Investment Advisers By Iqan Fadaei For many years, key U.S. anti-money laundering laws (in particular, rules under the Bank Secrecy Act) have applied to financial...
02 Mar, 2022 What is the Department of Labor's Prohibited Transaction Exemption 2020-02? By Iqan Fadaei Betsy Voter ERISA provides that a person is a fiduciary if they have discretion over a retirement plan or IRA (“Plan”) or render investment advice to...