Proposed Customer ID Rule Could Cost Investment Advisers

By Scott Moss, Robert Johnston Jr. and Angenny Rosario (July 1, 2024, 2:35 PM EDT) -- On May 13, the U.S. Securities and Exchange Commission and the U.S. Department of the Treasury's Financial Crimes Enforcement Network released a joint notice of proposed rulemaking that would require federally registered investment advisers and exempt reporting advisers, collectively known as investment advisers, to establish, document and maintain written customer identification programs, or CIPs.[1][2]...

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