SEC Extends AML No-Action Letter

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.

Explore Firm Details

Extending the effectiveness of the no-action position it took in 2016, the SEC Division of Trading and Markets granted relief to certain broker-dealers

United States Government, Public Sector

Extending the effectiveness of the no-action position it took in 2016, the SEC Division of Trading and Markets granted relief to certain broker-dealers that rely on registered investment advisers for compliance with anti-money laundering (i) Customer Identification Program Rules and (ii) Beneficial Ownership Requirements.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

SEC Extends AML No-Action Letter

Contributor

Government, Public Sector

Contributor

United States