United States:
SEC Extends AML No-Action Letter
19 December 2018
Cadwalader, Wickersham & Taft LLP
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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.
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