Investment Adviser AML Compliance: FinCEN Rule Now Live
Stay ahead of the curve and navigate FinCEN’s new AML/CFT requirements for investment advisers with K2 Integrity’s expert support. Our team helps firms understand and implement the final rule, ensuring compliance and minimizing risk exposure.
Clients We Support:
- Registered investment advisers (RIAs)
- Exempt reporting advisers (ERAs)
- Private fund and venture capital advisers
- Wealth and asset managers
How We Help:
K2 Integrity is uniquely positioned to help investment advisers of all sizes and business models proactively manage compliance under the new FinCEN rule:
- AML/BSA Program Regulatory Readiness and Gap Assessment: We conduct comprehensive assessments of your firm’s risk profile and internal controls against regulatory requirements and industry best practices to prepare your firm for the new FinCEN IA AML Program Final Rule.
- Current Investor Diligence: K2’s expert research team can perform a
review of your firm’s current investors in preparation for the rule deadline. - AML/BSA and Sanctions Risk Assessment: We conduct
comprehensive risk assessments tailored to your firm’s risk profile,
identifying vulnerabilities and helping to mitigate financial crime risks. - BSA/AML Compliance Officer Designation: We assist in identifying and
training a compliance officer responsible for the effective implementation
and monitoring of your AML/CFT program. - AML/CFT Program Development and Implementation: We assist in developing, documenting, and operationalizing tailored AML/CFT programs to meet the new requirements by aligning, where applicable, your existing policies and controls with your firm’s risk profile, incorporating key AML/CFT obligations such as customer due diligence (CDD), currency transaction report (CTR) and suspicious activity report (SAR) filing requirements.
- Development of Systems for Ongoing Monitoring: We design and
document systems and processes to continuously monitor transactions,
identify suspicious activities, and update customer information as needed. - Firm-Wide Training: We deliver customized AML/BSA and Sanctions training tailored to your firm.
- Ongoing Compliance Support: We offer training, testing, and guidance to
keep your team and processes up to date with evolving regulations.
Ensure your firm is prepared for the new AML landscape before the deadline. Learn more about how K2 Integrity can support your compliance journey.
