Supplemental Comments on Federal Power Act Section 203 Blanket Authorizations for Investment Companies (SIFMA AMG)
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA, the Futures Industry Association (FIA), and the Investment Company Institute (ICI) provide comments to the Financial Crimes Enforcement Network (FinCEN) and the Securities and Exchange Commission (SEC) on guidance for risk-based anti-money laundering compliance. The comments are regarding the Guidance on Obtaining and Retaining Beneficial Ownership Information, issued on March 5, 2010. The groups note that they share concerns with the guidance including: 1) the “costumer due diligence” represents an “existing regulatory expectation” previously communicated by the regulators to securities and futures firms; 2) the expectations in the guidance conflict with the approach to beneficial ownership set forth in the BSA; and 3) the description of “enhanced due diligence” includes concepts that appear in previous rules.
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA and SIFMA AMG provided comments to the Commodity Futures Trading Commission (CFTC) on their request for public comment on…
SIFMA AMG provided comments to the Federal Deposit Insurance Corporation (FDIC) on their consideration of various proposals to revise the…
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