Prevalent and emerging risks are creating a significant impact across the securities and financial services industries. Cyber-threats, Privacy, AML, Corporate…
Implications of FinCEN’s CDD Rule for Investment Advisers
SIFMA hosted a complimentary webinar on October 13, 2017 to discuss FinCEN’s customer due diligence (CDD) rule, which will become effective May 11, 2018. A panel of industry experts lead our discussion, which focused on:
- Impact of the CDD rule on investment advisers and their customers, including the increased requirements for information and documentation to open and maintain accounts with financial institutions covered by the rule;
- Requirements of the CDD rule and outstanding interpretive questions; and
- Potential regulatory expectations related to the CDD rule.
SIFMA is pleased to offer the webinar slides to registered attendees. To access the presentation, please enter your business email address and password associated with your SIFMA profile, which was used for registration.
12:15pm – 1:30pm
Meg Zucker, Elizabeth “Paige” Baumann, Satish M. Kini