The Anti-Money Laundering Act of 2020 (AMLA) tasked the Secretary of the Treasury, in consultation with specified regulators and law enforcement, with undertaking a review of BSA regulations and guidance and directed the Secretary to make appropriate changes to improve the efficiency of the regulations and guidance. Statutes that include AML-related provisions may be amended from time to time, and new statutes may be enacted which include AML-related provisions. Second, AML laws, rules, and orders are subject to change and may change quickly.
You should not rely on the summary information provided, but should refer to the relevant statutes, rules, orders, and interpretations. Although this research guide summarizes some of the key AML obligations that are applicable to broker-dealers, it is not comprehensive. When using this research tool, you should keep the following in mind:įirst, broker-dealers are responsible for complying with all AML requirements to which they are subject. To aid research efforts into AML requirements and to assist broker-dealers with AML compliance, this source tool organizes key AML compliance materials and provides related source information. A wealth of related AML guidance materials is also available. Several statutory and regulatory provisions, and related rules of the securities self-regulatory organizations (SROs), impose AML obligations on broker-dealers. This research guide, or “source tool,” is a compilation of key AML laws, rules, orders, and guidance applicable to broker-dealers. This guide was last updated on May 16, 2022.
0 kommentar(er)
