While anti-money laundering (AML) obligations have been a tried-and-true component of any broker-dealer’s compliance program, only recently have rules been introduced to mandate such requirements for registered investment advisers (RIAs), exempt reporting advisers (ERAs), and other private fund advisers.
With less than a year until the compliance date of the new AML Rule, firms are now being tasked with adapting their program to incorporate these new requirements.
But what exactly are those requirements? And how should firms go about implementing these new processes and procedures to ensure compliance come January 2026?
Join COMPLY’s in-house AML experts, Chris DiTata, EVP, Compliance, and Ismael (Ish) Manzanares Jr., Vice President, Consulting Services, as they discuss the ins and outs of the new AML Rule and what your firm should be aware of as you prepare to evolve your compliance program.
The webinar will cover:
- An overview of the rule, including who it applies to and how it impacts dually registered firms
- A look at the requirements and timelines, including a breakdown of what an effective AML program includes
- A closer look at when and why to file a Suspicious Activity Report
Register at the button above!