In “Investment Advisers Next to Feel AML Scrutiny” (Compliance Week, 9 Sept. 2015) Tom Bock, executive managing director, discusses FinCEN’s proposed rules pertaining to anti-money laundering (AML) requirements for investment advisers. While firms await the final rule and take part in the ongoing public comment process, according to Tom, many of the large investment advisers do have, in some shape or form, AML policies and procedures in place. “They should be taking a closer look to make sure that everything is covered and meets what the final rules may be.”

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