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Articles Posted in Customer Due Diligence Requirements

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FinCEN Publishes Frequently Asked Questions Relating to New Customer Due Diligence Rules

On April 3, 2018, the Financial Crimes Enforcement Network (“FinCEN”) published Frequently Asked Questions (“FAQs”) to help “covered financial institutions,” including broker-dealers and dually registered SEC investment advisers, better understand its new Customer Due Diligence Requirements (“CDD Rule”), which will become effective on May 11, 2018.  Other “covered financial institutions”…

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