FinCEN

The Financial Crimes Enforcement Network Tuesday proposed a rule to include investment advisors in the compliance regime under the Bank Secrecy Act, aiming to close regulatory gaps exploited by criminals.

Regulator puts brokers on notice about its top concerns for 2019.

Regulations to keep bad actors out of U.S. financial markets could soon apply to RIAs.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.