AML for Investment Advisors

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AML for Investment Advisers

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AML for Investment Advisers

AML for Investment Advisers
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Currently, Investment Advisers are not required to implement anti-money laundering (AML) procedures. However, there is a proposed SEC rule pending and it is widely believed that the SEC will issue final rules for Investment Advisers in the near future. As a result, SCA has developed a ‘Best Practices” AML Program for Investment Advisers, including policies for accepting new clients and dealing with existing clients.