Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers

The Financial Crimes Enforcement Network (FinCEN) is submitting this information collection request for Office of Management and Budget (OMB) approval of the collection of information in a final rulemaking in support of the Bank Secrecy Act (BSA). Through this rulemaking, FinCEN will require that, with certain exclusions, SEC-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) maintain anti-money laundering/countering the financing of terrorism (AML/CFT) programs, report suspicious activity, and comply with other recordkeeping and reporting requirements under the BSA.

The latest form for Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers expires 2027-12-31 and can be found here.