Understanding and implementing the new FINCEN AML (anti-money laundering) requirements for registered investment advisors (RIAs) is crucial to achieving compliance by the 2026 deadline. Preparing for AML compliance as an RIA will take time. Firms must develop and implement risk-based AML programs, appoint compliance officers, establish monitoring systems, and ensure staff receive proper training—steps that require careful planning and execution well ahead of the 2026 deadline.
Join Ed Wegner and Bryan Jacobson as they discuss
· 8 critical elements of compliance and their implications
· Building a strong AML program: steps for RIAs
· The importance of a risk-based approach to AML compliance
· Key elements required for establishing an AML program
· The role of a designated AML Compliance Officer (AMLCO)
· Independent testing and ongoing compliance monitoring
· Leveraging third-party resources and ensuring adequate training
Whether you are already familiar with AML regulations or completely new to the topic, this episode provides essential insights to prepare your firm for the upcoming changes. Tune in to ensure that you have the knowledge and tools needed to comply with these vital regulations.
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