{"id":875,"date":"2025-07-24T03:18:08","date_gmt":"2025-07-24T03:18:08","guid":{"rendered":"https:\/\/ics-compliance.com\/?p=875"},"modified":"2026-01-27T02:41:36","modified_gmt":"2026-01-27T02:41:36","slug":"finra-proposes-fee-increases-starting-in-2025-2-2","status":"publish","type":"post","link":"https:\/\/ics-compliance.com\/es\/2025\/07\/24\/finra-proposes-fee-increases-starting-in-2025-2-2\/","title":{"rendered":"Treasury Announces Postponement and Reopening of Investment Adviser Rule"},"content":{"rendered":"<p>[et_pb_section bb_built=&#8221;1&#8243; fullwidth=&#8221;on&#8221; _builder_version=&#8221;4.21.2&#8243; vertical_offset_tablet=&#8221;0&#8243; horizontal_offset_tablet=&#8221;0&#8243; box_shadow_horizontal_tablet=&#8221;0px&#8221; box_shadow_vertical_tablet=&#8221;0px&#8221; box_shadow_blur_tablet=&#8221;40px&#8221; box_shadow_spread_tablet=&#8221;0px&#8221; global_colors_info=&#8221;{}&#8221; next_background_color=&#8221;#000000&#8243;][et_pb_fullwidth_header title=&#8221;ICS Insights&#8221; 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header_3_text_shadow_vertical_length=&#8221;header_3_text_shadow_style,%91object Object%93&#8243; header_3_text_shadow_blur_strength=&#8221;header_3_text_shadow_style,%91object Object%93&#8243; header_4_text_shadow_horizontal_length=&#8221;header_4_text_shadow_style,%91object Object%93&#8243; header_4_text_shadow_vertical_length=&#8221;header_4_text_shadow_style,%91object Object%93&#8243; header_4_text_shadow_blur_strength=&#8221;header_4_text_shadow_style,%91object Object%93&#8243; header_5_text_shadow_horizontal_length=&#8221;header_5_text_shadow_style,%91object Object%93&#8243; header_5_text_shadow_vertical_length=&#8221;header_5_text_shadow_style,%91object Object%93&#8243; header_5_text_shadow_blur_strength=&#8221;header_5_text_shadow_style,%91object Object%93&#8243; header_6_text_shadow_horizontal_length=&#8221;header_6_text_shadow_style,%91object Object%93&#8243; header_6_text_shadow_vertical_length=&#8221;header_6_text_shadow_style,%91object Object%93&#8243; header_6_text_shadow_blur_strength=&#8221;header_6_text_shadow_style,%91object Object%93&#8243;]<\/p>\n<div class=\"date-format field field--name-field-news-publication-date field--type-datetime field--label-hidden field__item\"><time class=\"datetime\" datetime=\"2025-07-21T15:00:00Z\">July 21, 2025<\/time><\/div>\n<div class=\"clearfix text-formatted field field--name-field-news-body field--type-text-long field--label-hidden field__item\">\n<p><strong>WASHINGTON<\/strong>\u2013\u2013In order to ensure efficient regulation that appropriately balances costs and benefits, the U.S. Department of the Treasury\u2019s Financial Crimes Enforcement Network (FinCEN) today is announcing its intention to postpone the effective date of the final rule establishing\u00a0<a href=\"https:\/\/www.federalregister.gov\/documents\/2024\/09\/04\/2024-19260\/financial-crimes-enforcement-network-anti-money-launderingcountering-the-financing-of-terrorism\" target=\"_blank\" rel=\"noopener\">Anti-Money Laundering\/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers<\/a>\u00a0(IA AML Rule) and to revisit the scope of the IA AML Rule at a future date.\u00a0 FinCEN anticipates delaying the effective date of the IA AML Rule from January 1, 2026, until January 1, 2028.\u00a0<\/p>\n<p>The IA AML Rule seeks to address ongoing illicit finance risks, threats, and vulnerabilities posed by criminals and foreign adversaries that exploit the U.S. financial system and assets through investment advisers.\u00a0 FinCEN recognizes, however, that the rule must be effectively tailored to the diverse business models and risk profiles of the investment adviser sector. FinCEN also recognizes that extending the effective date of the rule may help ease potential compliance costs for industry and reduce regulatory uncertainty while FinCEN undertakes a broader review of the IA AML Rule.\u00a0<\/p>\n<p>While FinCEN will work through the rulemaking process to extend the effective date, FinCEN intends to provide the IA sector with regulatory certainty by issuing appropriate exemptive relief delaying the effective date.\u00a0 During the delayed effective date, FinCEN intends to revisit the substance of the IA AML Rule through a future rulemaking process and, together with the Securities and Exchange Commission, also intends to revisit the joint proposed rule establishing customer identification program rule requirements for investment advisers,\u00a0<a href=\"https:\/\/www.federalregister.gov\/documents\/2024\/05\/21\/2024-10738\/customer-identification-programs-for-registered-investment-advisers-and-exempt-reporting-advisers\" target=\"_blank\" rel=\"noopener\">Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers<\/a>.<\/p>\n<p>Link: <a href=\"https:\/\/home.treasury.gov\/news\/press-releases\/sb0201\" target=\"_blank\" rel=\"noopener\">https:\/\/home.treasury.gov\/news\/press-releases\/sb0201<\/a><\/p>\n<\/div>\n<p>[\/et_pb_text][\/et_pb_column][\/et_pb_row][\/et_pb_section]<\/p>\n","protected":false},"excerpt":{"rendered":"<p>July 21, 2025WASHINGTON\u2013\u2013In order to ensure efficient regulation that appropriately balances costs and benefits, the U.S. Department of the Treasury\u2019s Financial Crimes Enforcement Network (FinCEN) today is announcing its intention to postpone the effective date of the final rule establishing\u00a0Anti-Money Laundering\/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment 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ul_text_shadow_blur_strength_tablet=\"1px\" ol_text_shadow_horizontal_length_tablet=\"0px\" ol_text_shadow_vertical_length_tablet=\"0px\" ol_text_shadow_blur_strength_tablet=\"1px\" quote_text_shadow_horizontal_length_tablet=\"0px\" quote_text_shadow_vertical_length_tablet=\"0px\" quote_text_shadow_blur_strength_tablet=\"1px\" header_text_shadow_horizontal_length_tablet=\"0px\" header_text_shadow_vertical_length_tablet=\"0px\" header_text_shadow_blur_strength_tablet=\"1px\" header_2_text_shadow_horizontal_length_tablet=\"0px\" header_2_text_shadow_vertical_length_tablet=\"0px\" header_2_text_shadow_blur_strength_tablet=\"1px\" header_3_text_shadow_horizontal_length_tablet=\"0px\" header_3_text_shadow_vertical_length_tablet=\"0px\" header_3_text_shadow_blur_strength_tablet=\"1px\" header_4_text_shadow_horizontal_length_tablet=\"0px\" header_4_text_shadow_vertical_length_tablet=\"0px\" header_4_text_shadow_blur_strength_tablet=\"1px\" header_5_text_shadow_horizontal_length_tablet=\"0px\" header_5_text_shadow_vertical_length_tablet=\"0px\" header_5_text_shadow_blur_strength_tablet=\"1px\" header_6_text_shadow_horizontal_length_tablet=\"0px\" header_6_text_shadow_vertical_length_tablet=\"0px\" header_6_text_shadow_blur_strength_tablet=\"1px\" box_shadow_horizontal_tablet=\"0px\" box_shadow_vertical_tablet=\"0px\" box_shadow_blur_tablet=\"40px\" box_shadow_spread_tablet=\"0px\" global_colors_info=\"{}\"]<\/p><h1 class=\"post-title post-title-size-4\">SEC resumes processing applications for Swiss investment advisers<\/h1><p class=\"post-title post-title-size-4\">On June 10, 2025, the U.S. Securities and Exchange Commission (SEC) announced that it will resume processing applications for Swiss financial institutions seeking to operate as Registered Investment Advisers (RIAs) in the United States. This decision marks a significant shift after years of suspension.<\/p><p class=\"post-title post-title-size-4\">It is the result of recent discussions between FINMA and the SEC that aimed at aligning examination procedures with both Swiss and U.S. regulatory frameworks.<\/p><p>[\/et_pb_text][et_pb_button button_url=\"https:\/\/ics-compliance.com\/wp-content\/uploads\/2025\/06\/LS_Insights_SEC_resumes_processing_applications_for_Swiss_investment_advisers.pdf\" url_new_window=\"on\" button_text=\"Download the PDF\" button_alignment=\"left\" disabled_on=\"off|off|off\" admin_label=\"Download the PDF\" _builder_version=\"4.27.4\" custom_button=\"on\" button_text_size=\"13px\" button_text_color=\"#ffffff\" button_bg_color=\"#006daf\" button_border_width=\"0px\" button_border_radius=\"0px\" button_icon=\"%%20%%\" button_icon_color=\"#ffffff\" button_rel=\"off||||\" vertical_offset_tablet=\"0\" horizontal_offset_tablet=\"0\" z_index_tablet=\"0\" button_text_shadow_horizontal_length_tablet=\"0px\" button_text_shadow_vertical_length_tablet=\"0px\" button_text_shadow_blur_strength_tablet=\"1px\" box_shadow_horizontal_tablet=\"0px\" box_shadow_vertical_tablet=\"0px\" box_shadow_blur_tablet=\"40px\" box_shadow_spread_tablet=\"0px\" global_colors_info=\"{}\"][\/et_pb_button][\/et_pb_column][\/et_pb_row][\/et_pb_section]<\/p>","_et_gb_content_width":"","footnotes":""},"categories":[10],"tags":[],"class_list":["post-875","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-ics-insights"],"_links":{"self":[{"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/posts\/875","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/comments?post=875"}],"version-history":[{"count":5,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/posts\/875\/revisions"}],"predecessor-version":[{"id":962,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/posts\/875\/revisions\/962"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/media\/588"}],"wp:attachment":[{"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/media?parent=875"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/categories?post=875"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/ics-compliance.com\/es\/wp-json\/wp\/v2\/tags?post=875"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}