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SEC Comment Letter on Customer Identification Programs for RIAs

Jul 01, 2024 · 696.1 KB Download

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In response to the FINCEN/SEC proposal, these letters sent to the Financial Crimes Enforcement Network and U.S. Securities and Exchange Commission address concerns of redundant duties when a Registered Investment Advisor (RIA) holds all their investments with a custodian and the significant administrative burden on small CPA firms that are also small RIAs.

Download the SEC Comment Letter on Customer Identification Programs for RIAs

File name: SEC Comment Letter - RIA Customer ID Programs.pdf

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