Webcast | Getting Ahead of FinCEN's AML Regulations: What RIAs and ERAs Need to Know

What you'll learn

Get ahead of the curve with expert insights on how FinCEN’s new rule - effective January 1, 2026 - will impact SEC Registered Investment Advisers (RIAs) and Exempt Reporting Advisers (ERAs).

FinCEN’s updated anti-money laundering (AML) and countering the financing of terrorism (CFT) regulations introduce key changes, including establishing and implementing risk-based AML/CFT programs and submitting Currency Transaction Reports (CTRs) and Suspicious Activity Reporting (SARs) reports as appropriate. Staying informed about these new requirements is essential to confirm compliance.

Hear from industry leaders and gain actionable compliance strategies.

What we’ll cover:

Discover the key changes: Learn the new rule’s impact on RIAs and ERAs, and what it means for your firm.

Designate an AMLCO: Understand the responsibilities of an AMLCO and how to choose an appropriate candidate.

Implement AML strategies now: Gain actionable insights to help you implement the new AML requirements.

Who should attend?

This webcast is designed for compliance officers, and financial professionals at RIAs, ERAs who are focused on AML compliance.

Register

Our speakers

Wendy Toribio-Torres, Principal Consultant, ACA Group
Dan Campbell, Managing Director, ACA Group
Abram Ellis, Partner, Simpson Thacher & Bartlett LLP

ACA leverages unrivaled expertise to develop innovative features, supported by hundreds of former regulators, compliance officers. Our experts provide comprehensive compliance and regulatory technology services globally, and our team delivers scalable, cost-effective solutions tailored to your needs, evolving with changing compliance requirements.

Gain peace of mind as you launch, grow, and protect your business with ACA.

Our unique blend:

Our regulatory compliance, managed services and technology gives you access to full service GRC solutions that can help you launch, grow, and protect your firm.