New Rule. New Risk. New Requirements.
The rules have changed – and so have your responsibilities.
For the first time, RIAs and ERAs must implement formal Anti-Money Laundering (AML) programs under FinCEN’s final AML/CFT rule – with full compliance required by January 1, 2026. The SEC will be the examining authority, and the clock is ticking to create and implement an AML program for your firm.
In this 20-minute solution showcase, COMPLY’s experts will decode the rule, outline what regulators will expect, and show how our AML/CFT solutions and services can get your firm audit-ready — with policies, training, risk assessments, and independent testing handled by a team of regulatory compliance experts.
You’ll walk away with:
- Clarity on which firms are required to adhere to the new rule — and who’s exempt
- An overview of what a compliant, risk-based AML program must include
- Insights into how examiners will assess readiness
- A breakdown of COMPLY’s AML for RIAs and ERAs services package designed to meet all rule requirements
Compliance isn’t optional. Being ready is.