In the first "Compliance by Design" episode, hosts PD and James Sutton welcome Rob Johnston of Lowenstein Sandler to discuss US AML compliance updates, focusing on the Corporate Transparency Act (CTA) and new FinCEN AML rules. Johnston explains the confusion and uncertainty for registered investment advisors under the Bank Secrecy Act, as the clock is counting down to the Jan 1 deadline. He advises asset managers to document processes and strengthen internal policies, especially for private transactions, and we discuss AI’s potential in compliance.
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