INTERMEDIARY

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                    [ArticleID] => 263008
                    [Title] => SEC sets deadline for submission of anti-money laundering manuals
                    [Summary] => The Securities and Exchange Commission (SEC) has given financial intermediaries under its jurisdiction until Oct. 29 to submit their revised anti-money laundering operating manuals.


The SEC’s regulated intermediaries include stockbrokerage houses, investment houses, mutual funds, common trust fund companies and pre-need companies.


The revised manuals should take into account the new guidelines drafted by the SEC which incorporate amendments to the Anti-Money Laundering Act of 2001, international best practices and other securities rules.


                    [DatePublished] => 2004-08-29 00:00:00
                    [ColumnID] => 133272
                    [Focus] => 0
                    [AuthorID] => 1804021
                    [AuthorName] => Zinnia B. Dela Peña
                    [SectionName] => Business
                    [SectionUrl] => business
                    [URL] => 
                )

        )

)

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SEC sets deadline for submission of anti-money laundering manuals

By Zinnia B. Dela Peña | August 29, 2004 - 12:00am

The Securities and Exchange Commission (SEC) has given financial intermediaries under its jurisdiction until Oct. 29 to submit their revised anti-money laundering operating manuals. The SEC’s regulated intermediaries...

Business