The US securities trading regulator and the US Department of the Treasury have proposed requiring all registered and unregistered investment advisors to implement the customer identification rules in the USA PATRIOT Act.

Both US and non-US advisors will be required to identify and verify the identity of any US or non-US prospective clients; maintain the information used to verify the person's identity and determine whether the person appears on any government blacklists. It extends a similar proposal issued in February that did not apply to state-registered or exempt investment advisors.

原新聞出處：【STEP 2024/2/15】