Skip to content

Compliance Building

Doug Cornelius on compliance for private equity real estate

Menu
  • Home
  • About
    • About
    • About Doug
    • About This Website
    • Why I Blog
    • Speaking Engagements
    • Contact
    • Publications
  • Archives
    • Topic Archive
    • Book Reviews
    • Most Popular
  • Subscribe
  • Disclaimers
    • Disclaimers
    • Policies and Procedures
    • Use of Site Content
    • Comments
    • FTC Disclosure
Menu

FinCEN Programs for Mutual Funds

Posted on October 30, 2008 by Doug Cornelius
Print Friendly, PDF & Email

Here are links to the text of some FinCEN program for mutual funds:

31 CFR 103.130 Anti-money laundering programs for mutual funds(.pdf)

each mutual fund shall develop and implement a written anti-money laundering program reasonably designed to prevent the mutual fund from being used for money laundering or the financing of terrorist activities and to achieve and monitor compliance. . .

31 CFR 103.131 Customer identification programs for mutual funds(.pdf)

A mutual fund must implement a written Customer Identification Program (‘‘CIP’’) appropriate for its size and type of business that, at a minimum, includes each of the requirements of
paragraphs (b)(1) through (5) of this section.

Share this:

  • Print (Opens in new window) Print
  • Share on Facebook (Opens in new window) Facebook
  • Share on LinkedIn (Opens in new window) LinkedIn
  • Share on X (Opens in new window) X
  • Email a link to a friend (Opens in new window) Email

Leave a ReplyCancel reply

This site uses Akismet to reduce spam. Learn how your comment data is processed.

Search for Stuff

Recent Stories

  • New Custody Rule Is On Its Way
  • Can a Farm of Hardwood and Citrus Trees be a Security?
  • The Corporate Transparency Act is Finally Dead
  • The SEC 2026 Rulemaking Agenda
  • The Alignment Gap: Rethinking Costs in Private Equity Fund Formation
  • PERE 100 and SEC Registration
  • Neither Admit Nor Deny To Be No Longer
  • What Will Form PF Look Like Next Year?
  • Is It a Chipset or Is It a Security?
  • When the Lawyer Is Breaking Bad

Fight Cancer

Please support my Pan-Mass Challenge
Make a donation to fight cancer. donate.pmc.org/DC0176
pan-mass challenge badge

I am a lawyer, but I am not your lawyer. Since I’m a lawyer, this website may be considered attorney advertising under the ethical rules of certain jurisdictions. Please read my disclaimers page before taking any action. And then, don't take any action based on what I wrote.

Creative Commons logo with the text 'Some Rights Reserved' and three symbols representing attribution, non-commercial use, and share alike.

Compliance Building - by Doug Cornelius is licensed under a Creative Commons Attribution-Noncommercial 3.0 United States License.