Need help complying with FinCEN’s new AML and CFT requirements?

AML/CFT Support for Investment Advisers

Starting January 1, 2026, registered investment advisers (RIAs) and exempt reporting advisers (ERAs) will need to comply with FinCEN’s new anti-money laundering (AML) and countering the financing of terrorism (CFT) rule. This rule requires RIAs and ERAs to establish risk-based AML programs, appoint an AML compliance officer, and meet new reporting requirements such as Suspicious Activity Reports (SARs).

Fairview’s AML/CFT offering will help RIAs and ERAs meet these new requirements. Fairview will help firms establish an AML/CFT program by supporting the firm and its designated AML officer with the following services:

• Conduct a risk assessment
• Create policies and procedures tailored to the firm’s program
• Perform screening on clients and/or investors at the required frequency
• Prepare and facilitate employee training
• Assist with cash activity monitoring
• Provide guidance on SAR reporting, as needed
• Conduct and document the independent review of the adviser’s program which includes testing of policies and procedures and an evaluation of the firm’s implementation of their AML/CFT program

Other AML services include:

• KYC documentation review of incoming investors for private fund managers
• Customized institutional investor mandated sanctions screenings for private fund managers