美國證券交易監管機構和美國財政部提議要求所有註冊和未註冊的投資顧問執行美國愛國者法案中的客戶識別規則。美國和非美國顧問都需要識別和驗證任何美國或非美國潛在客戶的身份；且用於驗證該人身份並確定該人是否出現在任何政府黑名單上的資訊維護上。它延伸二月發布的類似提案，表示該提案不適用於國家註冊或豁免投資顧問。

US: Customer identification requirements coming for investment advisors

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.

Sources:
Locke Lord (via JDSupra)
US Treasury Financial Crimes Enforcement Network (FinCEN)
STEP International News, 15 February 2024: US proposes bringing investment advisors under AML regulation