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US and EU roll out stricter due diligence rules US order shifts focus: President Trump’s May 19 order directs regulators to enhance customer due diligence, expand ownership transparency, and integrate immigration-related risk indicators. EU harmonizes PEP rules: The EU AML Regulation standardizes PEP definitions and prescribes stricter due dili...

What Small Firms Need to Know About Due Diligence | PLANADVISER According to FINRA, small broker/dealer firms should strategically use their limited resources to conduct effective due diligence on private and public offerings.