AML Case Studies

Overview

This course reviews the basics of money laundering and illustrates the process and repercussions through actual disciplinary actions against individuals and firms filed by FINRA.

Find this course for your license

License or Certification

Regulator

Objectives

understand your AML obligations
explain the rules surrounding AML programs
understand the Bank Secrecy Act
understand the consequences of ignoring obligations under the rules

Designed For:

All registered representatives, registered principals, and other finance professionals

Course Information

Adding additional credit may change exam requirements.

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