AML Case Studies


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.

Learning Objectives

Upon completion of this course, students will be able to:

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

Designed For

All registered representatives and registered principals

Find this course for your license:

License or Certification