AML: Due Diligence and the Retail Customer

Overview

Federal law and industry rules provide strict guidelines and dictate stringent enforcement of an anti-money laundering compliance program. Through interactive case studies, this course explores those laws, rules, and guidance and incorporates the due diligence requirements and recommendations into the training material.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • understand the act of laundering money
  • understand anti-money laundering compliance program requirements
  • understand your compliance, identification, and reporting obligations

Designed For:

Retail registered representatives and other finance professionals




Course Information

Adding additional credit may change exam requirements.