AML: The Basics

Overview

This course discusses the responsibilities of a firm to establish an Anti-Money Laundering Program as required by the Bank Secrecy Act and its implementing regulations and FINRA Rule 3310.

Find this course for your license

License or Certification

Regulator

Learning Objectives

define the money laundering process
understand the FINRA rules surrounding AML compliance programs
understand customer due diligence and beneficial ownership

Designed For:

Registered representatives and other finance professionals

Course Information

Adding additional credit may change exam requirements.

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