Overview
Under industry rules and regulations, firms are required to adopt and enforce adherence to an anti-money laundering (AML) compliance program. This course explores those rules and regulations and discusses the program development and required compliance and monitoring for registered representatives and associated persons.
Learning Objectives
- understand money laundering schemes
- how to identify potential money laundering schemes
- know industry AML requirements
- how to comply with identification and reporting obligations.
Designed For
Registered representatives and other finance professionals
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