AML Programs for the Wholesaler


Under industry rules and regulations, firms are required to adopt and enforce adherence to an anti-money laundering (AML) compliance program. This course explores not only those rules and regulations but also discusses the program development and required compliance and monitoring for registered representatives and associated persons. 

Learning Objectives

Upon completion of this course, you should understand:

  • money laundering schemes;
  • how to identify potential money laundering schemes;
  • industry AML requirements; and
  • your compliance, identification and reporting obligations. 

Designed For

Registered representatives working in a wholesaler role. 

Find this course for your license:

License or Certification