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 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
- 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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