AML: Recognizing Red Flags


This course discusses how to recognize red flags and a broker-dealer's obligations with regard to responding to these red flags.

Learning Objectives

Students who successfully complete this course will be able to:

  • identify common characteristics of red flags
  • understand the required steps to follow when a red flag is identified
  • understand customer due diligence and beneficial ownership

Designed For

All registered representatives

Find this course for your license:

License or Certification