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AML: Recognizing Red Flags

Overview

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

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • 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:

Registered representatives and other finance professionals




Course Information

Adding additional credit may change exam requirements.

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