AML: Customer Identification Programs

Overview

This course discusses a broker-dealer’s obligations to verify the identity of any person seeking to open an account; maintain records of the information used to verify the person’s identity; and determine whether the person appears on any lists of known or suspected terrorists.

Find this course for your license

License or Certification

Regulator

Objectives

understand the required steps in customer identification
understand the verification process of customer identification
define the necessary steps to take when customer identification cannot be verified
understand customer due diligence and beneficial ownership
demonstrate the customer notification process

Designed For:

Retail registered representatives and other finance professionals

Course Information

Adding additional credit may change exam requirements.

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