AML - Everyone's Responsibility

Overview

The course will focus on regulatory obligations and include other considerations for various roles within the firm. You will then review findings on these issues and responses considered effective practices in preventing or dealing with AML and terrorist financing issues. 

Learning Objectives

Upon completion of this course, you should have:

  • a solid familiarity with and understanding of the BSA, other AML laws, the implementing BSA regulations, and SEC and FINRA Rules relating to the same.
  • a solid understanding of your AML obligations in your capacity as a supervisor, registered representative, or investment adviser.
  • a solid understanding of the work and applicable regulations of the Office of Foreign Assets Controls (OFAC) and the Financial Crimes Enforcement Network (FinCEN).

Designed For

Registered Representatives 

Find this course for your license:

License or Certification

Regulator

Type