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AML, Cybersecurity and the IAR

Overview

This course will discuss anti-money laundering, including the rules and regulations surrounding the obligations of anti-money laundering compliance programs. We will also discuss cybersecurity rules and best practices for firms to adopt to protect from cybersecurity attacks. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • The BSA, other AML laws, the implementing BSA regulations, and Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules relating to the same
  • Your AML obligations in your capacity as a supervisor, registered representative, or investment adviser
  • The work and applicable regulations of the Office of Foreign Assets Control (OFAC) and the Financial Crimes Enforcement Network (FinCEN)
  • Cybersecurity, including rules and regulations and business continuity after a breach


Designed For:

Investment Adviser Representatives 




Course Information

Adding additional credit may change exam requirements.

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