Course Information

FINRA: AML Overview - Understanding the Supervisor's Role (EL-ELC286)

Overview

This course explores why anti-money laundering (AML) compliance programs and ongoing customer due diligence are necessary. It also describes with a focus on the supervisor’s role in recognizing and escalating suspicious activity.

Find this course for your license

License or Certification

Regulator

Learning Objectives

Customer Identification Programs
Verification of Customer Information
Beneficial Ownership
Assessing Money Laundering Risk
Detecting Suspicious Activities
Reporting Suspicious Activity

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

Prerequisites:

None

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