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
Type
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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