FINRA: AML Compliance Suspicious Activity Reporting
Overview
This course examines the key elements of completing and filing
suspicious activity reports (SARs). It also covers procedures surrounding SAR
filings and how firms are expected to follow up them.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- When to File a SAR
- Recordkeeping
- Confidentiality
- SAR Filing Procedures
- Writing a SAR Narrative
- Amending SARs and Continuing Activity
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
| Prerequisites: | None |
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