Compliance Priorities, Vol. 2 - Financial Crimes
Overview
FINRA provides firms with the information for inclusion in compliance programs each year. This course provides an overview of the rules and obligations of firm operations regarding financial crimes.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
Understand your compliance obligations regarding the financial crimes identified as:
- Cybersecurity and Cyber-enabled Fraud
- Anti-Money Laundering, Fraud and Sanction
- Manipulative Trading
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
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S1-31 - Framework