FINRA: AML Compliance: Account Monitoring (EL-ELC288)
Overview
This course focuses on the requirements of the Bank Secrecy Act (BSA) and common red flags of money laundering that may be present in customer interactions and transaction reviews.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Customer Due Diligence
- Suspicious Activity Reports
- Account Opening Flags
- Transaction Reviews
- Suspicious Transactions and Money Movements
- Low-Priced Securities
- Investigations
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
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S1-31 - Framework