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

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.

At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.