AML: Due Diligence and the Institutional Customer

Overview

Federal law and industry rules provide strict guidelines and dictate stringent enforcement of an anti-money laundering compliance program. This course explores those laws, rules, and guidance and incorporates the due diligence requirements and recommendations into the training material. It includes an interactive case study geared specifically to the investment adviser that illustrates proper implementation and consequences of failure to comply.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand the act of laundering money
  • understand anti-money laundering compliance program requirements
  • understand your compliance, identification, and reporting obligations

Designed for

Institutional

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