AML Case Studies

Overview

This course reviews the basics of money laundering and illustrates the process and repercussions through actual disciplinary actions against individuals and firms filed by FINRA.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand your AML obligations
  • explain the rules surrounding AML programs
  • understand the Bank Secrecy Act
  • understanding the consequences of ignoring your obligations under the rules

Designed for

All registered representatives and registered principals

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