FINRA: AML—Wholesalers: Understanding Your Compliance Obligations

Overview

In this course, scenarios highlight risks wholesale firms and registered representatives face when handling unusual account activity and expediting the account opening process.

Learning Objectives

Students who successfully complete this course will be able to:

  • explain why broker-dealers have anti-money laundering compliance programs
  • describe techniques for identifying and verifying the identity of customers and beneficial owners of legal entities
  • identify “red flags” that may signal money laundering or other suspicious activity
  • better understand your role in recognizing and escalating suspicious activity

Designed for

Wholesalers

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