FINRA: AML—Supervisors: Understanding Your Role—Vol. 2 (ELC253)

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind supervisors about their compliance and supervision obligations. 

Learning Objectives

Upon completion of this course, students will be able to:

  • identify common regulatory requirements
  • meet your compliance obligations as you go about your daily supervision responsibilities
  • understand the potential consequences of failing to supervise

Designed For

Supervisors of Registered Representatives 
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