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

Course Description

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

Learning Objective(s)

By taking this course, you will learn to:

  • Identify common regulatory requirements.
  • Meet your compliance obligations as you go about your daily supervision responsibilities; and
  • Understand the potential consequences of failing to supervise.

Complexity

Intermediate