FINRA: AML—Retail: Understanding Your Role—Vol. 4 (ELC250)

Overview

The scenarios in this course highlight suspicious activity a registered representative may encounter when working with customers, and also demonstrate how to detect and promptly report suspicious activity in customer accounts.

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

Retail

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