FINRA: AML—Institutional: More Key Issues

Overview

The scenarios in this course aim to help institutional registered representatives identify unusual activity in client accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises.

Learning Objectives

Students who successfully complete this course will be able to:

  • explain why broker-dealers have anti-money laundering compliance programs
  • describe the techniques for identifying and verifying the identity of customers and beneficial owners of legal entities
  • recognize the importance of ongoing customer due diligence
  • recognize and escalate “red flags” that may signal potential money launder or other suspicious activity

Designed for

Institutional

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