FINRA: AML—Institutional: Understanding Your Compliance Obligations

Overview

In this course, scenarios highlight risks institutional 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
  • communicate the importance of ongoing customer due diligence
  • recognize and escalate “red flags” that may signal potential money laundering or other suspicious activity

Designed for

Institutional

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