FINRA: AML—Institutional: Understanding Your Role—Vol. 1

Overview

In this course, scenarios help institutional registered representatives identify unusual activity in customer 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 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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