FINRA: AML—Books and Records for Operations Professionals

Overview

This course is designed to help operations professionals understand their books and records obligations when conducting firm business. Scenarios emphasize the importance of adhering to regulatory recordkeeping and retention requirements and firm-specific guidance.

Learning Objectives

Students who successfully complete this course will be able to:

  • generally explain your firm’s regulatory books and records requirements
  • describe their role in adhering to your firm’s regulatory books and records requirements
  • discuss the consequences of failing to meet your firm’s regulatory books and records requirements

Designed for

Operations professionals

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