The Investment Adviser and Anti-Money Laundering


This course reviews anti-money laundering and the investment adviser by discussing money laundering, customer identification programs, beneficial ownership requirements, recognizing red flags, and reporting suspicious activity.

Learning Objectives

Upon completion of this course, students will be able to:

  • understand the act of money laundering
  • understand anti-money laundering rules and regulations
  • understand customer identification programs
  • understand due diligence and beneficial ownership requirements
  • understand how to recognize red flags
  • understand the requirements of suspicious activity reporting

Designed For

Investment Advisory

Find this course for your license:

License or Certification