AML-Wholesaler: Refresher, Findings, and Reminder

Overview

This courses provides an overview of AML rules as well as a review of violations and the consequences of those violations. The material is supported with references to FINRA and SEC disciplinary actions. This course is geared toward registered representatives with a wholesaler client base.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand AML rules and regulations
  • understand AML reporting obligations
  • identify the consequences for violating the AML rules and regulations 

Designed for

Wholesalers

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