Overview
FINRA’s anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. In this course, supervisors are presented with scenarios that help demonstrate the critical role they play in recognizing, monitoring and escalating situations that may indicate money-laundering activity.
Learning Objectives
Upon completion of this course, students will be able to:
- understand the importance of monitoring registered representatives' customer accounts for unusual activity that may indicate potential money-laundering activity
- recognize the importance of ongoing due diligence as it relates to your registered representatives' customers and their accounts.Understand that those who engage in money laundering activity are constantly changing tactics to avoid detection
- handle situations with customers or potential customers when having to ask for additional information upon observing unusual account activity
- better understand your role in recognizing and escalating suspicious activity
Designed For
Supervisors of Registered Representatives
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License or Certification
Regulator
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