FINRA: AML—Retail: More Key Issues

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. The scenarios in this course aim to help 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

Upon completion of this course, students will be able to

  • understand why broker-dealers have AML compliance programs
  • know what is required to conduct customer identity verification
  • recognize the importance of ongoing due diligence as it relates to customers and their accounts.Identify "red flags" that may signal money laundering or other potentially suspicious activity.Better understand your role in recognizing and escalating suspicious activity

Designed For

All registered representatives and registered principals

Find this course for your license:

License or Certification

Regulator

Type