AML Programs for the Investment Adviser

Overview

Under industry rules and regulations, retail firms are required to adopt and enforce adherence to an anti-money laundering (AML) compliance program. This course explores those rules and regulations but and discusses the program development and required compliance and monitoring for registered representatives and associated persons. 

Learning Objectives

Upon completion of this course, you should understand:

  • money laundering schemes;
  • how to identify potential money laundering schemes;
  • industry AML requirements; and
  • your compliance, identification and reporting obligations. 

Designed For

Investment advisers 
WebCE® is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.
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