FINRA: AML—Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role—Vol. 1

Course Description

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. Scenarios in this course will help registered representatives who conduct business with foreign customers identify unusual activity in their accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises.

Learning Objective(s)

By taking this course, you 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.



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