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, scenarios highlight risks retail firms and registered representatives face when handling unusual account activity and expediting the account-opening process.
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