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 independent 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