AML: Due Diligence and the Investment Adviser

Overview

This course provides the adviser with the elements of due diligence and how those requirements apply to financial advice. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet Firm Element requirements. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Objectives

Students who successfully complete this course will be able to:

  • understand the act of laundering money
  • understand anti-money laundering compliance program requirements
  • understand your compliance, identification, and reporting obligations

Designed For:

Investment Advisory




Course Information

Adding additional credit may change exam requirements.

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