AML Programs for the Investment Adviser


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. 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. 

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 

Find this course for your license:

License or Certification