The Investment Adviser and Anti-Money Laundering

Overview

This course reviews anti-money laundering and the investment adviser by discussing money laundering, customer identification programs, beneficial ownership requirements, recognizing red flags, and reporting suspicious activity.

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

Objectives

Upon completion of this course, students will be able to:

understand the act of money laundering
understand anti-money laundering rules and regulations
understand customer identification programs
understand due diligence and beneficial ownership requirements
understand how to recognize red flags
understand the requirements of suspicious activity reporting

Designed For:

Investment Advisory

Course Information

Adding additional credit may change exam requirements.

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