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. 

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

Investment Advisory