CFP® CE

FINRA: AML Compliance: Account Monitoring (EL-ELC288)

Overview

This course focuses on the requirements of the Bank Secrecy Act (BSA) and common red flags of money laundering that may be present in customer interactions and transaction reviews. 

Summary Details

Hours

0.5

Price

$18.00

Ratings Pending   (0 Ratings)






Learning Objectives

  • Customer Due Diligence
  • Suspicious Activity Reports
  • Account Opening Flags
  • Transaction Reviews
  • Suspicious Transactions and Money Movements
  • Low-Priced Securities
  • Investigations


Designed For:

Registered Representatives 



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Not Available
Provider of Record: FINRA
Provider Number: Approved
Last Reviewed: April 2025
Study Level: Intermediate
Approved For: Firm Element

Exam

Proctor: No
Passing Grade: 70