AML, Cybersecurity and the IAR
Overview
This course will discuss anti-money laundering, including the rules and regulations surrounding the obligations of anti-money laundering compliance programs. We will also discuss cybersecurity rules and best practices for firms to adopt to protect from cybersecurity attacks.
Save Time and Money with Additional Credit
Select all the additional credit you need and then add to cart
Learning Objectives
- The BSA, other AML laws, the implementing BSA regulations, and Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules relating to the same
- Your AML obligations in your capacity as a supervisor, registered representative, or investment adviser
- The work and applicable regulations of the Office of Foreign Assets Control (OFAC) and the Financial Crimes Enforcement Network (FinCEN)
- Cybersecurity, including rules and regulations and business continuity after a breach
Designed For:
Investment Adviser Representatives
Course Information
Adding additional credit may change exam requirements.
| Access Period: |
12 months |
| Prerequisites: |
None |
| Delivery Method: |
Self-Study |
| PDF Download: |
Available |
| Course Approval Number: |
C27447 |
| Provider of Record: |
WebCE |
| Provider Number: |
90082 |
| Last Reviewed: |
November 2024 |
| Study Level: |
Intermediate |
| Approved For: |
Ethics and Professional Responsibility |
Exam
| Proctor: |
No |
| Passing Grade: |
70 |
| Questions: |
20 |