IAR CE

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. 

Summary Details

Hours

2.0

Price

$20.00





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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



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