AML: Recognizing Red Flags

Overview

This course discusses how to recognize red flags and a broker-dealer's obligations with regard to responding to these red flags.

Find this course for your license

License or Certification

Regulator

Objectives

identify common characteristics of red flags
understand the required steps to follow when a red flag is identified
understand customer due diligence and beneficial ownership

Designed For:

Registered representatives and other finance professionals

Course Information

Adding additional credit may change exam requirements.

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