AML - Everyone's Responsibility

Overview

The course will focus on regulatory obligations and include other considerations for various roles within the firm. You will then review findings on these issues and responses considered effective practices in preventing or dealing with AML and terrorist financing issues. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • a solid familiarity with and understanding of the BSA, other AML laws, the implementing BSA regulations, and SEC and FINRA Rules relating to the same.
  • a solid understanding of your AML obligations in your capacity as a supervisor, registered representative, or investment adviser.
  • a solid understanding of the work and applicable regulations of the Office of Foreign Assets Controls (OFAC) and the Financial Crimes Enforcement Network (FinCEN).

Designed For:

Registered representatives and finance professionals




Course Information

Adding additional credit may change exam requirements.