Anti-Money Laundering: Institutional Issues (Interactive)

Code:
EL31361
Objective:

After completing this course, you should be able to:- Define ""money laundering""- Identify the major legislative responses to the problem of money laundering and their application to the securities industry- Describe and discuss the features of an AML Compliance Program- Discuss the requirements of a Customer Identification Program- Discuss recent regulatory developments in the areas of due diligence and clearing and correspondent relationships

Description:

This course will discuss anti-money laundering ("AML") regulation in the securities and will focus of several significant institutional issues in connection with that regulation.The presentation will be divided into two lessons:Lesson 1 - Regulatory Framework and the AML Compliance ProgramLesson 2 - Selected Institutional Issues:Customer Information ProgramsClearing and Correspondent RelationshipsDue Diligence RequirementsUpon completing this course the student should have a good understanding of the structure of AML regulation in the securities industry and an awareness of some specific issues currently facing securities firms in meeting their AML obligations.

$55.00

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