Anti-Money Laundering: Institutional Issues (Interactive)


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


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.


Need a Government Grant?

Jumpstart your training with the help of Global Innovative Campus (GIC-Canada) & the Canada Job Grant.

Seminars and Workshops offered within your organization anywhere in the world.

Get notified of our upcoming early bird discounts.

Course Inquiry

Submit this form for no-obligation course inquiries. One of our agents will contact you at the email or phone you enter below.


Stay on top of your profession development with useful articles and industry updates Subscribe