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Anti-Money Laundering |
| Cost |
Members - $950
Non-Members - $1,300
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| Duration |
1 Day |
| Time |
7:30 am – 5:15 pm |
| CRCP Credits |
6 |
| CRCP CE Credits |
6 |
| CPE Credits |
8 |
| CPE Course Type |
Overview |
| Location |
Date |
Code |
| Dallas, TX |
June 18, 2008 |
CL1181 - Register Online Now |
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New York, NY
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October 2, 2008
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CL1182 - Register Online Now
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| Venue |
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Hilton Anatole
2201 Stemmons Freeway
Dallas, TX 75207
The Coleman Center
810 Seventh Avenue
(between 52nd and 53rd Street)
New York, NY 10019
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FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Candidates who enrolled in the program after January 2007 are required to complete this course in order to meet the Phase II CRCP requirement.
Course Description
This course covers the Anti-Money Laundering (AML) requirements of the USA PATRIOT Act and associated rules and regulations relevant to securities firms. The curriculum covers customer identification, enhanced due diligence, suspicious activity reporting, firm-wide training and the responsibilities of the AML compliance officer.
Topics Covered
- The USA PATRIOT Act: understanding its scope and implications
- Risk-based customer evaluation and acceptance programs
- OFAC: requirements and what they mean
- The elements of a model risk-based AML compliance program
- Suspicious activity reporting: broker-dealer responsibilities
- Customization of a firm wide education and training program
- Techniques for monitoring customer activity
- Independent testing
- AML compliance officer responsibilities
Only FINRA’s Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.
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