Anti-Money Laundering
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Other Registration Options & Cancellation Policy
September 2009 Course Agenda (PDF 40 KB)
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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, Bank Secrecy Act, and associated rules and regulations relevant to securities firms. The curriculum covers risked-based AML programs, customer identification, due diligence obligations, suspicious activity reporting, training and the responsibilities of the AML compliance officer.
Learning Objectives
After completing this course, you will be able to:
- Explain the AML obligations of securities firms under the USA PATRIOT Act, Bank Secrecy Act and related FINRA rules
- List the elements of a risk-based AML compliance program
- Apply risk-based customer evaluation and acceptance techniques, and implement a Customer Identification Program (CIP)
- Recognize how to identify and report suspicious activities
- Conduct an effective independent testing program
- Define the AML compliance officer’s role and responsibilities
- Understand roles and responsibilities under the Office of Foreign Assets Control (OFAC)
Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
