Anti-Money Laundering: Institutional Issues (Interactive)

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 Program
Lesson 2 – Selected Institutional Issues:

  • Customer Information Programs
  • Clearing and Correspondent Relationships
  • Due Diligence Requirements

Upon 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.

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