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.
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
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