Anti-Money Laundering
Credit hours are based on self- assessment.
Version 6: Incorporates the new rules dealing with PEPs and HIOs.
Anti – Money Laundering doesn’t have to be boring.
Anti-money laundering and terrorist financing training is fundamental to any firm’s compliance regime. It is vital that all staff within the firm have a clear and effective understanding of the regulations. The unfortunate part is that AML regulations can be complex and are boring!
This AML course is different…and here is why…
This course provides….
- Recent real life examples that spark interest and provoke discussion with associates.
- Includes links to relevant and interesting new articles; and to various regulatory agency sites for reference
- Approaches AML with a humorous tone to maintain interest by making the content more accessible and fun. (Is that possible?)
- Written in plain English
- Organized so that each section within the material has a “What you need to know” heading that is specific to the different roles (i.e. executives, compliance, operations, sales, trading, client services).
- Focused on maintaining the reader’s interest by providing them with practical tools they can use to identify AML activity and communicate AML regulations to their clients or staff.
- Structured to ensure that all types of learners will benefit from the material.
You may commence taking your online course upon confirmation of payment. The confirmation will also include your username and password to enter the online classroom.
You can start immediately or you can come back at a later time to complete the course.
Once you start the exam portion of the course you must continue to the end. You will not be permitted to navigate back to previous pages.
This course should be of particular interest to:
- Investment and financial firms' front office, back office, IT, licensed staff
- Investment firms' counter parties at banks
- Employees of regulatory agencies
- Institutional client personnel
- Industry vendors' employees
- Persons presently outside the industry looking to increase specific financial knowledge or seek entry to the industry
No advance preparation required, however follow-up courses recommended are:
- Compliance for the Securities Industry
- Inside Canada's Securities Industry
The goal of this course is to provide students with effective knowledge and practical tools to consistently and professionally implement AML regulations. AML is the responsibility of everyone within the financial firm; from the individuals who deal directly with clients, to the board of directors and Senior Management.
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Lesson 1
Lesson 2
Lesson 3
Lesson 4
Lesson 5
Lesson 6
Client Identification:
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Lesson 8
Lesson 9
Lesson 10
Lesson 11
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