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Anti Money Laundering & Beneficial Ownership

 

Advisors who "know their clients", as well as those who monitor and supervise daily activities, are in a perfect position to identify suspicious transactions or attempted transactions relating to money laundering or terrorist financing during both an account opening and during the course of a client's transactions. In order to identify such activity, advisors and other employees must be capable of identifying red flags which either individually or in their totality suggest that money laundering may be taking place. Once possessed of such information, it is important for employees to understand what their obligations are with respect to such information. This course will help investment advisors and dealer members understand what activity is indicative of money laundering and what to do once they've identified suspicious activity.

Who Should Enrol?

  • Investment Advisors
  • Financial Planners
  • Wealth Managers
  • It is recommended for individuals who are subject to CE compliance requirements