Quest CE offers the financial service industry’s most comprehensive Online Anti-Money Laundering Training Program. With online training and tracking, advanced reporting features, and fully customizable course content, Quest CE’s AML program will ensure that your firm maintains complete compliance with FINRA and USA PATRIOT Act requirements.
Program Features
- 24×7 Online User Access
- Instantaneous Reporting Functionality
- Automatic Email Reminders
- Custom Course Creation
- Annual Course Updates
- Daily, Weekly, or Monthly User Uploads
- Online Certification
- Customized Web Portal
AML Program Requirements
The USA PATRIOT Act requires financial institutions to develop and implement an AML compliance program.
NASD Rule 3011 outlines minimum standards for broker-dealers’ AML compliance programs, and requires firms to develop and implement a written AML compliance program. The compliance program has to be approved in writing by a member of senior management and be reasonably designed to achieve and monitor the ongoing compliance with the requirements of the Bank Secrecy Act.
NASD Rule 3011 also requires firms to provide ongoing training for appropriate personnel. This would include training for all representatives engaged in business functions such as providing financial advice, the sale of financial products or services, or those who deal with the transfer of financial interests.
Need More Information?
To find out more about Quest’s CE AML training, contact our sales department at sales@questce.com or call 877-593-3366.
