MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Anti-Money Laundering (AML) Sanctions” to its Firm Element e-learning catalog.
This course is intended for registered representatives, supervisors, compliance staff, senior management, and firm principals affiliated with broker-dealers as a part of their mandatory requirement to identify scenarios and situations that could be constituted as money laundering, as well as an explanation of the consequences associated with money-laundering. In this course, we will also take a look at the various sanctions that will and can be used for people and entities that violate the AML rules, as well as the real-life applicability of the AML sanctions.
Course Topics Include:
- Overview of Sanctions and Why They Are Used
- Parties that Regulate and Enforce Sanctions
- Explanation of Financial Sanctions
- OFAC Licenses
- Voluntary Self-Disclosure Process
- Real-World Examples of Non-Compliance Consequences
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.