Quest CE Releases Course on AML for Institutional BDs
MILWAUKEE – July 8, 2015 – Quest CE, premier provider of insurance continuing education and FINRA Firm Element training, today announced the addition of a new Firm Element course to its e-learning catalog.
The course, “AML Institutional – Understanding Your Compliance Obligations” is designed for registered representatives of institutional broker-dealers. The course begins with a review of basic anti-money laundering concepts, and then shifts to the representative’s role in preventing, detecting and reporting suspicious activities that may point to illegal money laundering. The course concludes with a case study involving a US broker-dealer’s AML failures relating to institutional customer accounts.
Course Topics Include:
- Background of AML
- US Anti-Money Laundering Laws
- Risk-Based AML Programs
- What is Money Laundering?
- Customer Identity Verification
- Documentary and Non-Documentary Verification
- Customer Due Diligence and Risk Assessment
- Detecting and Reporting Red Flags
To view Quest CE’s complete Firm Element course catalogs, click here. For questions regarding this or other Firm Element course options, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail email@example.com.
About Quest CE
For over twenty-five years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE also provides a complete spectrum of proprietary technology solutions for managing and supervising compliance risk exposures.
Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations seeking training and compliance needs. For more information on Quest CE, visit http://www.questce.com.