MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of the new Firm Element course, “Anti-Money Laundering for Investment Advisers – Vol. 2” to its Firm Element and RIA e-learning catalogs.
At present, there are no anti-money laundering (AML) rules in place in the United States for SEC-registered investment advisors (RIAs) and their administrators. This does not mean that RIAs should ignore the program requirements outlined in the Proposed Rule and incorporate them into their compliance programs. This course will explore the Currency and Foreign Transactions Reporting Act of 1970 and the Bank Secrecy Act (BSA), and how the Department of the Treasury imposes reporting and other requirements on financial institutions and other businesses to help detect and prevent money laundering.
Course Topics Include:
- Overview of Proposed Rule
- Written AML Program Requirements
- Customer Due Diligence Rule
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here. To view Quest CE’s RIA course catalog, click here.
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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.
