Issues and Trends in AML Monitoring

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About This Course

This CLE program provides guidance on suspicious activity monitoring and other AML (anti-money laundering) topics. Panelists address effective steps to combat money laundering with this overview of its standards and issues, including definitions, various processes, and potential red flags. Red flags denote suspicion and are an important part of money laundering intelligence. Financial services and other designated sectors are required to adopt a risk-based approach to apply their resources to higher risk areas. This course will help you ensure that your firm complies with current money laundering regulations.

After attending this session, you will be able to:

  • Discuss best practices on identifying and reporting of suspicious activity.
  • Identify and describe FINRA’s AML initiatives.
  • Understand AML program requirements.
  • Determine testing procedures for your firm.
  • Understand proper Customer Identification Program (CIP) elements.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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