This course will discuss anti-money laundering ("AML") regulation in the securities and will focus of several significant institutional issues in connection with that regulation.
The presentation will be divided into two lessons:
Lesson 1 - Regulatory Framework and the AML Compliance Program
Lesson 2 - Selected Institutional Issues:

• Customer Information Programs
• Clearing and Correspondent Relationships
• Due Diligence Requirements

Upon completing this course the student should have a good understanding of the structure of AML regulation in the securities industry and an awareness of some specific issues currently facing securities firms in meeting their AML obligations.