♦Death, Taxes and AML Training♦
If your firm is an FCM, IB or BD, one of life’s certainties is that your employees (those involved in account solicitation, account opening, customer service, order execution, finance or treasury) need to take Anti-Money Laundering training every year.
To make this training as meaningful as possible, we update our AML Awareness course annually. Our 2019 version, released this week, contains updated content, added interactivity, recent regulatory cases, new case studies, a new quiz, new audio and new graphics.
The course is ideal for employees of Futures Commission Merchants, Introducing Brokers, Broker-Dealers and Registered Investment Advisers.
Employees of NFA-regulated firms must complete training within 365 days of previous training. Employees of most FINRA-regulated firms must take training on a calendar-year basis. Training for employees of RIAs is considered a best practice at this time.
