Series 28: Anti-money Laundering Compliance Program

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Anti-money Laundering Compliance Program...

a written procedure designed by a member firm to facilitate compliance with reporting and recordkeeping requirements of the Bank Secrecy Act.

Since you're reading about Series 28: Anti-money Laundering Compliance Program, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 28
Please Enable Javascript
to view this content!