AML & KYC for Intermediaries
Customer due diligence, transaction monitoring and suspicious activity reporting for securities firms.
Programme overview
Covers the anti-money laundering obligations specific to securities intermediaries, where risk arrives through account structures, third-party funding and rapid trading patterns rather than cash.
Includes red flag workshops and drafting a suspicious transaction report.
Key learning outcomes
- 01Apply risk-based customer due diligence and enhanced measures
- 02Identify beneficial owners and politically exposed persons
- 03Calibrate transaction monitoring scenarios for securities activity
- 04Recognise market-specific laundering red flags
- 05Draft and file a suspicious transaction report
- 06Maintain records and train front line staff
Curriculum
Legal obligations
AML law, executive regulations and supervisory expectations.
Customer due diligence
Identification, verification, UBO and PEP screening.
Monitoring
Scenarios, alert triage and escalation discipline.
Reporting
STR content, timelines, tipping-off and confidentiality.
Programme governance
Risk assessment, training, testing and MLRO reporting.
Prerequisites, assessment & certification
Prerequisites
None.
Assessment
Case-based examination.
Certification
ECMF Academy certificate, accepted as annual AML training evidence.
Other programmes in this track
Reserve a place on the next cohort
Member firms receive preferential rates and can nominate delegates directly through the secretariat. In-house delivery is available for cohorts of ten or more.