
Bank Broker/Dealer Exemptions: Regulation R - Microlearning FAST Modules
Course Description
This course is an introduction to Regulation GG and contains an overview of the regulation, the Unlawful Internet Gambling Enforcement Act, the policies and procedures that need to be implemented, the due diligence that must occur at the opening of an account, how to handle suspicious and restricted transactions, and other pertinent issues.
FAST Module:
- Scope and Prohibitions
- Regulation R Exemptions
- Permitted Activities
- Network Exception
- Institutional and High Net Worth Customers Exception|
- Trust and Fiduciary Activities Exception
- Sweep Exception
- Safekeeping and Custodian Exception|
- Other Exceptions
- Compliance Program
*Each FAST Module is 5-10 minutes in length.
10 Minutes
Series: Microlearning FAST Modules
Roles: Asset Management, Board of Directors, Commercial, Compliance - External Audit, Compliance - Internal Audit, Human Resources, Mortgage Professionals, Operations & IT, Retail, Wholesale Banking
Course Format: Microlearning FAST Modules
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