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Anti-Money Laundering for Insurance Agents (ID)

4 credits

Course #: 6000138471

Take this Course

Fundamentals (ID)

Definition of Money Laundering (ID)
Objective of Money Laundering (ID)
Terrorist Financing (ID)
Earning, Moving, Storing Assets (ID)

Money Laundering Stages (ID)

Three Stages of Money Laundering (ID)
Stage 1—Placement (ID)
Stage 2—Layering (ID)
Stage 2—Layering Explained (ID)
Stage 3—Integration (ID)

Government Controls (ID)

AML Organizations (ID)
FinCEN (ID)
OFAC (ID)
FATF (ID)
History of U.S. AML Laws (ID)
USA PATRIOT Act (ID)
FinCEN “Final Rules” (ID)

Insurance Company Regulation (ID)

AML Program (ID)
AML Program Elements (ID)
AML Program Provisions (ID)
Suspicious Activity Reports (ID)
Dollar Limits (ID)

Insurance Agent Participation (ID)

Agent Involvement (ID)
Agent Integration (ID)
Training (ID)
Identifying Red Flags (ID)

Covered Products (ID)
Covered Products Explained (ID)
Other Products (ID)
FinCEN SAR Assessment (ID)
FinCEN SAR Assessment Chart (ID)
Life Insurance and Annuities (ID)

Know Your Customer (ID)

Overview (ID)
Identification (ID)
Individuals (ID)
Legal Entities (ID)
Publicly Traded vs. Closely Held (ID)
Trusts (ID)
Recordkeeping (ID)

Identifying Suspicious Payments (ID)

Fiduciary Responsibility (ID)
Payment Types (ID)
Electronic Funds Transfer (ID)
Payment Activity (ID)
Payment Amounts (ID)

Identifying Suspicious Activity (ID)

Purpose (ID)
Cash-Intensive Business (ID)
Benefits (ID)
Location (ID)
Changes & Termination (ID)
Recap of Agent Responsibilities (ID)

Reporting Suspicious Activity (ID)

Obligation (ID)
Reporting (ID)
Categories (ID)
Threshold (ID)
Agent vs. Insurer Observations (ID)
Procedures (ID)
Filing Deadline (ID)
Exceptions (ID)
Protection (ID)

OFAC (ID)

What is OFAC? (ID)
OFAC History (ID)
SDN List (ID)
Sanctions (ID)

OFAC Compliance (ID)

SDN List Checking (ID)
Blocked Transactions (ID)
OFAC Authority (ID)
Penalties (ID)

Consequences (ID)

Legal Risk (ID)
Operational Risk – Transactions (ID)
Operational Risk – Termination (ID)
Reputational Risk (ID)

Case Studies (Suspicious Activities) (ID)

Lack of Proper Identification (ID)
Cash Payment Under $10,000 (ID)
Loans and Loan Repayments (ID)
Surrender Charge Disregard (ID)
“Free Look” Refund (ID)

Case Studies (OFAC) (ID)

Compliance (ID)
SDN List Match (ID)
Cuban Beneficiary (ID)
Employee Group Coverage (ID)
Travel to Iran (ID)
Discrimination Allegation (ID)

Blockchain (ID)

Fundamentals (ID)
History of Blockchain (ID)
Other Blockchain Uses (ID)
Risks (ID)
Regulation (ID)
Money Laundering (ID)

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