Securities & Capital Markets AML Case Studies
Understanding Money Laundering and Financial Crime Risks in Securities and Capital Markets
This course provides a comprehensive, practice-focused examination of money laundering (ML) and financial crime (FC) risks within securities and capital markets.
Learners engage with various capital‑market products, analyzing how trading activities and asset movements generate risk, as well as key AML typologies relevant to this complex field. Through real case studies, participants scrutinize how control breakdowns enable criminal activity across retail, institutional, and primary markets.
Securities & Capital Markets Course Content
The course explores the critical responsibilities of gatekeepers and investigates how lapses among intermediaries can result in abuse when controls lack coordination.
This certificate course is one of the elective options available with the CAMS exam package at no additional cost. It is also available for standalone purchase for learners not pursuing CAMS Certification.
You’ll learn to
- Explain how capital markets products, trading behavior, and asset movements create money laundering risk and identify the major typologies relevant to these markets
- Examine the roles and visibility limits of key gatekeepers in capital markets and analyze how gaps in onboarding, monitoring, and escalation can enable money laundering activity.
- Describe the main institutional trading typologies—such as mirror trading and uneconomic value transfer trading—and examine how complex structures can obscure visibility and increase AML risk
Key course topics
- Explore common retail trading typologies and analyze how behaviors such as market manipulation and insider dealing generate illicit profits and money laundering risk
- Analyze how risks arise in clearing, settlement, custody, and asset movement flows—such as free of payment transfers and cross-custody transfers—and how these can enable ML and sanctions exposure
Intended audience
Designed for professionals seeking practical insight into how AML challenges unfold across various industries, these courses build on concepts from Understanding the Risks and Methods of Financial Crime by providing sector-specific knowledge and scenario-based activities that help apply what was learned using AML case studies by industry. They’re ideal for those in compliance, advisory, or audit roles who need real-world AML examples with context to complement regulatory knowledge.
Job titles include:
- Internal Auditor
- AML Investigator
- Risk and Controls Analyst
- Compliance Officer
- Sector-Specific Consultants
- AFC Operations Support
- Head of Compliance
Course structure
- Online and self-paced
- 90 minutes of coursework
- Complete within four weeks
- Certificate of achievement upon completion of the course
Want to go further?
Explore additional titles like this one. View the full list of available Sector‑Specific AML Case Studies and AML Regulatory Framework courses.
Pricing
- Access your self-paced online course
- 400 hours of training webinars live and on demand
- Practitioner toolkits and best practice guides
- Perspectives from 115,000+ global members
- Discounts on all ACAMS products