This training program will examine key information about the characteristics of securities, securities markets, and securities fraud. It will update attendees on the development of securities regulation in the United States.
Why Should You Attend:
The concept or act of securities fraud manipulation, and/or deception has been around for decades in the United States. This course will discuss key points to prevent such fraud. In 2010 the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) proposed defining new rules for the securities industry. These new rules were under the anti-manipulation and anti-fraud provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These provisions were put in place as a reaction to the trading activity that occurred in mortgage backed securities and credit default swaps for several years that caused the credit crisis in 2008 and great recession.
This webinar will review these new rules and laws and how they are and will affect securities offerings in the foreseeable future.
Learning Objectives:
- Examine key information about the characteristics of securities, securities markets, and securities fraud
- Demonstrate knowledge about the history of, and basic concepts underlying, financial markets and investment securities
- Recall key information about the development of securities regulation in the United States
- Recognize securities fraud schemes that financial institutions or organizations commit against investors
- Identify the different types of securities fraud schemes that financial advisors or employees commit against financial organizations
- Recognize the ways investors commit securities fraud schemes against financial organizations
- Identify securities fraud schemes that financial advisors commit against investors
- Investigate incidences of securities fraud and report the results of such efforts
Areas Covered in the Webinar:
- CFTC Proposed Rules to Expand Prohibition on Market Manipulation
- Prohibition of Price Manipulation
- SEC Proposes Rule 9j-1 under the Exchange Act for Security-based Swaps
- The Red Flags of Securities Fraud
- The Four Fundamental Categories of Securities Fraud
- The Monetary Scope of Securities Fraud
- Investment Fraud Terminology
- Investigative Resources and Examination Strategies
Who Will Benefit:
- Bank and financial institution auditors
- Controllers and corporate managers
- Forensic and management accountants, accounts payable, and financial analysts
- Governance, risk management and compliance officers
- Internal and external auditors, CPAs and CAs
- CFEs and other anti-fraud professionals
- Financial services professionals
- Securities attorneys
- Board members
For Registration - http://www.complianceonline.com/anti-manipulation-rules-concerning-securities-offerings-webinar-training-704000-prdw?channel=globalriskcommunity
Note: Use coupon code 232082 and get 10% off on registration.
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