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“Intelligence plus
Character - that is the goal of Education”
Martin Luther King, Jr.
"Any
one who stop learning is old, whether at 20 or 80.
Anyone who keeps learning stays young"
Henry Ford
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Training - Securities Fraud
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About the
Course
Perpetrators of securities fraud are responsible
for not only a
loss of assets, but also the
devastation of investor confidence,
which can carve
away at the respect people have for the
financial
markets. The destruction caused by
their actions,
both emotional and financial, is
staggering.
This
Course provides an exploration of the four areas of
securities fraud, as well as a
historical perspective of
financial markets and
regulations and how it is relevant to
investigating
today's securities fraud schemes.
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Course
Objectives
To Provide awareness
- The evolution and development of securities
regulation
- Preparing for a
securities fraud investigation
- Common securities fraud
schemes
- Organizational
vulnerability to investor fraud
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Who should Attend?
•
Law Enforcement Professionals
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Tax Officials
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Regulatory Authorities
• Fraud Examiners
• Investigators
• Government Auditors
• Operational Risk Professionals
• Risk Professionals
• Fraud Risk Managers
• Financial Regulators
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Topic
- Financial Markets aud Investment
Securities
- The
Development of Securities Regulation
- Organizational Fraud
- The
Organization AS a VICTIM
- Investor
Fraud
- Advisor
Fraud—Registered Securities
- Advisor
Fraud—Unregistered Securities
- Investigating and Reporting Instances of
Securities Fraud
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Duration: Full
Day
Day:
Saturday
Times:
10:00 AM to 5:30PM
Course Fees:
In
House Training Option is also available for
Organization |
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“Training is
everything. The Peach was once a bitter almond;
cauliflower is nothing but cabbage with a college
education”
Mark Twain
“Nothing
that is worth knowing can be taught”
Oscar Wilde
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