There are many opportunities for fraud in the financial markets. In the Fraud in the Financial Markets course, we delve into how these schemes are conducted, who benefits from them, and their motivations for doing so. This fraud CPE also explore fraud schemes in the foreign currency and cryptocurrency markets, and note the impact of regulation on financial market fraud.
Learning Objectives
Upon successful completion of this course, participants will be able to:
Identify the various types of financial market fraud schemes.
Specify how a reporting entity can improperly alter its financial statements.
Identify the impact of forward dating and back dating stock options.
Specify the ways in which an investment advisor can scam his or her clients.
Major Topics
Information-Based Schemes
Trade-Based Schemes
Action-Based Schemes
Closing Price Manipulation Schemes
Spoofing-Based Fraud
Cornering Schemes
Misleading Customers Schemes
Fraud in Specific Financial Markets
The Impact of Regulation
