Global Financial Markets Institute»Corruption, Fraud, and Cyber Crime – How Market Integrity is Impacted

Corruption, Fraud, and Cyber Crime – How Market Integrity is Impacted

Corruption, Fraud, and Cyber Crime — How Market Integrity is Impacted

This course provides an overview on corruption, fraud, and cybercrime issues facing the financial services industry and the consumer. The curriculum provides an overview of industry best practices and regulatory requirements in the securities industry and provides general oversight tools that can be applied to various organizational structures and products.

Course Objectives

By the end of the course, participants will be able to:

  • Gain an understanding of the evolution of regulatory structures and security industry rules in the United States, and abroad as they pertain to corruption, fraud and cybercrime
  • Learn how to develop oversight techniques and recognize control methods for the identification, minimization and containment of risks associated with corruption, money laundering, fraud and cybercrime
  • Discuss the following topics as they relate to recent guidance on money-laundering from OFAC
    • FinCen and FINRA and trends in Sandbox regulatory initiatives
    • Enforcement actions regarding the BSA and related AML requirements
  • Be familiar with international AML guidance and identify new trends in Anti-Bribery Compliance (ABC”)

Suggested Prerequisites: None

Program Level: Foundational

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 7

Duration: 1 day