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Global Financial Markets Institute»Emerging Trends in Securities Fraud

Emerging Trends in Securities Fraud

This course delves into two important and growing areas of securities fraud: affinity fraud and microcap fraud. The first half of the course focuses on affinity fraud, including common tactics and red flags related to the fraud, and then examines key cases in the area.

The second half of the class examines microcap fraud including issues such as pink sheet fraud, stock touting, and reverse stock split loan fraud. The focus is on identifying the types of companies used in this type of fraud and red flags investors and regulators can look for. The class involves significant use of case studies and discussion.

Course Objectives

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

  • Discuss the terminology and typical characteristics associated with emerging securities frauds
  • Assess the red flags and other key characteristics related to securities fraud
  • Explain high profile fraud cases and the risks they presented to the investing public
  • Analyze trends in the securities industry and the on-going evolution of fraud in the space

Prerequisites: None

Program Level: Foundational

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 7

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  • About Us
    ▼
    • Our Story
    • Our Team
    • Our Clients
    • Strategic Alliance
    • Our Associations
  • Services
    ▼
    • Virtual Instructor Led Seminars
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Courses
    ▼
    • Virtual Instructor Led Seminars
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance Course
    • Credit and Credit Analysis Course
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis Accounting
    • Fixed Income Courses
    • Foreign Exchange
    • Insurance
    • Municipals
    • Mutual Funds and ETFs
    • Operations
    • Portfolio Management
    • Quantitative Methods and Excel
    • Regulation and Compliance
    • Risk Management
    • Securities Lending — Repurchase Agreements
    • Securitization and Structured Finance
    • Structured Products
    • Wealth Management
  • Training Methods
    ▼
    • Classroom Training
    • Virtual Instructor-Led Training (VILT)
    • Online Learning — eLearning
    • Financial Simulation
    • Blended Learning
  • Insights
    ▼
    • eNews
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Contact us
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