Detecting and Preventing Financial Fraud

On November 3, 2011, the Research Center on the Prevention of Financial Fraud, a new joint initiative from Stanford University and FINRA’s Investor Education Center, sponsored a conference on The State and Future of Financial Fraud.  The purpose of the event was to strengthen interdisciplinary efforts to understand, detect, and prevent financial fraud.  Although fraud is not new in the financial services world, the regulatory rules and resources addressing fraud are developing rapidly, as detailed by the chairpersons of the SEC and FINRA at the conference.  A review of recent enforcement actions confirms that practices which may be commonplace within the industry are now being labeled as fraudulent, and conduct that may in the past have been viewed as merely “sloppy” is being deemed to satisfy the “willful” component of fraud claims.

This webinar, cosponsored by the National Society of Compliance Professionals and Westlaw, will help compliance and legal professionals understand the current environment and best practices.

• Things that Certified Fraud Examiners Know That You Should, Too
• Recent enforcement actions which identify an expanding application of fraud by regulators
• How firms can identify their areas of greatest risk for fraudulent activity
• Techniques for detecting insider trading, market manipulation, rumor mongering, etc.
• When and how to conduct internal investigations into suspected non-compliant or fraudulent activity
• Important components of an effective fraud prevention program
• Ethical considerations in conducting fraud investigations

If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance.  Credit totals for other formats are for complete programs.  Partial credit is not available for any online or downloadable format. 

West LegalEdcenter will not provide accreditation for states not listed. 

This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing west.wlec-sales@thomson.com.