Financial Crimes: Outpacing the Threats


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About This Course

This CLE will explore how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat criminals.

This session will discuss:

• Threats:

  • ­ Microcap IPO manipulation and single stock ETFs for AML
  • ­ Fraud and Sanctions or Manipulative Trading topics
  • ­ New account fraud (including ACATS fraud), ransomware and cybersecurity events at IT vendors
  • ­ Crypto assets’ connection with AML concerns and market manipulation
  • ­ Rise in the use of generative AI in financial crimes, including deepfake and strategies to combat (like ID verification)

• Best Practices:

  • ­ Tactical effective practices, such as identifying compromised accounts through IP, email address and other surveillance practices
  • ­ Defensive technology that can be used to combat financial crimes, such as new surveillance tools

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