The Firm Perspective on Monitoring and Protecting Against Financial Crimes

SKU: SEC056

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and with Live Webinars!

Course Media Options

About This Course

Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering.

This session will discuss:

  • Effective practices and controls for firms in monitoring, protecting against and addressing AML, cybersecurity and fraudulent activities
  • Provide tips to identify potential “red flags” for fraud and insider trading and discuss who to contact if a fraudulent scheme is suspected
  • New Account Opening Identity Validation and Customer Due diligence
  • Effective practices to protect investors and firms, including review of risks and tips for building procedures

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

Online, Audio CD, DVD, iOS/Android App, USB Stick

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options