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