February 26, 2009 at 2:00 PM EST
Duration: 100 Minutes
Course Level: Intermediate
Recommended Prerequisite: None
CPE Credit: 2
Securities fraud always seems to be in the news, with some of the biggest – like Enron, WorldCom and now Madoff – becoming household names. This webinar will provide you with fundamental principles related to the detection and prevention of securities fraud. The session will focus on developing a blueprint for a well-planned and strategic investigation, and will offer guidance on creating an expert’s report or trial testimony. It will also cover the four major categories of securities fraud and how to identify the red flags of securities fraud. The “protective silos” of securities fraud and resources to help you break through these barriers will also be discussed. The content is designed to provide valuable insight for anti-fraud professionals of all experience levels; no prior knowledge of the securities industry or investment fraud is necessary.
What You Will Learn:
• The red flags of securities fraud.
• The four fundamental categories of securities fraud.
• The monetary scope of securities fraud.
• Investment-fraud terminology.
• Investigative resources and examination strategies.
Who Should Attend:
• Certified Fraud Examiners and other anti-fraud specialists
• Internal and external financial audit professionals
• Forensic accountants, lawyers, and law enforcement personnel
• Government agency financial-fraud analysts
• Financial-services compliance professionals and general counsel
• SOX investigators
• AML specialists
• IT managers
Speaker:
Louis L. Straney
Louis L. Straney has 28 years of experience in senior management in financial services, including intensive duties related to training, compliance, and supervision. In 2007, Straney launched a securities-litigation consulting practice with a special emphasis on the detection and prevention of securities fraud and misconduct. His article on self-regulatory arbitration awards was recently published in the Public Investor Arbitration Bar Association Law Journal.
Pricing:
Member: $129
Non-member: $179.00
