Investment fraud update – round-up of regulatory action (Guernsey)

Professional Development

Overview

The 2020 Financial Crime Prevention eCPD Seminar Series provides essential updates for those working in compliance and risk management roles, via an online classroom. This series will comprise 4 seminars of 60 minutes, covering a wide range of topics suitable for delegates attending from any International Financial Centre.

2020 Financial Crime Prevention eCPD Seminar Series

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Online Classroom

online classroom

This course will be delivered through Online Classroom Live.

Please read our Online Classroom for Professional Development FAQ

Suitable For

Those working in compliance and risk management.

1 CPD hours
1 hour
Guernsey

Course Overview

The investment fraud landscape is continually evolving as technology lowers the barriers to access investment products and services. With this increased access come challenges for regulated businesses in monitoring personal account dealing coupled with increasing regulatory focus in this area. This seminar will explore this shifting risk in light of recent regulatory and enforcement action.

Course Content

  • Common investment fraud typologies
  • The shifting risk of personal account dealing
  • Effectively managing investment fraud risk
  • Mark Denning and Capital Group investigation