This course will give you an understanding of potential issues surrounding all types of fraud, misconduct, price/volume manipulation and other forms of malpractice to help prevent your company from falling victim to unethical practices. It will cover detection, prevention, and regulation of corruption and fraud within different financial markets. You'll find details on the many practices that bring potentially devastating consequences, including insider trading, bribery, false disclosure, frontrunning, options backdating, and improper execution or broker-agency relationships. PLEASE NOTE: Course material is a component of #7905, #7910 and #7915; therefore, we recommend that you should not take this course with courses #7905, #7910 or #7915 in the same CPE reporting period. This course is written in British English so some of the spelling and terms reflect the dialect. Not accepted for Enrolled Agents. All course material provided. Prerequisites: Understanding of financial market terms/concepts and advanced mathematical calculations. Course level: Intermediate.
PLEASE NOTE: CPE credit measurement is based on NASBA Registry and QAS guidelines of one credit for every 50 minutes. Credit calculation may vary in different states — check with your State Board of Accountancy. Unless otherwise noted in the specific course description, no advanced preparation is required in order to register or complete any PES CPE course. Use of materials or services provided by Professional Education Services, LP ("PES") are governed by the Terms and Conditions stated on PES' website www.mypescpe.com. PES provides these courses with the understanding that it is not providing any accounting, legal, or other professional advice and assumes no liability whatsoever in connection with its use. PES has used diligent efforts to provide quality information and material to its customers, but does not warrant or guarantee the accuracy, timeliness, completeness, or currency of the information contained herein. Ultimately, the responsibility to comply with applicable legal requirements falls solely upon the individual licensee, not PES. PES encourages you to contact your state Board for the latest information and to confirm or clarify any questions or concerns you have regarding your duties or obligations as a licensed professional.