Financial Crimes


Financial crimes, says Dow Jones, are all crimes that an individual or group commits that involve taking money, or other property, belonging to another to obtain a financial or professional gain. The Financial Industry Regulatory Authority (FINRA), as the primary enforcement body for its member firms, has made financial crimes an exam priority. This course will focus on cybersecurity and technology governance, AML fraud, and sanctions, and manipulative trading. 

Learning Objectives

The purpose of this course is to provide a thorough orientation to the concept of financial crime and, in particular, to

  • Cybersecurity and technology governance
  • AML, Fraud, and Sanctions and
  • Manipulative Trading.

Designed For

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