Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

Financial Crimes

Overview

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

Registered representatives 

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