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. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • understand the concept of financial crime
  • learn about cybersecurity and technology governance
  • explore Anti-Money Laundering (AML), fraud, and sanctions
  • examine manipulative trading practices

Designed For:

Registered representatives 




Course Information

Adding additional credit may change exam requirements.