||CPE Credits: 2
Course Level: Intermediate
Prerequisite: Basic knowledge of or experience in the securities industry
The course begins with an explanation of the shared interests of the United States and Canada and provides an overview of several multi-jurisdictional issues that the two countries have been involved in. You will look specifically at two multi-jurisdictional cases, Sulja Brothers and CMKM Diamonds, which are textbook examples of "Edgarizing". Gain extensive knowledge of the securities regulatory and enforcement protocols of these two countries; to the surprise of some, the regimes are more similar than many believe. The fraudulent device, "Edgarizing", which often serves as a platform to U.S. securities markets for shell operations, will also be explained.
Explore the multinational understanding of securities regulation, enforcement challenges, case studies and the importance of global shared interests. Forensic examiners, fraud investigators, securities regulators, enforcement officers, AML investigators, compliance officers, attorneys, CPAs, and CAs will all benefit from this intriguing course on securities fraud.
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Presenters: Louis L. Straney
Recording Date: November 17, 2011
Duration: 100 Minutes
field of study: Specialized Knowledge and Applications
Last Updated: March 2013
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