A Penny for Your Fraud – Fighting Fraud in Penny Stocks and Low-Priced Securities

Featured Speakers :
WHEN : 04/29/2021 1:00 pm 2:00 pm ET

Complimentary webinar, presented by ACFCS and Exodus Partners Group

The pandemic has been the source of many unexpected trends, and among them is the surging interest in securities and asset trading among individual investors. Fueled by relief checks, frothy equities markets, and online trends, investors have sought hot stocks far and wide, and fraudsters have followed.

Securities regulators have also taken notice – in February, Finra issued Notice 21-03 urging firms to review their policies and procedures related to red flags of potential fraud in low-priced securities. In this session, an expert on AML and fincrime compliance in the securities sector guides you on the notice, key fraud trends in the penny stock space, and practical considerations for your compliance program.

Attendees will learn:

  • Red flags of potentially fraudulent activity among low-priced securities
  • Tips for monitoring techniques to capture suspected fraud
  • Considerations for reporting fraud on SARs and beyond
  • Trends in securities fraud tied to the pandemic and other emerging issues
  • Q&A with the presenter
  • And more

This session is eligible for 1 CFCS credits.

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