Microcaps, Big Frauds – Understanding and Preventing Fraud in Over-the-Counter Markets

Featured Speakers :
WHEN : 10/16/2020 1:00 pm 2:00 pm ET

Complimentary webinar, presented by ACFCS

OTC Market stocks are a very popular way to add diversity to a client’s portfolio of securities. It provides an opportunity for both the investor and issuer to have an economical way to invest in a variety of companies, including start-ups as well as established international and domestic companies.

Unfortunately, it is also a place where fraudsters have found success. This webinar will give a high level overview of the OTC Markets platform, including a lot of free tools that can be found directly on their website to help you determine your risk appetite and mitigate your fraud risk.

We will share real world examples of ways fraudsters use this platform and how you can spot this at your firm, and ultimately make it difficult for fraud to occur in this space.

At the end of the session, you will be able to:

  • Explain how some over the counter stocks pose an increased risk for securities fraud
  • Describe various market manipulation schemes
  • Determine best practices to build your firm’s risk program specific to securities fraud

This session is eligible for 1 CFCS credits.

Important note for ACFCS members: Please register using the same email address tied to your member account.

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