Anti-Manipulation Rules Concerning Securities Offerings

Instructor: Craig M Taggart
Product ID: 704000
  • Duration: 90 Min

recorded version

1x Person - Unlimited viewing for 6 Months
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Recorded Link and Ref. material will be available in My CO Section

Training CD

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This training program will examine key information about the characteristics of securities, securities markets, and securities fraud. It will update attendees on the development of securities regulation in the United States.

Why Should You Attend:

The concept or act of securities fraud manipulation, and/or deception has been around for decades in the United States. This course will discuss key points to prevent such fraud. In 2010 the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) proposed defining new rules for the securities industry. These new rules were under the anti-manipulation and anti-fraud provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These provisions were put in place as a reaction to the trading activity that occurred in mortgage backed securities and credit default swaps for several years that caused the credit crisis in 2008 and great recession.

This webinar will review these new rules and laws and how they are and will affect securities offerings in the foreseeable future.

Learning Objectives:

  • Examine key information about the characteristics of securities, securities markets, and securities fraud
  • Demonstrate knowledge about the history of, and basic concepts underlying, financial markets and investment securities
  • Recall key information about the development of securities regulation in the United States
  • Recognize securities fraud schemes that financial institutions or organizations commit against investors
  • Identify the different types of securities fraud schemes that financial advisors or employees commit against financial organizations
  • Recognize the ways investors commit securities fraud schemes against financial organizations
  • Identify securities fraud schemes that financial advisors commit against investors
  • Investigate incidences of securities fraud and report the results of such efforts

Areas Covered in the Webinar:

  • CFTC Proposed Rules to Expand Prohibition on Market Manipulation
  • Prohibition of Price Manipulation
  • SEC Proposes Rule 9j-1 under the Exchange Act for Security-based Swaps
  • The Red Flags of Securities Fraud
  • The Four Fundamental Categories of Securities Fraud
  • The Monetary Scope of Securities Fraud
  • Investment Fraud Terminology
  • Investigative Resources and Examination Strategies

Who Will Benefit:

  • Bank and financial institution auditors
  • Controllers and corporate managers
  • Forensic and management accountants, accounts payable, and financial analysts
  • Governance, risk management and compliance officers
  • Internal and external auditors, CPAs and CAs
  • CFEs and other anti-fraud professionals
  • Financial services professionals
  • Securities attorneys
  • Board members

Instructor Profile:

Craig Taggart has almost a decade of experience in the fields of mergers and acquisitions and business financing. Mr. Taggart works strategically with his clients to achieve the highest value for their business within the capital markets. His experience with BCC Capital Partners in the M&A industry has greatly contributed to his understanding of transaction structure, strategic placement of buyers, and the attainment of maximum market value for his clients. He has represented and sold many businesses in a number of different industries and has significant experience working with companies in: continuing education, transportation, software and professional services. Mr. Taggart is currently working in the clean energy sector that covers multiple initiatives within M&A and corporate development.

He is a certified merger and acquisition advisor, accredited valuation analyst as well as an active member of Alliance of Mergers and Acquisition, and The National Association of Certified Valuators and Analysts (NACVA). His knowledge and expertise also extends to systems such as: Software as a Service (SaaS), and ERP and CRM systems (Netsuite, Salesforce, Sage 100, 500, X3 ERP). Mr. Taggart has been a certified fraud examiner since 2011 and has previously worked at Deloitte with their quality risk management team.

He earned his MBA from the San Diego State University specializing in financial management. Mr. Taggart graduated from the California State University Northridge with a bachelor’s degree majoring in organizational psychology.

Topic Background:

Education is power! There are not many other industries, where this concept could not be truer. The securities industry is the most regulated, compliance, governance driven industry in the country. This is actually for good reason, this is also one of the most lucrative fields a person can pursue regarding their overall career path. Here in lies the key reasons, with more rules and regulations, comes more securities exams and what you don’t know can be severely destructive to your company, firm, practice at many levels. As we have read the more monetary gain a person has, that same person has more inclination to break the rules or commit fraud as fear and greed come in to play more often than not in Wall Street based careers. We will review how these new rules and laws can make you aware of what to look for in the workplace, a key skill set if you are part of any compliance or risk management departments. Perpetrators of securities fraud are responsible for not only a loss of assets, but also the devastation of investor confidence, which can carve away at the respect people have for the global financial markets. The destruction caused by their actions, both emotional and financial, is staggering. In fact, one respected academic study from Stanford Law School reported an annual damage estimate of nearly $700 billion for 2007. In a time when headlines are filled with the stories of Madoff and Stanford, preventing and investigating securities fraud is now more important than ever.

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