The Firm Perspective on Monitoring and Protecting Against Financial Crimes

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Ohio CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a self-study established sponsor (sponsor number 14232) by the Ohio Commission on Continuing Legal Education. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Don't miss this session covering financial crimes from a firms' perspective. This CLE session will cover a wide range of tactics, red flags, and mitigation strategies associated with fraud, insider trading, cybersecurity, and money laundering.

Key topics include:

  • Effective practices and controls for firms to monitor, protect against, and address AML, cybersecurity, and fraudulent activities.
  • Tips to identify potential red flags for fraud and insider trading, along with guidance on reporting suspected fraudulent schemes.
  • New Account Opening Identity Validation and Customer Due Diligence.
  • Effective practices to safeguard investors and firms, including risk assessment and tips for building robust procedures.

Join us for an insightful session that will equip you with valuable knowledge and practical insights to combat financial crimes and protect your organization's integrity.

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