Anti-Manipulation Rules Concerning Securities Offerings 2016

Key Topics

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

Who should Attend

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