AFC in Practice: Delving into Securities Fraud Schemes
Overview
Securities fraud is evolving in complexity and velocity, driven by algorithmic trading, crypto-linked products, and global retail participation. This session unpacks the typologies and red flags behind today’s most sophisticated market manipulation, insider-trading, and pump-and-dump schemes. Participants will examine how illicit actors exploit opaque offshore vehicles, coordinated social-media narratives, and cross-market arbitrage to distort price signals and launder proceeds. The discussion will highlight recent enforcement actions, evolving detection methodologies, and practical approaches to integrating trade surveillance with AML and sanctions monitoring frameworks. Investigators and compliance professionals will walk away with actionable insights into the intersection of market abuse, financial crime, and emerging technologies.
All ACAMS webinars are available with live, AI-powered translation for audio and captions in more than 60 languages.
Learning Objectives
Examining the key typologies of securities fraud, including market manipulation, insider trading, and cross-market layering in both traditional and digital-asset markets
Identifying indicators and red flags of securities fraud by analyzing behavioral, transactional, and communications-based patterns across multiple trading venues
Reviewing how AML, surveillance, and compliance teams can collaborate to detect, investigate, and report securities-related financial crime effectively
Topics
- Altering Financial Records
- Investment Scheme
- Insider Trading
- Market Manipulation
- Tax Evasion
- First LOD
- Second LOD
- Behavioral Monitoring
- Fraud Policy and Management
- Risk Management
- Network Analysis
- Link Analysis
- Insider Fraud
- Fraud Typologies
- Fraud
- Ponzi or Pyramid Scheme
- Other Predicate Crimes
- Lines of defense
- Financial Crime Controls
- Transaction Monitoring
- AML and Sanctions Investigations
Industries
- Retail Banks
- Commercial Banks
- Investment Banks
- Private Banks
- Challenger / Digital / Virtual Banks
- Wealth Management
- Broker-Dealers
- Hedge Funds
- Virtual Asset Service Providers
- Banks
- Financial Services
- Non-Bank Financial Institutions
Regions
- North America
- Europe and Central Asia
- Middle East and North Africa
- East Asia and Pacific
- South Asia
- Jurisdictions
Level
- Intermediate
Pricing
- Webinars are available one year following purchase.
- Access every ACAMS webinar live or on demand
- Get cutting-edge insights from industry experts
- Earn ACAMS credits