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X-ORIGINAL-URL:https://investci.com/
X-WR-CALNAME:Investment Training and Consulting Institute, Inc.
X-WR-CALDESC:Premier Provider of Investments and Derivatives Audit Training and Consulting
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CLASS:PUBLIC
UID:MEC-8b0dc65f996f98fd178a9defd0efa077@investci.com
DTSTART:20260716T133000Z
DTEND:20260716T213000Z
DTSTAMP:20260317T135400Z
CREATED:20260317
LAST-MODIFIED:20260608
PRIORITY:5
SEQUENCE:16
TRANSP:OPAQUE
SUMMARY:Understanding and Investigating Investment Fraud – Virtual
DESCRIPTION:Fraud: it’s the five letter word that keeps audit professionals up at night. Despite nearly-constant regulatory reforms, the evolution of technology and improved transparancy, investment frauds continue to riddle financial headlines. Jim Chanos, the short-seller who called Enron’s demise (and notably has recently denied embezzlement claims by his former firm), has even deemed the post-pandemic era as the ‘golden age of fraud’. There is no time like the present to make sure your investment audits are adequately addressing fraud risk.\nJoin us for this newly developed course where we will review common characteristics in the most notorious investment frauds, identify critical controls to prevent and detect fraud and discuss where and how to incorporate fraud detection into your investment audit programs so you can rest easier.\nCOURSE FEATURES\n\nAnalyze the most prevelant control lapses and oversights in investment fraud including: breakdowns in risk management controls, gaps in back office operations, lack of segregation of duties, speculation disguised as hedging strategies, lack of system controls, weak compliance systems.\nLearn key red flags to watch for, the most critical controls in the Front, Middle, and Back Offices and the most common reportable audit findings, such as: rogue trader concerns, valuation misstatements, manipulation of reports, counterparty/broker dealer conflicts, and insider trading.\nReview the key policies, processes, and controls to have in place throughout the Front, Middle, and Back Offices to help protect your organization against some of the common denominators of investment frauds.\nDiscuss the importance of effective compliance programs and risk management functions to quickly detect potential unauthorized investments and derivatives that may be the work of a rogue trader.\n\nCOURSE OUTLINE:\nCorporate Fraud Overview\n\nDefining corporate fraud\nWho are the fraudsters?\nWhy do they commit fraud?\nWhat should we look for?\nThe Fraud Triangle and ‘Control Fraud’ in Investment Fraud\n\nOverview: Investment Fraud Case Studies \n\nHow the frauds were executed and how they unraveled\nCommon denominators and red flags in Investment Fraud\nWere internal controls weak or were they ignored?\n\nDetecting Investment Fraud: What is an Auditor to do?\n\nManagement Oversight\nMarket and credit risk management practices\nLiquidity risk management practices\nOperational and compliance controls\n\nCourse Outline\nCourse Information:\nThe course time will be 8:30 am – 4:30 pm Central Time. For virtual courses, the virtual meeting link and course materials will sent 3-5 days before the course start date.\n\n\n\nCourse Duration: \n1 day(s)\n\n\nCPE Hours Available: \n8\n\n\nField of Study: \nAuditing (4),  Specialized Knowledge (4)\n\n\nProgram Level:\nIntermediate\n\n\nPrerequisites: \n​General Knowledge of Audit & Investments\n\n\nAdvance Preparation:     \nNone required\n\n\nDelivery Method:\nGroup-Internet Based\n\n\n\n\n\n\n\nInvestment Training and Consulting Institute, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credits. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.\n\n\nAttendance Requirements: \nIn order to be awarded the full CPE hours, attendees must complete at least 3 attendance monitoring mechanisms (codewords, polls, etc) per CPE hour.\n\n\nPolicy Information:\nFor more information regarding how to register for a course, refund, program cancellation, complaint policies and other frequently asked questions, please visit our Q&A page or contact our office at 785-783-8201.\n\n\n\n
URL:https://investci.com/events/cida-review-course-878-416-660-107-848-752-294-900/
ORGANIZER;CN=ITCI:MAILTO:info@investci.com
CATEGORIES:2026 Seminar Series,Understanding and Investigating Investment Fraud
LOCATION:Virtual Webinar
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