3d. ALL – LAB – How to Detect and Prevent Manipulative Trading

Manipulative trading takes many forms including insider trading, front-running, cherry picking, and promoting false or misleading information. Much like a good detective, good compliance officers study the methods of criminals to learn how these crimes can be detected and prevented. This lab will provide an opportunity to practice the detection skills and devise robust controls.
Learning Objectives:
• Discuss the common types of manipulative trading
• Learn to differentiate between internal and external threats
• Discuss robust policies, procedures, and internal controls
• Examine case studies to learn from the misfortunes of others

Sponsored by

Intermediate                        Program Level: Lab Date: November 8, 2021 Time: 2:00 pm - 3:15 pm Larry Nakamura Hope Newsome

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