Fraud in the Financial Markets (CPE Course)

CPE Credit: 1 hour

Course Type: Downloaded PDF materials with online test

Price (with PDF Textbook): $15

Course Description
There are many opportunities for fraud in the financial markets. In the Fraud in the Financial Markets course, we delve into how these schemes are conducted, who benefits from them, and their motivations for doing so. We also explore fraud schemes in the foreign currency and cryptocurrency markets, and note the impact of regulation on financial market fraud.

Author: Steven Bragg

Course Number: AU1041

Learning Objectives

  • Identify the various types of financial market fraud schemes.

  • Specify how a reporting entity can improperly alter its financial statements.

  • Identify the impact of forward dating and back dating stock options.

  • Specify the ways in which an investment advisor can scam his or her clients.

Level: Overview

Instructional Method: QAS Self-Study

NASBA Category: Auditing

Prerequisites: None

Advance Preparation: None

Latest Review Date: May 2023

Program Registration Requirements: Click on "Purchase Course" near the top of this page to pay for and access the course. You will then be able to download the course as a PDF file, then take an on-line examination, and then download a certificate of completion if you pass the examination.

Program Refund Policy: For more information regarding administrative policies concerning complaints, refunds, and other matters, see our policies page.

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AccountingTools, 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 the final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

The NASBA sponsor identification number for Accountingtools, Inc. is 115881.

AccountingTools is an IRS Approved Continuing Education Provider. We are compliant with the requirements for continuing education providers (as described in sections 10.6 and 10.9 of the Department of Treasury’s Circular No. 230 and in other IRS guidance, forms, and instructions). Our IRS Approved Continuing Education Provider number is 72821.