Intermediary Responsibility Around Third-Party Scams And Frauds
Will learn about pig butchering scams & frauds costing Americans billions of dollars annually. About the governing standards of conduct for brokers, registered investment advisers, and lawyers. About appropriate responses to possible scams and frauds.
(Continuing education seekers: We anticipate this session will also qualify to fulfill a full hour ethics credit.)
Attendees will learn about pig butchering scams and frauds costing Americans billions of dollars annually. Attendees will learn about the governing standards of conduct for brokers, registered investment advisers, and lawyers. Attendees will also learn about appropriate responses to possible scams and frauds.
Learning Outcomes
• Attendees will be able to identify red flags for fraud and how to appropriately escalate their response to possible frauds.
• Attendees will be able to recognize, discuss, and mitigate risk from common financial scams and frauds.