Canadian Securities Institute, Moody's Analytics Training & Certification Services
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Fraud – Protect Yourself and Your Firm 2010

 

This 6 lesson course will teach the advisor the following:

Lesson 1: IMPORTANCE of PROTECTING AGAINST FRAUD

Section 1:

  • Scale of the Problem and Potential Exposure

Section 2

  • Related Regulatory Standards
  • IIROC Whistle Blowing Service

Section 3

  • Overview of Approaches Used by Firms to Safeguard against Fraud

Lesson 2: HISTORICAL PERSPECTIVE ON FRAUDS AND SCAMS

  • Forged Instruments
  • Client Impersonation and Unauthorized Withdrawals
  • Pump and Dump Schemes
  • Advance Fee Scams
  • Naked Short Selling

Lesson 3: IDENTITY THEFT

Section 1

  • What Is Identity Theft?
  • How Easy Is It to Tell Whether a Person Is an Imposter?
  • The Identity Theft Process
  • In How Many Ways Can Identity Information Be Used Illegitimately?
  • What Information Can Be Used to Carry Out Identity Theft?
  • How Do Fraudsters Obtain Identity Information?

Section 2

  • Scale of the Problem
  • Protection for Victims
  • How to Prevent and Detect Identity Theft
  • Recent Canadian Identify Theft Legislation

Lesson 4: FRAUD IN THE 21st CENTURY

  • Common Types of Technology-Enabled Fraud
  • Mortgage Fraud and the Sub-Prime Crisis

Lesson 5: INFORMATION SYSTEMS SECURITY PRECAUTIONS

  • Precautionary Measures

Lesson 6: WHAT HAPPENS IF?

  • Fraudulent Solicitations and Email Compromise
  • Privacy Breach and Identity Theft
QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Passing Grade 60%*
Attempts Allowed Unlimited*
ENROLMENT PERIOD
Enrolment Period 6 months

* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.

Continuing Education (CE) Credits

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National/Provincial (Excluding Quebec)
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Quebec (IQPF/CSF)
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