Lesson 1: Frauds and Scams
- Frauds and Scams
- What’s in a Name
- Going Phishing
- The Ontario Heritage Bond Program
- Fraud and Technology
- Then Came the Internet
- "Pump And Dump" Schemes
- The Short and Distort Scam
- Boiler Room Operations
- Two-Stage Stock Scam
Lesson 2: The Different Types of Frauds and Scams
- Organized Crime's Involvement in the Stock Market
- Ponzi Schemes
- Prime Bank Investments
- Secured Financial Advancement Services
- Affinity Schemes
- Tax Scams
Lesson 3: The Effect of Fraud on Investor Confidence and the Industry's Response
- The Effect of Fraud on Investor Confidence
- Industry Related Misconduct
- Making Matters Worse
- The Industry Fights Back
- The Need for Good Governance
- Canada's Different Approach to Governance
- Bill C-13
- Integrated Market Enforcement Teams
- Analyst Standards
- What More Needs to be Done?
|Question Format||Multiple Choice|
|Questions Per Quiz||20|
|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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