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Fraud Prevention: Do You Have the Right Controls in Place?

Deloitte Dbriefs | Investment Management

Start date and time

April 29, 2014 2:00 PM

End date and time

April 29, 2014 3:00 PM

Time zone:

(GMT-05:00) Eastern Time (US & Canada)

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Host: Adam Weisman, Partner - Deloitte Financial Advisory Services LLP
1 Intermediate CPE Credit: Specialized Knowledge & Applications 

Fraud prevention is at the top of the agenda for investment managers. With recent U.S. SEC activities, how can investment managers prioritize efforts to develop a strong culture of anti-fraud programs and controls? We'll discuss:

  • Recent SEC enforcement actions and priorities, including the focus on corporate disclosures and the type of information companies release to investors.
  • Whistleblower provisions of the Dodd-Frank Act post-implementation and implications for the future, including the possible scope and speed of SEC actions.
  • Regulator and investor concerns over potential fraud through valuation manipulation and establishing transparent methodologies to help mitigate this risk.

Learn ways investment managers can bolster their anti-fraud programs.

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Please note: CPE Credit is not available for viewing archived programs.

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