Underwriting Fraud & the Analysts


RVACFES 37 – Underwriting Fraud & the Analysts – 2 CPE –  To purchase this lecture add it to your Cart and follow the on-screen instructions …



Often overlooked in the confusion surrounding complex stock issuance and underwriting related fraud schemes is the role played by investment analysts who, in recent years, have acted more like salesmen for the securities underwritten by their employing firms than independent watch dogs looking out for client and investor interests. This lecture focuses on the types of issues  highlighted recently by several former former SEC Chairmen and others who have been highly critical of the close relationship between securities analysts, the firms who employ them and the securities they issue for third parties. It is critical for fraud examiners to understand the complexities caused by analysts who may not always be independent of the companies whose securities on which they are expressing an opinion.

100 minutes of self  study plus  10 minutes to answer 10 questions for a total of 110 minutes.

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Underwriting Fraud & the Analysts

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