The FTC investigates - ✔✔issues raised by reports from consumers,
businesses, pre-merger filings, congressional inquiries, or media reports
False advertising
Fraud
Identity theft
Broker Fraud: - ✔✔occurs when brokers fail to meet their legal
obligations to investors. Fail to tell clients important information on how to
invest their money properly.
Broker Embezzlement: - ✔✔occurs when brokers take money that is
supposed to be in an investment account and use it for their own personal
use.
Hedgefund: - ✔✔private investment partnership of high net worth clients
Hedge Fund Fraud: - ✔✔refers to fraudulent act perpetrated in hedge
fund systems.
•Lie on account status in order to make commission.
Strategies against hedge fund fraud - ✔✔-Hiring external agencies to do
internal compliance
-Developing a hedge fund information depository
The benefits of buying summaries with Stuvia:
Guaranteed quality through customer reviews
Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.
Quick and easy check-out
You can quickly pay through credit card or Stuvia-credit for the summaries. There is no membership needed.
Focus on what matters
Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!
Frequently asked questions
What do I get when I buy this document?
You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.
Satisfaction guarantee: how does it work?
Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.
Who am I buying these notes from?
Stuvia is a marketplace, so you are not buying this document from us, but from seller JOSHCLAY. Stuvia facilitates payment to the seller.
Will I be stuck with a subscription?
No, you only buy these notes for $11.49. You're not tied to anything after your purchase.
