Wednesday, August 16, 2017 - Securities Fraud
August 2017 ACFE Meeting – Securities Fraud
Please join us for a presentation by the Securities Commissioner for the State of Colorado, Gerald Rome. From 2004-13, Mr. Rome served as the Deputy Securities Commissioner for the Colorado Division of Securities, where he directed the division’s enforcement, licensing, and examination activities. Prior to 2004, he served for five years as the division’s chief legal counsel in all of its civil enforcement matters as First Assistant Attorney General for the Colorado Attorney General’s Office. From 2014-16, he served on the Board of Directors of the North American Securities Administrators Association. After beginning his legal career as a criminal prosecutor for six years, he worked in the private sector.
Mr. Rome received his J.D. degree from the University Of Denver School Of Law, and his B.A. degree from the University of Colorado, Boulder, and has been an adjunct professor at the University of Denver, Daniels College of Business, and teaching real estate securities law.
You will learn:
•What is securities fraud about
•Full & Fair disclosure - what does it mean
•What is a security
•How do you prove fraud
•Case notes - what are they and how can they help
Individual plated entrees will be served. Orders will be taken at check-in.
If you have special dietary restrictions, please let us know at firstname.lastname@example.org
Check-in will begin at 11:15 a.m. and lunch will be served at 11:30 am. The presentation begins at noon. The estimated meeting time is approximately one and a half hours. The cost is $25 for chapter members, $30 nonmembers and $15 for students with a valid student ID. Only cash or checks will be accepted at the door.
RSVP by Monday August 14th using this link: http://whoozin.com/GK7-GJR-A6WG
Requests for refunds must also be received in writing before August 14th as they will not be granted after this date.
Delivery Method: Group Live
CFE Recommended Field of Study: Securities Fraud
NASBA Recommended Field of Study: Specialized Knowledge
Knowledge Level: Overview
Advanced Preparation: None
Who Should Attend: Investigators, Fraud Examiners, ForensicAccountants, Auditors, Loss Prevention Professionals, Risk Managers
Recommended CPE: 1
Please send membership corrections/updates to Secretary@csacfe.com.
The Office of the City Auditor for Colorado Springs is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: http://www.learningmarket.org or at 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Please send membership corrections/updates to Secretary@csacfe.com.