Securities Fraud, Market Abuse, and Financial Crime

These pages cover fraud and enforcement concepts that directly affect investors, securities markets, AML programs, market integrity, and supervisory priorities.

In this section

• Money Laundering and Terrorism Financing
  Financial-crime terms for money laundering, fly-by-night operators, and terrorism-financing risk.
  • Fly-by-night Operator: Risky and Untrustworthy Business Entity
    An entity that quickly sets up, capitalizes on a trend, and disappears with investor money, often leaving little trace and many victims.
  • Money Laundering: Concealing Illicit Funds
    The process of making illegally-gained proceeds appear legal through various financial transactions. Money laundering often involves several stages to obscure the origins of illicit funds.
  • Terrorism Financing: Provision of Funds to Support Terrorist Activities
    An in-depth exploration of terrorism financing, its historical context, methods, key events, and implications for global security.
• Securities Fraud and Market Manipulation
  Financial-crime terms for affinity fraud, market manipulation, insider trading, misappropriation, and pump-and-dump schemes.
  • Affinity Fraud: Investment Scams Targeting Communities
    A detailed exploration of Affinity Fraud, which involves investment scams that exploit trust within identifiable groups, including definition, types, examples, historical context, and prevention strategies.
  • Fraud: Intentional Deception Resulting in Injury
    A comprehensive exploration of fraud, its types, historical context, legal implications, and societal impact.
  • Insider Trading: Definition, Legality, and Implications
    A comprehensive guide to understanding insider trading, its legal boundaries, and its implications in the financial world.
  • Market Manipulation: Definition, Methods, Types, and Examples
    Detailed exploration of market manipulation, including its definition, methods, types, and examples, as well as historical context, regulatory considerations, and related terms.
  • Misappropriation: Unauthorized Use of Funds
    An in-depth look at misappropriation, the intentional, unauthorized use of funds. Explore its definition, types, examples, historical context, applicability, and related terms.
  • Pump and Dump: Illegal Stock Manipulation Scheme
    Comprehensive definition of the Pump and Dump scheme, an illegal practice involving the artificial inflation of stock prices for profit.