Choosing a Financial Advisor



Scams: How to Protect Your Money or Avoiding Investment Fraud

-2006, Alberta Securities Commission, Calgary, Alberta, Canada

Currently offered through the continuing education departments of two post-secondary institutions in Alberta. It is generally a 4 hour course broken into 2 hrs/ week for 2 weeks on a weekday night, or 4 hours on a Saturday.

• This course is designed to: Assist participants in developing a basic knowledge of the warning signs of fraud and how to make well-informed investment decisions in a non-promotional environment. (This course does not include investment advice or promote any financial advisors, products or companies).

Examples and references to quotes and websites are used throughout the PowerPoint presentation. Additional books and handouts are also supplied to the students.

This is an outline only as content is jurisdiction specific and slides are updated frequently. For more details on specific content, please email investored@seccom.ab.ca. Thank you.

Course Outline:

A. Introduction

• Goals and expectations for this class

A. The Purpose of Investing

B. Psychology and Fraud

C. A Case Study in Fraud

D. Warning Signs of Fraud

E. Research, Planning and Goal Setting

F. Investing and Speculating

G. High-pressure Sales

H. Affinity Fraud

I. Advisors and Promoters

J. Understanding Investment Opportunities

K. Common Investment Scams

L. Documentation

M. Risk and Return

N. Diversification

O. Resources

P. Review

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