Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry

In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.

G-CFES

Globally Certified Financial Education Specialist (G-CFES)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization The Global Association of Certified KYC Specialists (GO-AKS)
Qualification and Training Requirements
Prerequisites

Candidates must have:

  • a bachelor’s degree in finance, economics, business, accounting, or a related field from an accredited institution; and
  • a minimum of two years of professional experience in financial education, financial planning, investment advisory or any other role that involves direct interaction with retail investors.

Candidates without a degree in a relevant field may qualify if they possess significant work experience in financial education or related areas.
Designation Training Requirements

Online, self-paced training course
Designation Exam Type

Online, closed-book, proctored exam
Continuing Education Requirements

15 hours annually
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

Via email to [email protected]
Published List of Disciplined Designees

None

2020066883201 XP Investments US, LLC CRD 156691 AWC vr (2024-1733444406413).pdf

FINANCIAL INDUSTRY REGULA TORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066883201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: XP Investments US, LLC (Respondent) Member Firm CRD No. 156691 Pursuant to FINRA Rule 9216, Respondent XP Investments US, LLC (XP) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079285701 Sherwin Sargeant CRD 5096798 AWC vr (2024-1733444399741).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079285701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sherwin Sargeant (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5096798 Pursuant to FINRA Rule 9216, Respondent Sherwin Sargeant submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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