Microcap Securities – Reasonable Inquiries and AML Considerations - A Q&A Regarding Microcap Security Red Flags and How Your Organization Can Be Prepared

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Under the most normal of circumstances, trading microcap securities comes with risk. Risk primarily due to the lack of publicly available information, making these securities more susceptible to price manipulation. Under the “new normal”, fraudsters are looking to exploit the over-leveraged and less-market-savvy risk takers promising big wins on COVID-19 tangent products and services.

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