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Compliance Regulations and Guidance Affecting your Industry
Get trained on regulations affecting your industry through online webinars, learn the best practices, and download quality standards, checklists and news articles. Listen to experts on best practices to streamline quality and compliance processes and meet the regulatory demands.Categories
Compliance Trainings
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Employee Expense Reimbursement Fraud: Detection, Prevention and Deterrence
By - Peter Goldmann
On Demand Access Anytime
By - Peter Goldmann
On Demand Access Anytime
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Credit card surcharging - who is going to do it and what are the stipulations for compliance?
By - Ray Graber
On Demand Access Anytime
By - Ray Graber
On Demand Access Anytime
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Managing AML/KYC Compliance Risk - CDD/EDD, Transaction Monitoring and More
By - Doug Keipper
On Demand Access Anytime
By - Doug Keipper
On Demand Access Anytime
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The Australian AML/CTF Act - Preparing for an Independent Review
By - David Harley
On Demand Access Anytime
By - David Harley
On Demand Access Anytime
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FINRA Proposed Know Your Customer Rule
- Industry: Banking and Financial Services
In general, the new FINRA Know-Your-Customer Rule (2090) requires firms to use “reasonable diligence,” in regard to the opening and maintenance of every account and know the “essential facts” concerning every customer. This rule is modeled after the NYSE Rule 405(1).
FDIC Guidance on Safeguarding Customers Against E-Mail and Internet-Related Fraudulent Schemes
- Industry: Banking and Financial Services
The Federal Deposit Insurance Corporation has issued guidance on safeguarding customers against E-mail and Internet-Related Fraudulent Schemes.
Australian Prudential Standard APS 115 Capital Adequacy: Advanced Measurement Approaches to Ope ....
- Industry: Banking and Financial Services
In November 2007, Australia instituted the Australian Prudential Standard, APS 115 Capital Adequacy: Advanced Measurement Approaches to Operational Risk, under the Banking Act. This standard sets out the requirements that an authorized deposit-taking institution (that has approval to use an advanced measurement approach to operational risk) must meet both at the time of initial implementation and on an ongoing basis for regulatory capital purposes.
PCAOB Staff Audit Alert No 5- Auditor Considerations Regarding Significant Unusual Transactions
- Industry: Banking and Financial Services
In April 2010, the Public Company Accounting Oversight Board (PCAOB) issued a guidance or Staff Practice Audit Alert, Auditor Considerations Regarding Significant Unusual Transactions, aimed at advising auditors on how they should handle significant unusual transactions while auditing a company.
Final Rule on Resolution Plans - Federal Reserve Board
- Industry: Banking and Financial Services
In October 2011, the Federal Reserve Board approved a final rule that will implement the resolution plan requirement, part of the Dodd-Frank Wall Street Reform and Consumer Protection Act. This important financial regulation requires bank holding companies with assets of $50 billion or more and nonbank financial firms designated by the Financial Stability Oversight Council for supervision by the Board to annually submit resolution plans to the Board and the Federal Deposit Insurance Corporation (FDIC). This rule will come into effect from November 30, 2011.
Regulation P - PRIVACY OF CONSUMER FINANCIAL INFORMATION
- Industry: Banking and Financial Services
The US Federal Reserve Board’s Regulation P or Privacy of Consumer Financial Information (12 CFR 216) regulates the use of nonpublic personal information about consumers by financial institutions.
Euopean Commission Deposit Guarantee Scheme
- Industry: Banking and Financial Services
In 1994 the European Commission issued a Directive on Deposit Guarantee Schemes that aimed at protecting bank account holders in case of banks failing. After the 2008 financial crisis, the EU member states decided to increase the level of deposit protection and new Deposit Guarantee Scheme requirements were implemented and became effective in 2010.
Proposed European Capital Requirements Directive, 2011
- Industry: Banking and Financial Services
In July 2011, the European Commission modified its Capital Requirements Directive to strengthen the stability of European banks. Rules under this proposed directive, known as CRD IV, is expected to be in place by the end of 2012 and banks across the EU are expected to comply by 2019.
EU Transparency Directive
- Industry: Banking and Financial Services
The European Union’s Transparency Directive or TD was implemented to harmonize the transparency requirements for information about issuers whose securities are admitted to trading on a regulated market.
Credit CARD Act of 2009
- Industry: Banking and Financial Services
The Credit Card Accountability Responsibility and Disclosure Act or Credit CARD Act of 2009 was enacted into law by President Obama. The aim of the Act is stated to be to “amend the Truth in Lending Act to establish fair and transparent practices relating to the extension of credit under an open end consumer credit plan.” It was intended to comprehensively reform how credit card companies charge card holders.
UK Financial Services Authority Guidance on Selling General Insurance Policies on Price Compari ....
- Industry: Banking and Financial Services
The UK Financial Services Authority or FSA, which regulates the banking, financial services and insurance industry in the country, issued new guidance on selling general insurance policies on price comparison websites.
Corporate and Criminal Fraud Accountability Act
- Industry: Banking and Financial Services
Sections 801 to 807 of the Sarbanes Oxley Act of 2002 are known collectively as the Corporate and Criminal Fraud Accountability Act. The Act details criminal penalties for securities fraud and protects employees-turned-whistleblower of publicly traded companies from retaliatory actions by their employers.
The Secure and Fair Enforcement for Mortgage Licensing or SAFE Act of 2008
- Industry: Banking and Financial Services
The Secure and Fair Enforcement for Mortgage Licensing or SAFE Act of 2008 was formulated in order to reduce fraud and regulatory burden and increase consumer safety with regard to mortgages. It regulates the license and registration of mortgage loan originators.
Equal Credit Opportunity Act 1974
- Industry: Banking and Financial Services
The Equal Credit Opportunity Act was a consumer protection legislation enacted in 1974, which aims to give all bona fide, legal individuals the opportunity to apply for loans from banks and other financial institutions. The Act makes it illegal to discriminate against any individual on grounds that don’t directly relate to their creditworthiness.
Basel III Capital Rules
- Industry: Banking and Financial Services
In September 2010, global banking regulators issued new rules that required banks to increase their capital reserves in order to avoid calamitous situations that unfolded after the financial crisis in 2007.
This package deal is known as Basel III.
FINRA Social Media Guidance for Business Communication
- Industry: Banking and Financial Services
In August, the Financial Industry Regulatory Authority (FINRA) issued further guidance on how social networking websites should be used for business communication. FINRA had earlier, in January 2010, published an initial guidance document on the same subject but felt the need to clarify its rules following questions posed by business.
Securities Act of 1933
- Industry: Banking and Financial Services
The Securities Act of 1933 is a federal legislation that regulates the offer and sale of securities. It was enacted after the stock market crash of 1929 and the ensuing Great Depression.
Final Regulatory Reform Plan - Small Business Administration - 2011
- Industry: Banking and Financial Services
The White House has announced plans for an ambitious regulatory reform across federal departments and agencies. This is the final regulatory reform plan of the Small Business Administration.
Final Regulatory Reform Plan - Department of the Treasury - 2011
- Industry: Banking and Financial Services
The White House has announced plans for an ambitious regulatory reform across federal departments and agencies. This is the final regulatory reform plan of the Department of the Treasury.
Final Regulatory Reform Plan - Department of Commerce - 2011
- Industry: Banking and Financial Services
The White House has announced plans for an ambitious regulatory reform across federal departments and agencies. This is the final regulatory reform plan of the Department of Commerce.
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