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Home › Online Training ›  Compliance & Ethics

Compliance and Ethics Training - Live Webinars, Recordings & CDs

Evaluate and mitigate non-compliance and fraud risks, improve operations, and protect company reputation with our Ethics and Compliance Training Programs. You will learn how to curb non-compliant decisions and drive business in compliance with regulatory and corporate ethics. Browse this page for a range of courses of interest to you.
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Recorded/CD
Fraud Prevention at the Branch

Fraud Prevention at the Branch

  • Speaker: Susan Wind
  • Product ID: 704060
  • Duration: 60 Min
This training program will discuss how fraudulent activities continue to stay on the rise despite enhanced technology. Financial institutions are starting to get more aggressive with securing their networks and computer systems, along with conducting more ongoing and thorough background checks on employees. The course will detail how using more preventative measures to identity and stop fraud is key in any organization.
CD/Recorded
$149
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Recorded/CD
Conducting Internal Investigations - Legal Issues, Documenting Interviews and Policy Considerations

Conducting Internal Investigations - Legal Issues, Documenting Interviews and Policy Considerations

  • Speaker: Kelly Rietow
  • Product ID: 703984
  • Duration: 60 Min
This training program will help participants understand when an investigation is warranted, considerations in working with outside investigators, and provide practical steps to conduct your own internal investigation. Employee complaints go with the territory when you are a manager. But how do you know when to address a complaint informally or when you should launch an investigation? This webinar will also guide attendees in assessing situations that warrant formal investigation.
CD/Recorded
$149
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Recorded/CD
How to Build an Anti-Fraud Culture

How to Build an Anti-Fraud Culture

  • Speaker: Peter Goldmann
  • Product ID: 702607
  • Duration: 60 Min
This anti-fraud webinar will discuss how to create an anti-fraud culture in your organization. How to put down anti-fraud zero tolerance policies that explain to employees what constitutes fraud, fraud awareness training, how to recognize its red flags and how to set up a effective fraud hotline.
CD/Recorded
$149
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Recorded/CD
2015 SEC Enforcement Initiatives and Controls to Defend Them

2015 SEC Enforcement Initiatives and Controls to Defend Them

  • Speaker: H. David Kotz
  • Product ID: 704018
  • Duration: 75 Min
This training program will detail new SEC enforcement initiatives and discuss the SEC enforcement mindset. It will also discuss SEC enforcement trends over time and controls to put in place to prevent exposure.
CD/Recorded
$149
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Recorded/CD
How to Effectively Identify and Complete a Successful Merger or Acquisition of a Bank

How to Effectively Identify and Complete a Successful Merger or Acquisition of a Bank

  • Speaker: Toby Lawrence
  • Product ID: 704014
  • Duration: 60 Min
This training program will discuss how to create an effective M&A strategic plan that will help attendees identify and solicit targets that will add to the long-term shareholder value of their institution. Is your institution in the market for an acquisition or looking to grow? If so, this session will assist you and discuss keys to identifying and persuading an acquisition target interested in selling and the steps to completing a successful acquisition.
CD/Recorded
$50
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Recorded/CD
How to Address 15 Key AP and Purchasing Compliance Issues

How to Address 15 Key AP and Purchasing Compliance Issues

  • Speaker: Jon Casher
  • Product ID: 702856
  • Duration: 60 Min
This purchasing and accounts payable (AP)regulations training will focus on the necessary steps to be taken to avoid compliance issues, penalties and lawsuits. It will also explain how to identify an organization’s weaknesses and how to address the challenges related to AP and purchasing compliance.
CD/Recorded
$149
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Recorded/CD
BSA, De-Risking: Why De-Risk When You Can Re-Risk?

BSA, De-Risking: Why De-Risk When You Can Re-Risk?

  • Speaker: Laura H Goldzung
  • Product ID: 703985
  • Duration: 90 Min
This webinar will highlight the opportunity to define enhanced diligence that can be used for conducting an effective high risk review in order to ensure compliance with Bank Secrecy Act (BSA) regulations and regulatory expectations.
CD/Recorded
$149
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Recorded/CD
2015 OFAC Sanction, Related Export Control Violations and Enforcement Trends: Best Practices for Preventing Violations

2015 OFAC Sanction, Related Export Control Violations and Enforcement Trends: Best Practices for Preventing Violations

  • Speaker: Robert J Ward Jr
  • Product ID: 703919
  • Duration: 90 Min
This training program will update participants on the developments regarding OFAC sanctions, OFAC enforcement trends as well as related export control traps for the unwary. The discussion of OFAC sanction developments will give participants an appreciation of the new war chest of punitive measures being deployed in recent executive orders.
CD/Recorded
$50
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Recorded/CD
Letters of Credit, OFAC, Antiboycott and AML Regulations for Trade Service Bankers

Letters of Credit, OFAC, Antiboycott and AML Regulations for Trade Service Bankers

  • Speaker: Buddy Baker
  • Product ID: 703967
  • Duration: 90 Min
This training program will provide participants with an essential, basic understanding of U.S. rules and regulations governing international trade. The regulations contain required (and prohibited) business conduct, with penalties for failure to comply including fines, loss of export privileges, and even jail terms. In many cases, banks are required to police transactions they handle and report violations.
CD/Recorded
$149
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Recorded/CD
Superiority, Non-inferiority, or Equivalence Trials: How, Why and When

Superiority, Non-inferiority, or Equivalence Trials: How, Why and When

  • Speaker: Rita Hanover
  • Product ID: 702591
  • Duration: 60 Min
This webinar on clinical study design will explore the differences among superiority, Non-inferiority (NI), and equivalence trials, including development of the precise research questions necessary to making a decision about appropriate clinical designs.
CD/Recorded
$229
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Recorded/CD
Fraud in Clinical Research

Fraud in Clinical Research

  • Speaker: David Lim
  • Product ID: 703899
  • Duration: 60 Min
This training program will instruct attendees to better understand ethical and legal requirements when conducting medical/clinical research and study. The webinar will focus on what/how to identify, address and prevent fraud in medical research.
CD/Recorded
$229
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Recorded/CD
Building an Effective BSA/AML Compliance Program

Building an Effective BSA/AML Compliance Program

  • Speaker: Armen Khachadourian
  • Product ID: 703864
  • Duration: 60 Min
The prevention of money laundering is a key focus of regulatory authorities in developed countries around the world. Money laundering regulations are designed to inhibit the movement of funds derived from criminal activity and to restrict the availability of money to fund terrorist activities. This training program will detail the historical context of AML regulations, best practices to implement an effective AML program, and reporting guidelines for the same.
CD/Recorded
$149
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Recorded/CD
Why Fraud Happens and What to do: Critical Concepts on How to Prevent, Detect and Mitigate Fraud

Why Fraud Happens and What to do: Critical Concepts on How to Prevent, Detect and Mitigate Fraud

  • Speaker: Lynn Fountain
  • Product ID: 703878
  • Duration: 90 Min
Auditors and financial managers are not expected to have the expertise of forensic investigators, but they should have adequate knowledge of the aspects of fraud and maintain a skeptical mind when it comes to reviewing potential violations. Like internal controls, the economy, and business strategy, fraud continues to evolve and auditors must stay abreast of its root causes. This training program will highlight these root causes and detail suggested mitigation and investigation techniques.
CD/Recorded
$0
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Recorded/CD
Investigating Internal Non Compliance Complaints for the General Counsel - FSLA, FMLA and USERRA

Investigating Internal Non Compliance Complaints for the General Counsel - FSLA, FMLA and USERRA

  • Speaker: Douglas Pilarski
  • Product ID: 703845
  • Duration: 120 Min
This webinar will help general counsel and senior HR executives work together to better understand internal complaint systems, and design, establish, and maintain an effective system for handling employee complaints in the workplace when associates charge that the employer has violated one or more of the laws that regulate the employer-employee relationship. The course will review three examples in this session - FSLA, FMLA, and USERRA.
CD/Recorded
$149
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Recorded/CD
Crowdfunding

Crowdfunding

  • Speaker: Jeffrey Brandon
  • Product ID: 703796
  • Duration: 60 Min
Crowdfunding came into existence under Title lll of the JOBS Act. The JOBS Act requires the SEC to write rules and issue studies on capital formation, disclosure and registration requirements. The JOBS Act provides a newly formed cost effective access to the formation of capital for smaller corporate America. This webinar will discuss the various forms of crowdfunding and funding portals and the regulations that presently apply and other regulations that may be applicable soon.
CD/Recorded
$149
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Recorded/CD
High Frequency Trading: HFT and its Supervision

High Frequency Trading: HFT and its Supervision

  • Speaker: Aldo Martinez
  • Product ID: 703839
  • Duration: 90 Min
The key to success in dealing with the present and future of HFT (High Frequency Trading) and to understand how to face the continuing changes in our markets, in part, is attributable to understanding how and why we are on our current path. This webinar will teach attendees how to identify ongoing concerns and how to apply lessons learned and history in order to effectively address the business and regulatory solutions of tomorrow.
CD/Recorded
$149
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Recorded/CD
Data Breaches: What's the Risk?

Data Breaches: What's the Risk?

  • Speaker: Robert Minniti
  • Product ID: 703722
  • Duration: 60 Min
This webinar will discuss the risks and costs of data breaches. Participants will learn who is vulnerable and what can be done to help prevent losses from data breaches. Additionally, the course will discuss the legal responsibilities and liabilities of an organization that is a victim of data breach and offer guidance to help prevent such breaches.
CD/Recorded
$149
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Recorded/CD
Risk Management and Internal Audit - Tracking Enterprise Governance, Risk and Compliance Effectiveness

Risk Management and Internal Audit - Tracking Enterprise Governance, Risk and Compliance Effectiveness

  • Speaker: Richard Cascarino
  • Product ID: 703848
  • Duration: 90 Min
Effective risk-based auditing requires that the auditor understand management’s attitude to, and tolerance of risk. This training program will focus on audit planning based on an understanding of the internal control structure intended by management to mitigate risk and the degree of implementation of ERM.
CD/Recorded
$179
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Recorded/CD
Guidelines for Performing Fraud Risk Assessment and Guidance on How to Conduct an Internal Fraud Investigation

Guidelines for Performing Fraud Risk Assessment and Guidance on How to Conduct an Internal Fraud Investigation

  • Speaker: Marna Steuart
  • Product ID: 703440
  • Duration: 90 Min
This webinar will explain key components of a fraud risk assessment and management program. Attendees will learn best practices for conducting an internal fraud investigation.
CD/Recorded
$149
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Recorded/CD
2015 ACH Rule Changes and Updates: Rules that Will Change Returns and Impose New Fees

2015 ACH Rule Changes and Updates: Rules that Will Change Returns and Impose New Fees

  • Speaker: Luann Kohlmann
  • Product ID: 703817
  • Duration: 90 Min
This compliance training will focus on the 2015 ACH rule changes and updates. The chief emphasis will be on the nine recently passed ballots to keep attendees updated with the new rules and avoid violations and penalties.
CD/Recorded
$149
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