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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
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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Recorded/CD
Preventing Employee Theft

Preventing Employee Theft

  • Speaker: Robert Minniti
  • Product ID: 703549
  • Duration: 90 Min
This webinar will explain how to spot the red flags that could indicate occupational fraud. Attendees will learn how to develop good internal controls to prevent employees from misappropriating the organization’s assets.
CD/Recorded
$50
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Recorded/CD
Character of Reputation Risk: Risk or Just an Impact? Techniques for Effective Management.

Character of Reputation Risk: Risk or Just an Impact? Techniques for Effective Management.

  • Speaker: Craig Spielmann
  • Product ID: 703811
  • Duration: 90 Min
Reputational risk is receiving a tremendous amount of focus. Organizations need to have the capability to identify, manage and measure their reputational risk, while employees in every level are familiar with an effective approach towards the same. This training program will discuss how different companies have either failed or succeeded in managing their reputational risk and analyze best practices to take control of reputational risk situations.
CD/Recorded
$149
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Recorded/CD
Illegal Insider Trading: A Working Knowledge of Recent Developments

Illegal Insider Trading: A Working Knowledge of Recent Developments

  • Speaker: Aldo Martinez
  • Product ID: 703805
  • Duration: 90 Min
Although arguments exist on both sides regarding whether illegal insider trading should be deemed illegal or not, today it is globally recognized as a tool to perpetrate a fraud and is a direct threat to investors and therefore the capital raising process used by publicly traded companies. To ensure you, your employees and your financial institution are not fined, jailed or forced to close, it is imperative that you understand what to look for when identifying possible money laundering on accounts within your institution.
CD/Recorded
$149
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Recorded/CD
Global Trade Compliance - Regulations, Documents and Custom Values

Global Trade Compliance - Regulations, Documents and Custom Values

  • Speaker: Reynaldo Roman
  • Product ID: 703255
  • Duration: 60 Min
This training will focus on the essential elements of trade compliance. Attendees will learn best practices to ensure compliance with international trade regulations.
CD/Recorded
$149
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Recorded/CD
Social Media and HIPAA Compliance: How to Leverage the Benefits of Social Media and Maintain HIPAA Compliance

Social Media and HIPAA Compliance: How to Leverage the Benefits of Social Media and Maintain HIPAA Compliance

  • Speaker: Coy Murchison
  • Product ID: 703789
  • Duration: 90 Min
This 90 minute virtual webinar will prepare professionals engaged in health care marketing in physician offices, hospitals and medical device companies leverage social media to support patient care. Personnel responsible for compliance programming and implementation will also benefit from this course.
CD/Recorded
$179
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Recorded/CD
Creating and Updating an Effective Anti-Corruption Compliance Program

Creating and Updating an Effective Anti-Corruption Compliance Program

  • Speaker: Lindsey Fetzer
  • Product ID: 703783
  • Duration: 60 Min
As compliance with the Foreign Corrupt Practices Act (FCPA) and other anti-corruption statutes has matured into its own field, compliance professionals are faced with the proverbial one-way ratchet. U.S. enforcers’ compliance expectations continue to increase, and compliance programs now need to address multiple laws as more countries enhance and enforce their own anti-corruption regimes. This course will address the essential elements of an effective compliance program.
CD/Recorded
$149
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Recorded/CD
The Role of the Audit Committee in Corporate Governance

The Role of the Audit Committee in Corporate Governance

  • Speaker: Richard Cascarino
  • Product ID: 703761
  • Duration: 90 Min
Audit committees are a fundamental part of the proper governance of any organization, together with the executive management and internal as well as external audit. This webinar will explore the role of the audit committee in corporate governance and risk management.
CD/Recorded
$179
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Recorded/CD
Red Flags of Money Laundering and How to Mitigate Risk Against the Crime of Financial Facilitation of Criminal Activity

Red Flags of Money Laundering and How to Mitigate Risk Against the Crime of Financial Facilitation of Criminal Activity

  • Speaker: Mark Malinowski
  • Product ID: 703742
  • Duration: 60 Min
Criminals and criminal enterprises constantly manipulate the banking system to move their illegal proceeds through financial institutions. Their methods and trends are always changing, so investigative personnel, accountants, auditors, and FIU personnel need to be aware of these activities. This course will instruct attendees on how to examine each transaction to determine the method, the reason, and potential destination of the funds to protect financial institutions during personal and business transactions.
CD/Recorded
$149
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Recorded/CD
Accounts Payable Theft and Fraud: An AP Management Guide to Help Detect and Prevent Employee Theft and Fraud

Accounts Payable Theft and Fraud: An AP Management Guide to Help Detect and Prevent Employee Theft and Fraud

  • Speaker: Richard Cascarino
  • Product ID: 703736
  • Duration: 90 Min
Often, an organization’s most vulnerable area is its accounts payable (AP) operations, where the lack of effective internal controls could pave the way for fraudulent activities and theft. This course will focus on best practices for detecting AP fraud, red flags and indicators of AP fraud and how to prevent it, while elaborating the various fraud and internal fraud categories.
CD/Recorded
$149
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Recorded/CD
Is Your Organization’s Compliance Risk Program Strong? Developing Effective Compliance Risk Assessments

Is Your Organization’s Compliance Risk Program Strong? Developing Effective Compliance Risk Assessments

  • Speaker: Warren R Markowitz
  • Product ID: 703718
  • Duration: 60 Min
This course will give attendees an understanding of the importance and application of an institutional risk assessment and how it can be used to enhance existing AML/BSA risk mitigation procedures. Participants will also learn to develop, monitor and maintain an appropriate risk profile in line with your business operations.
CD/Recorded
$50
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Recorded/CD
Financial Fraud Alert – Detection & Prevention [Webinar]

Financial Fraud Alert – Detection & Prevention [Webinar]

  • Speaker: Mark Malinowski
  • Product ID: 703717
  • Duration: 60 Min
This course will highlight the current methods and trends employed by criminals and criminal enterprises to acquire company assets for personal gain. It will provide a case study analysis addressing the methods of prevention, detection and investigation to protect and prosecute individuals who embezzle company assets.
CD/Recorded
$149
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Recorded/CD
Fraud 101 for Compliance Professionals

Fraud 101 for Compliance Professionals

  • Speaker: Richard Cascarino
  • Product ID: 703687
  • Duration: 90 Min
This course will highlight best practices for mitigating the risk of fraud penalties. It will include discussions on creating an effective fraud prevention program, fraud reporting and whistleblowing, planned investigation processes to deter fraud, and identifying causes for anti-fraud program failure.
CD/Recorded
$149
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Recorded/CD
Best Practices to Combat Anti Money Laundering Risk

Best Practices to Combat Anti Money Laundering Risk

  • Speaker: Laura H Goldzung
  • Product ID: 703062
  • Duration: 90 Min
This webinar highlights the techniques and best practices to Combat AML Risk. AML compliance programs are prescribed to be risk-based but do not necessarily require a formal risk assessment. This session will explore risk assessment as the foundation for implementing sound AML compliance programs.
CD/Recorded
$149
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Recorded/CD
Leadership & BoD Obligations Under AML, BSA & OFAC

Leadership & BoD Obligations Under AML, BSA & OFAC

  • Speaker: Michelle Martin
  • Product ID: 703613
  • Duration: 60 Min
This webinar will highlight the duties and financial risk of board of directors, business owners and upper management under Anti-Money Laundering (AML), Bank Secrecy Act (BSA), and Office of Foreign Assets Control (OFAC) regulations.
CD/Recorded
$149
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Recorded/CD
Evaluating the Effectiveness of a Corporate Compliance Program: A Holistic Approach

Evaluating the Effectiveness of a Corporate Compliance Program: A Holistic Approach

  • Speaker: Brian A Dahl
  • Product ID: 703603
  • Duration: 90 Min
This webinar will provide a real-world perspective on using a holistic approach to evaluate the effectiveness of a corporate compliance program. Attendees will also get an opportunity to assess the overall success of their organization’s corporate compliance program.
CD/Recorded
$149
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Recorded/CD
The JOBS Act - the Regulation D Offering Reborn

The JOBS Act - the Regulation D Offering Reborn

  • Speaker: Warren R Markowitz
  • Product ID: 703589
  • Duration: 60 Min
This webinar will focus on the comparison between the old and new Reg D Rule 506 Offering and will highlight the importance of compliance in this new arena. It will also discuss the roles and responsibilities of counsel and company management.
CD/Recorded
$149
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Recorded/CD
Red Flags of Internal Fraud, Asset Misappropriation, and Corruption

Red Flags of Internal Fraud, Asset Misappropriation, and Corruption

  • Speaker: Sinai Megibow
  • Product ID: 703578
  • Duration: 60 Min
This webinar will detail the variety of internal economic threats such as fraud, asset misappropriation, and corruption faced by businesses and examine the different methods and schemes by which dishonest employees target their employers. We will discuss how to identify red flags of those threats and preventive measures that companies can take in order to reduce the likelihood of being victimized.
CD/Recorded
$149
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Recorded/CD
Teller Compliance Training: Reg CC, CTR and UCC 3 and 4

Teller Compliance Training: Reg CC, CTR and UCC 3 and 4

  • Speaker: Kara Lamphere
  • Product ID: 703523
  • Duration: 60 Min
This webinar will provide an overview of the Bank Secrecy Act (BSA) and Regulation CC. It will explain how and when to place holds on deposits. Attendees will understand red flags concerning money laundering and how to complete a currency transaction report (CTR).
CD/Recorded
$149
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Recorded/CD
Implementing a Whistle-Blower Program - Detecting and Preventing Fraud at Workplace

Implementing a Whistle-Blower Program - Detecting and Preventing Fraud at Workplace

  • Speaker: Richard Cascarino
  • Product ID: 702725
  • Duration: 90 Min
This training on effective whistle-blower program implementation will discuss its importance and issues and provide tips on how to choose a reporting mechanism to detect and prevent fraud/misconduct or unethical workplace behavior both in the public and the private sectors.
CD/Recorded
$149
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