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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
How to Conduct Corporate Fraud Investigations: Planning, Gathering and Drafting a Comprehensive Investigative Report

How to Conduct Corporate Fraud Investigations: Planning, Gathering and Drafting a Comprehensive Investigative Report

  • Speaker: H. David Kotz
  • Product ID: 703700
  • Duration: 90 Min
Learn more about fraud investigation and get trained on effective investigative techniques by former SEC Inspector General David Kotz. This executive training session will increase your understanding of conducting a credible fraud investigation and creating precise reports. The session will conclude with best practices for putting in place policies that detect and deter fraud.
CD/Recorded
$149
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Recorded/CD
OFAC and Other Denied Parties: What Your Company Needs to Know and Do

OFAC and Other Denied Parties: What Your Company Needs to Know and Do

  • Speaker: Jon Casher
  • Product ID: 703915
  • Duration: 60 Min
This training program will focus on what your company needs to know and do about laws and regulations within and outside the US regarding individuals and entities that you are prohibited from doing business with. These individuals and entities are sometimes referred to as denied, debarred, excluded or restricted parties. Contrary to the idea that these laws and regulations apply only to financial institutions, they, in fact, apply to all types of organizations. This session will identify the parts of your organization that need to be aware of the issues, the necessary controls and the steps you should take to avoid compliance issues, penalties and lawsuits.
CD/Recorded
$149
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Recorded/CD
The EPA Clean Water Rule: What Do the Changes Mean and How Will they Impact Your Business?

The EPA Clean Water Rule: What Do the Changes Mean and How Will they Impact Your Business?

  • Speaker: Erik Janus
  • Product ID: 704150
  • Duration: 60 Min
This training program will describe the recently proposed changes to the Clean Water Act (CWA) that are intended to clarify the Waters of the United States (WOTUS), provide an overview of the origin of these changes, provide a critique of these changes and discuss effects of implementation, and present the current challenges in light of the legal background and current political environment.
CD/Recorded
$149
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Recorded/CD
Supplier Inspections, Audits, and Compliance Tracking

Supplier Inspections, Audits, and Compliance Tracking

  • Speaker: Richard Maksimoski
  • Product ID: 704130
  • Duration: 60 Min
Attendees will leave this training program with more confidence, vision, and productivity. The confidence comes from knowing that you have more tools to keep your product in compliance with regulatory and company standards. The ability to establish the necessary processes will allow attendees to remain confident that your company will be safe.
CD/Recorded
$149
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Recorded/CD
Internal Controls: Documenting Internal Accounting Policies and Procedures

Internal Controls: Documenting Internal Accounting Policies and Procedures

  • Speaker: Vidia Ramdeen
  • Product ID: 704125
  • Duration: 90 Min
This interactive training program will enable attendees to devise a plan to assess and develop their organization’s internal control structure. They will also gain an understanding of key areas that are impacted when there is a lack of internal controls.
CD/Recorded
$149
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Recorded/CD
Performing Your ACH Audit: The Ins and Outs of ACH Rule Compliance

Performing Your ACH Audit: The Ins and Outs of ACH Rule Compliance

  • Speaker: Luann Kohlmann
  • Product ID: 703861
  • Duration: 100 Min
The NACHA Operating Rules and Guidelines require that all participating depository financial institutions, third-party senders and third-party service providers that provide ACH services conduct an annual ACH audit to be performed by December 31 of each year (ACH Rules, Appendix Eight, Section 8.1). It is critical that electronic payments work safely and efficiently for all users. The ACH network strives for just that by requiring the annual ACH audit. This webinar will offer attendees a keen understanding of general audit requirements, and the functions of a receiving depository financial institution (RDFI), and an originating depository financial institution (ODFI).
CD/Recorded
$149
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Recorded/CD
Steering Clear of DOJ’s Most Likely to Be Caught List

Steering Clear of DOJ’s Most Likely to Be Caught List

  • Speaker: Joe Dell Aquila,Harry Falber
  • Product ID: 704067
  • Duration: 90 Min
This training program will detail what a compliance program is and what it covers. It will discuss the DOJ’s (Department of Justice) compliance investigations over the last year. The course will also illustrate how compliance programs are successfully extended to external business partners and how a code of conduct should be written into a compliance program.
CD/Recorded
$50
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Recorded/CD
Insurance Fraud and Weapons to Fight Fraud

Insurance Fraud and Weapons to Fight Fraud

  • Speaker: Barry Zalma
  • Product ID: 703153
  • Duration: 90 Min
This anti-fraud training will help you understand the concept of insurance fraud and the use of red flags. Attendees will learn the various weapons to fight against fraudulent activities.
CD/Recorded
$50
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Recorded/CD
Operationalizing COSO Compliance to Enhance Your Control Environment and Contribute to SOX Efforts

Operationalizing COSO Compliance to Enhance Your Control Environment and Contribute to SOX Efforts

  • Speaker: Lynn Fountain
  • Product ID: 704139
  • Duration: 90 Min
This course will examine and evaluate the driving force behind COSO 2013 and suggested applications beyond ICFR. When the COSO foundation released the COSO 2013 framework, they specifically stated their intent that the framework be utilized for more than just ICFR. Many companies have undergone and completed the mapping processes for the 17 principles to the ICFR controls. They must now examine how the framework can move into the operational stage.
CD/Recorded
$0
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Recorded/CD
Managing an Effective AML Audit Program

Managing an Effective AML Audit Program

  • Speaker: Laura H Goldzung
  • Product ID: 702988
  • Duration: 90 Min
This webinar will highlight the techniques and best practices that can be used for conducting an effective AML audit in order to ensure compliance with Bank Secrecy Act (BSA) regulations.
CD/Recorded
$149
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Recorded/CD
Writing Effective Credit Memos and Loan Narratives

Writing Effective Credit Memos and Loan Narratives

  • Speaker: Jeffery Johnson
  • Product ID: 703819
  • Duration: 100 Min
After a detailed credit analysis of a loan request has been performed, it is time to communicate your findings in writing. Credit memoranda are a primary means of communications within the banking industry. A good understanding of how to effectively write a credit memorandum can make all the difference in conducting a successful lending process to the consumer. This program will focus on training participants to write effective credit memos and loan narratives.
CD/Recorded
$149
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Recorded/CD
Consumer Debt Collection - Best Practices

Consumer Debt Collection - Best Practices

  • Speaker: Scott Transue
  • Product ID: 704063
  • Duration: 90 Min
This webinar will describe the Act in general, along with the other four laws that affect debt collectors as a whole: the Fair Credit Reporting Act, HIPPA, the Truth in Lending Act, and the Uniform Commercial Code. Attendees will learn what you can and cannot say and do with regard to consumer debt collection. In addition, the course will discuss tools you can use to hasten collecting consumer debt, without going to court in many instances. Finally, it will discuss the advantages and disadvantages of getting judgments, forgiving debt, and how to handle being sued by a debtor for allegedly violating the law.
CD/Recorded
$149
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Recorded/CD
Understanding TSCA Reform: What is Being Proposed and How Will it Affect your Business?

Understanding TSCA Reform: What is Being Proposed and How Will it Affect your Business?

  • Speaker: Erik Janus
  • Product ID: 704076
  • Duration: 60 Min
The presentation will describe the recently proposed major revisions to the law (Toxic Substance Control Act, TSCA) that regulates the use of industrial chemicals the United States - the first time this has happened in the 40 years since the bill was drafted in 1976. A critical review of the recently proposed bills in the House and Senate will be provided, including an overview of the background and history of this legislative effort, an overview of the proposed changes and effects of implementation on the regulated community.
CD/Recorded
$149
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Recorded/CD
Vendor Management - Building a Strong Questionnaire

Vendor Management - Building a Strong Questionnaire

  • Speaker: Michael D King
  • Product ID: 704119
  • Duration: 60 Min
This training program will highlight why a vendor questionnaire is the keystone your vendor management program is built on. The course will help ensure attendees get the whole picture and determine appropriate controls for information security and privacy.
CD/Recorded
$149
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Recorded/CD
ISO/IEC 27001:2013 - Breaking It Down to Understand and Implement

ISO/IEC 27001:2013 - Breaking It Down to Understand and Implement

  • Speaker: Michael C Redmond
  • Product ID: 703977
  • Duration: 90 Min
This training program will guide attendees in implementing and complying with the requirements of ISO 27001:2013. ISO 27001 is an international standard published by the International Standardization Organization (ISO), and it describes how to manage information security in a company. The latest revision of this standard was published in 2013, and its full title now is ISO/IEC 27001:2013.
CD/Recorded
$0
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Recorded/CD
Mexico Non-Tariff Import Barriers

Mexico Non-Tariff Import Barriers

  • Speaker: Linda B Sarabia
  • Product ID: 704117
  • Duration: 90 Min
This training program will highlight differences between a direct and an indirect NTB (non-tariff barrier). It will also discuss direct and indirect NTBs established by the Mexican government and penalties for failure to comply with NTBs under the Mexican customs law.
CD/Recorded
$149
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Recorded/CD
Compliance with U.S. Securities and Exchange Commission Laws

Compliance with U.S. Securities and Exchange Commission Laws

  • Speaker: Lynn Fountain
  • Product ID: 704071
  • Duration: 90 Min
This training program is designed for individuals who need a more detailed understanding of the Securities and Exchange Commission procedures and process and its authority over publically traded companies. The session is applicable to all financial, compliance and regulatory personnel. It will serve as an introduction to the basics of the SEC organization and overview aspects of the organization itself, its enforcement reach and laws subject to SEC scrutiny.
CD/Recorded
$0
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Recorded/CD
Legitimacy of Buyers/Suppliers in Export/Import

Legitimacy of Buyers/Suppliers in Export/Import

  • Speaker: Igor Chigrin
  • Product ID: 704100
  • Duration: 60 Min
This training program will explore 8 techniques for verifying the legitimacy of your foreign counterparty. It will also discuss credit check, background check, reference check, criminal record check, restricted parties record check, financial health check, and more.
CD/Recorded
$149
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Recorded/CD
B2B Payments in the U.S. and the Compliance Issues They Face

B2B Payments in the U.S. and the Compliance Issues They Face

  • Speaker: Ray Graber
  • Product ID: 704078
  • Duration: 60 Min
This training program will offer attendees a greater understanding of payment types that are declining and those that are growing: ACH, CHIPS, and Fedwire. Plans and polices to combat payment theft and related fraud will also be detailed in the webinar.
CD/Recorded
$149
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Recorded/CD
Effective Labour Law and Union Behavior Training for Human Resources

Effective Labour Law and Union Behavior Training for Human Resources

  • Speaker: Diana Chomichuk
  • Product ID: 704080
  • Duration: 60 Min
This training will help improve your productivity and effectiveness in understanding labor laws, workplace social dynamics, working with unions and the management of human resources.
CD/Recorded
$25
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