ComplianceOnline
Join for Free
Signin
Welcome back! Please log in below to continue.
Forgot Password?
New customer? Free Signup
Your Shopping Cart
Contains 0 items
Total: $0.00
View Shopping Cart
Home › Online Training ›  Finance, Sox & Internal control

Finance, SOX and Internal Controls Regulatory Compliance Training - Live Webinars, Recordings & CDs

Help your staff understand the basic regulatory requirements and also the small details which if overlooked could potentially have a big impact on your business. Ensure that your teams are knowledgeable about how the SOX compliance processes should be aligned with the relevant frameworks. Explore our wide range of training programs for Finance, SOX, and Internal Controls Regulatory Compliance.
Loading....
Recorded/CD
ACH Origination - The Rules for Setting Exposure Limits

ACH Origination - The Rules for Setting Exposure Limits

  • Speaker: Donna K Olheiser
  • Product ID: 705098
  • Duration: 90 Min
This training program will review criteria needed to evaluate Originators and perform proper due diligence and describe details on the different types of ACH risk – focus being on credit risk for purposes of setting exposure limits. It will also outline the rules and evaluation process for setting exposure limits for all Originators and overview FFIEC guidance regarding risk in the ACH network.
CD/Recorded
$179
View Details
Recorded/CD
Setting Up A Stress-Testing Program

Setting Up A Stress-Testing Program

  • Speaker: Fred Vacelet
  • Product ID: 705155
  • Duration: 60 Min
For a multitude of reasons, stress-testing programs have seldom satisfied regulators, even after the 2007 crisis. After most significant mishap in every bank, management often discovers that the managerial stress-testing have revealed to be insufficient, over-driven by optimism. In this training program, the instructor will deconstruct regulatory constraints after Basel II and III, lessons learnt after 2007, and stress-testing as a strategic exercise.
CD/Recorded
$0
View Details
Recorded/CD
Business Law, Ethics and Lender Liability - The Promissory Note, Tort Reform and its Impact on the Borrower

Business Law, Ethics and Lender Liability - The Promissory Note, Tort Reform and its Impact on the Borrower

  • Speaker: David L Osburn
  • Product ID: 704698
  • Duration: 60 Min
This training program will provide insight into business law basics and lender liability. The webinar will explore the basics of business law including the judicial process, stages of litigation, alternatives to litigation (arbitration and mediation), and business structure. Attendees will gain an understanding of contract law, problem loan situations, and bank collection efforts. Additionally, the related concept of lender liability will be reviewed including the technical aspects of this vital area and recent industry trends.
CD/Recorded
$0
View Details
Recorded/CD
Small Business Lending: Understanding Financial Metrics - Minimize Conflicts

Small Business Lending: Understanding Financial Metrics - Minimize Conflicts

  • Speaker: Charles H Green
  • Product ID: 705105
  • Duration: 100 Min
This webinar training will identify challenges to small business lending through the lens of macro economic realities and help in understanding the scope of the marketplace. Attendees will gain a clear overview of the principal risk factors that are present with all small businesses and determine whether they might be overcome.
CD/Recorded
$0
View Details
Recorded/CD
Audits: Dealing with the Agencies and Conducting Your Own

Audits: Dealing with the Agencies and Conducting Your Own

  • Speaker: Vicki M. Lambert
  • Product ID: 705035
  • Duration: 90 Min
This training program will discuss what to do when you receive communications from the IRS and also what to do when doing business with other federal, state and local regulatory agencies and lawmaking bodies. It will also explain how to conduct internal audits of the payroll department to pre-emptively uncover issues of non-compliance that could be extremely costly if found by official audits from regulating agencies. Additionally, best practices in performing audits for fraud will also be covered.
CD/Recorded
$0
View Details
Recorded/CD
Using Lean to Streamline your Operations, Continuity Planning and Recovery

Using Lean to Streamline your Operations, Continuity Planning and Recovery

  • Speaker: Michael C Redmond
  • Product ID: 704826
  • Duration: 60 Min
This webinar training will discuss the lean principles and how to effectively implement them in your system to identify and reduce waste. The instructor will discuss how to apply lean to align business system and process with organisational goals so as to deliver rapid and measurable results.
CD/Recorded
$0
View Details
Recorded/CD
NYS Department of Labor Proposed Salary Increases

NYS Department of Labor Proposed Salary Increases

  • Speaker: Matthew W Burr
  • Product ID: 705071
  • Duration: 60 Min
With the overtime changes in New York State, this training program will discuss areas in New York State where the change will take effect. It will also discuss future changes to the rate and potential federal changes to the overtime rule.
CD/Recorded
$249
View Details
Recorded/CD
Corporate Governance and the Board of Directors' Role

Corporate Governance and the Board of Directors' Role

  • Speaker: Adam Kerns
  • Product ID: 705067
  • Duration: 60 Min
This webinar will offer a comprehensive, in-depth review of the state laws affecting the corporate governance standards applicable to insurance companies and the board of directors’ role in those standards.
CD/Recorded
$199
View Details
Recorded/CD
AML Risks in Correspondent Banking: What You Need to Know for 2017

AML Risks in Correspondent Banking: What You Need to Know for 2017

  • Speaker: Joe Soniat
  • Product ID: 704997
  • Duration: 60 Min
Correspondent banking has become a hot topic with BSA AML over the past few years. With examination scrutiny on correspondent banking high, this training program will highlight why it is essential to know the risk and what to do when it comes to banking other banks.
CD/Recorded
$279
View Details
Recorded/CD
Ethics in the Financial Services Industry

Ethics in the Financial Services Industry

  • Speaker: Lisa Marsden
  • Product ID: 705053
  • Duration: 60 Min
The application and practice of ethical behavior is not just about complying with rules and regulations but about doing the right thing. This training program will discuss case studies and how to apply best practical ethical behavior and how to incorporate the ethical behavior into your firm’s overall business culture.
CD/Recorded
$0
View Details
Recorded/CD
Procurement and Contract Fraud - Detection and Prevention

Procurement and Contract Fraud - Detection and Prevention

  • Speaker: John E Grimes
  • Product ID: 704334
  • Duration: 90 Min
This training program will examine the fraud vulnerabilities in the procurement of materials and services in the private sector. In addition, it will explore the many procurement and contract fraud schemes and at what point in the procurement and contract process they occur.
CD/Recorded
$179
View Details
Recorded/CD
Reducing the Cost of RoHS and REACH Compliance Declarations

Reducing the Cost of RoHS and REACH Compliance Declarations

  • Speaker: Jim Kandler
  • Product ID: 705028
  • Duration: 60 Min
This training program will introduce different methods to improve existing declaration collection efforts. It will propose several practical methods a manufacturer might implement to make their material compliance efforts more effective.
CD/Recorded
$209
View Details
Recorded/CD
Effective and Innovative Uses for Credit Insurance

Effective and Innovative Uses for Credit Insurance

  • Speaker: Buddy Baker
  • Product ID: 704097
  • Duration: 90 Min
This training program will compare credit insurance with other risk mitigation techniques in order to understand situations where other alternatives are more appropriate. Attendees will learn how insurers are increasing the flexibility of the protection they offer and the risks they cover.
CD/Recorded
$249
View Details
Recorded/CD
The Department of Labor's Fiduciary the New Final Rule - Best Practices for Conducting a Due Diligence and Reviewing the Best Interest Contract Exemption

The Department of Labor's Fiduciary the New Final Rule - Best Practices for Conducting a Due Diligence and Reviewing the Best Interest Contract Exemption

  • Speaker: Lisa Marsden
  • Product ID: 705021
  • Duration: 60 Min
This 60-minute training session will provide a detailed overview of the Department of Labor’s Final Fiduciary Rule including the history and on-going resistance to the rule. The session will delve into details on how the rule was established and who it will be applied to. The webinar instructor will discuss the summary of the details of the new final rule and what firms must do to comply.
CD/Recorded
$179
View Details
Recorded/CD
Project Risk Management

Project Risk Management

  • Speaker: Mario Mosse
  • Product ID: 705015
  • Duration: 90 Min
Project risk management includes the processes of conducting risk management planning, identification, analysis, action planning, and controlling risk on a project. This training program will analyze the objectives of project risk management - to increase the likelihood and impact of positive outcomes while decreasing the likelihood and impact of negative events affecting the success of the project.
CD/Recorded
$229
View Details
Recorded/CD
The Overall Annual Compliance Review - Latest Advisers Act

The Overall Annual Compliance Review - Latest Advisers Act

  • Speaker: Lisa Marsden
  • Product ID: 705016
  • Duration: 60 Min
This webinar will focus on compliance requirements to prevent violations of the Advisers Act. The training program will also discuss how to design your firm’s annual review and effectively manage the review process.
CD/Recorded
$0
View Details
Recorded/CD
What are ACH Payments, How Do They Work and What Does That Mean - Essentials of ACH Payments

What are ACH Payments, How Do They Work and What Does That Mean - Essentials of ACH Payments

  • Speaker: Donna K Olheiser
  • Product ID: 704281
  • Duration: 90 Min
This training program will help attendees identify what is the ACH network and examples of ACH electronic payments. It will list the five basic participants in each electronic ACH transaction and describe the settlement process and the difference between a debit and a credit ACH transaction.
CD/Recorded
$179
View Details
Recorded/CD
Cyber Security Risk Assessment

Cyber Security Risk Assessment

  • Speaker: Michael C Redmond
  • Product ID: 704523
  • Duration: 60 Min
This training program will examine strategic planning to prepare and review your cyber and information security risks, cyber risks and impact analysis, IT outsourcing, and other underlying risks. The program will help attendees identify, analyze and document the events and environmental surroundings that can adversely affect an organization.
CD/Recorded
$0
View Details
Recorded/CD
Project Management Essentials: The 8 Keys to Successfully Completing Every Project On-Time and On Budget

Project Management Essentials: The 8 Keys to Successfully Completing Every Project On-Time and On Budget

  • Speaker: Christopher R DeVany
  • Product ID: 705013
  • Duration: 90 Min
This training program will help attendees grasp the essentials of project management and plan effectively for identifying project needs. It will also discuss practices for keeping content, process, and structure on track to produce positive outcomes.
CD/Recorded
$0
View Details
Recorded/CD
The Finance of HR: Disclosure of the Human Capital Metrics to Investors

The Finance of HR: Disclosure of the Human Capital Metrics to Investors

  • Speaker: Ronald Adler
  • Product ID: 704996
  • Duration: 90 Min
This webinar training will discuss the use of human capital metrics as a core competency, review the role HR metrics play in helping the organization make critical business decisions, describe the calculation of employment practices liability risk exposure, and provide a listing of some of the more widely used HR metrics.
CD/Recorded
$229
View Details
Best Sellers
You Recently Viewed
    Loading
Copyright © 2023 ComplianceOnline.com
MetricStream
Our Policies: Terms of use | Privacy