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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.
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Recorded/CD
A2Z of ACH - Pre-Notifications, Returns and Reversals - Part 3

A2Z of ACH - Pre-Notifications, Returns and Reversals - Part 3

  • Speaker: Rayleen M Pirnie
  • Product ID: 704573
  • Duration: 90 Min
This three-part webinar series is designed specifically for businesses who either currently process ACH credits and/or debits, or those exploring the network for use in the future. Each session will focus on niche areas of ACH essentials. This course in the series will explore ACH pre-notifications, returns and reversals from the perspective of how each affects a business originator.
CD/Recorded
$179
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Recorded/CD
Block Chain for Risk Management /Data Security | Emerging Technological Approach for KYC and Secure Transactions

Block Chain for Risk Management /Data Security | Emerging Technological Approach for KYC and Secure Transactions

  • Speaker: Shaun Miller
  • Product ID: 704808
  • Duration: 120 Min
A block chain is a transaction database shared by all nodes participating in a system based on the Bitcoin protocol. This course describes the Bitcoin concept, what Blockchain is and its financial applications to creating secure KYC and payment data sets. This course explains a Blockchain concept where the Blockchain itself is a shared single source of truth.
CD/Recorded
$249
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Recorded/CD
Application for Investor Advisor Registration - ADV Part 1, Part 2A, Part 2B and More

Application for Investor Advisor Registration - ADV Part 1, Part 2A, Part 2B and More

  • Speaker: Lisa Marsden
  • Product ID: 704741
  • Duration: 60 Min
This training program will analyze ADV Part 1, ADV Part 2 A, ADV Part 2 B, and offer a breakdown of each section of the ADV. It will discuss annual filing requirements and offer best practices for reporting accurately.
CD/Recorded
$199
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Recorded/CD
2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators

2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators

  • Speaker: Lisa Marsden
  • Product ID: 704765
  • Duration: 60 Min
In this training program, attendees will learn how to gain access to the financial regulators priorities and understand how to apply those priorities to their firm. The program will also discuss incorporating the priorities into your annual review and identifying priorities that need to become part of the compliance manual/code of ethics.
CD/Recorded
$249
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Recorded/CD
Community Reinvestment Act (CRA) - Understanding High Risk Lending and Compliance Issues

Community Reinvestment Act (CRA) - Understanding High Risk Lending and Compliance Issues

  • Speaker: Vidia Ramdeen
  • Product ID: 704764
  • Duration: 60 Min
This training program will address important compliance issues and high risk lending issues of the Community Reinvestment Act (CRA). It will help attendees in understanding why community bank lending is important for achieving goals underlying successful community reinvestment and focus on the basics of risk management for community bank lending.
CD/Recorded
$0
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Recorded/CD
SEC Examinations - Practical Tips on How to Defend Yourself

SEC Examinations - Practical Tips on How to Defend Yourself

  • Speaker: H. David Kotz
  • Product ID: 704605
  • Duration: 60 Min
This webinar provides practical information on how companies may defend themselves during SEC examinations. The webinar highlights the newest initiatives arising from the SEC’s examination program. Presented by the former Inspector General of the SEC, the webinar provides valuable insider information about SEC exams.
CD/Recorded
$0
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Recorded/CD
3-Hr Virtual Seminar - Understanding DFAR and Developing Compliance - DCAA Audit, Labor Records, Penalties, Policies & Procedures

3-Hr Virtual Seminar - Understanding DFAR and Developing Compliance - DCAA Audit, Labor Records, Penalties, Policies & Procedures

  • Speaker: JeFreda Brown
  • Product ID: 704619
  • Duration: 3 hrs
This training program will demonstrate why companies planning to do business with the government should be prepared to be audited by the Defense Contract Audit Agency (DCAA). DCAA performs all needed contract audits for the Department of Defense (DoD). The focus of this program is to offer attendees a strong knowledge of DFARS (Defense Federal Acquisition Regulation Supplement) and help understand what is required when pricing proposals, developing a compliant accounting system, and maintaining contracts.
CD/Recorded
$349
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Recorded/CD
BCBS 239 - Principles of Effective Risk Data Aggregation and Risk Reporting

BCBS 239 - Principles of Effective Risk Data Aggregation and Risk Reporting

  • Speaker: Mario Mosse
  • Product ID: 703943
  • Duration: 90 Min
Risk management is a key component of every banking governance framework. This webinar discuss the BCSB 239 standard. The instructor will discuss the critical risk-data aggregation capabilities and internal risk-reporting practices (the Principles) to enhance risk management and decision-making processes at banks.
CD/Recorded
$149
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Recorded/CD
Dos & Don'ts Related to Information Security and Data Privacy

Dos & Don'ts Related to Information Security and Data Privacy

  • Speaker: Marc Perl
  • Product ID: 704736
  • Duration: 60 Min
This training program will prepare your organization to understand the need for data security, the steps that can be taken to institute or augment your data security policies/procedures, and the implementation of the needed controls. This webinar will introduce attendees to a set of known and respected data security standards that can be employed by your organization to improve your security. Attendees will walk away with ideas to leverage the curriculum with their existing security infrastructure.
CD/Recorded
$249
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Recorded/CD
How to Establish & Review Your Risk Metrics Effectively

How to Establish & Review Your Risk Metrics Effectively

  • Speaker: Robert Geary
  • Product ID: 704709
  • Duration: 90 Min
This webinar training provides an in depth understanding and applicability of the risk metrics. The instructor helps in establishing the purpose they serve and reviewing the methodology for creating a set of risk metrics. He will also discuss the sampling of forms of risk metrics to be employed and review the risk metric management process.
CD/Recorded
$0
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Recorded/CD
Detecting and Preventing Corporate Card Fraud - Travel and Entertainment Expenses

Detecting and Preventing Corporate Card Fraud - Travel and Entertainment Expenses

  • Speaker: Chris Doxey
  • Product ID: 704707
  • Duration: 90 Min
This webcast will discuss the policies, procedures, and controls that will help your company detect and prevent corporate card fraud. The Instructor will discuss the type of corporate credit cards and best practices for developing your travel and entertainment expense (T&E) policy. Participants will learn the T&E standards of internal control and how to automate their T&E Process.
CD/Recorded
$179
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Recorded/CD
A2Z of ACH - Authorizations, Revocations, and NOCs - Part 2

A2Z of ACH - Authorizations, Revocations, and NOCs - Part 2

  • Speaker: Rayleen M Pirnie
  • Product ID: 704572
  • Duration: 90 Min
This three-part webinar series is designed specifically for businesses who either currently process ACH credits and/or debits, or those exploring the network for use in the future. Each session will focus on niche areas of ACH essentials. This course in the series will explore ACH authorization requirements, revocations, and Notifications of Change (NOCs) in the ACH network from the perspective of how each affects a business originator.
CD/Recorded
$179
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Recorded/CD
Should We Offer Home Equity Lines of Credit? HELOC VS. Conventional Mortgage

Should We Offer Home Equity Lines of Credit? HELOC VS. Conventional Mortgage

  • Speaker: J T Turner
  • Product ID: 704612
  • Duration: 60 Min
This training program will offer an introduction to HELOCs and explain how a HELOC is structured. It will also discuss why they are profitable, potential issues, and how to retain loans.
CD/Recorded
$0
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Recorded/CD
A2Z of ACH - Transaction Flows and Standard Entry Class Codes - Part 1

A2Z of ACH - Transaction Flows and Standard Entry Class Codes - Part 1

  • Speaker: Rayleen M Pirnie
  • Product ID: 704571
  • Duration: 90 Min
This three-part webinar series is designed specifically for businesses who either currently process ACH credits and/or debits, or those exploring the network for use in the future. Each session will focus on niche areas of ACH essentials. This first part in the series will focus on recognizing an ACH transaction flow - both credit and debit, identifying ACH network participants, and locating Standard Entry Class Code (transaction) Rules in the ACH Rules book.
CD/Recorded
$0
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Recorded/CD
TILA-RESPA Integrated Disclosures (TRID) Review

TILA-RESPA Integrated Disclosures (TRID) Review

  • Speaker: J T Turner
  • Product ID: 704680
  • Duration: 60 Min
This webinar will discuss the you understand Truth In Lending Act and Real Estate Settlement Procedures Act Disclosures. Instructor will explain how to review the history of the disclosures. Participants will understand the nature of the changes, the Loan Estimate form and calculations, closing disclosure and time considerations of the disclosures.
CD/Recorded
$0
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Recorded/CD
Master Excel in 60 Minutes: Formulae and Functions

Master Excel in 60 Minutes: Formulae and Functions

  • Speaker: Dennis Taylor
  • Product ID: 704006
  • Duration: 90 Min
In this training program, attendees will learn formula tips and shortcuts to become a more proficient Excel user. It will illustrate how to use formula auditing tools to track down cell dependencies and determine formula sources.
CD/Recorded
$149
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Recorded/CD
Measuring and Managing Customer Profitability - From Growing Sales to 'Profitable' Sales

Measuring and Managing Customer Profitability - From Growing Sales to 'Profitable' Sales

  • Speaker: Gary Cokins
  • Product ID: 704679
  • Duration: 90 Min
This training program will focus on how to shift the mindset from growing sales to growing profitable sales and to view customers as investments like in a stock portfolio to seek higher ROIs – return on customers (ROC). It will also look at how measuring forward-looking customer lifetime value (CLV) differs from calculating historical customer/consumer profitability for B2C industries.
CD/Recorded
$0
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Recorded/CD
CAMELS Methodology | Market Risk Identification, Evaluation and Managing Risk Conditions - CCAR and CLAR

CAMELS Methodology | Market Risk Identification, Evaluation and Managing Risk Conditions - CCAR and CLAR

  • Speaker: Robert Geary
  • Product ID: 704669
  • Duration: 60 Min
This training webinar discusses CAMELS components in terms of the regulators’ evaluation methodology. It covers how these considerations translate into the rating of each component and the formulation of a bank’s CAMELS composite rating. In addition, the instructor explains two related evaluations: CCARS which is a “Comprehensive Capital Assessment and Review”, and CLAR which is a “Comprehensive Liquidity Assessment and Review” and how to rate bank’s capital adequacy and liquidity adequacy.
CD/Recorded
$0
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Recorded/CD
Writing Effective Email

Writing Effective Email

  • Speaker: Phil Vassallo
  • Product ID: 704380
  • Duration: 90 Min
This training program will discuss best practices for managing your email system effectively and efficiently. It will guide attendees in composing purposeful, reader-focused emails and in employing strategies for creating a courteous tone.
CD/Recorded
$199
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Recorded/CD
Is Your Vendor Ripping You Off? Fraud Red Flags Corporate Executives Should Recognize

Is Your Vendor Ripping You Off? Fraud Red Flags Corporate Executives Should Recognize

  • Speaker: Anne M McFadden
  • Product ID: 704015
  • Duration: 90 Min
This training program will primarily focus on analytical and accounting red flags in purchasing schemes, bid rigging, billing schemes, personal purchase schemes, product substitution and all other kinds of corporate fraud.
CD/Recorded
$179
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