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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
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
Best Practices: Defining a Service Level Agreement (SLA) Process

Best Practices: Defining a Service Level Agreement (SLA) Process

  • Speaker: Chris Doxey
  • Product ID: 703840
  • Duration: 60 Min
A service-level agreement (SLA) is a negotiated agreement between two parties where one is the customer and the other is the actual service provider. This can be a legally binding formal or informal contract. An SLA should contain operating norms, which describe how the process is governed, managed, and controlled. An SLA should also include a set of operating metrics that are reported on a monthly basis.
CD/Recorded
$149
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Recorded/CD
Establishing Effective Enterprise Risk Management (ERM) for Achieving Good Compliance and Superior Governance

Establishing Effective Enterprise Risk Management (ERM) for Achieving Good Compliance and Superior Governance

  • Speaker: Barth Aaron
  • Product ID: 703813
  • Duration: 60 Min
Enterprise risk management has become the new buzz word for business. This webinar training will highlight best practices for members of the board of directors and senior management for implementing and maintaining an enterprise risk management program. It will provide advice on what regulators look for in proper governance procedures and documents. The session will follow the creation of a risk management program and explain how the program should be managed by the company’s board.
CD/Recorded
$179
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Recorded/CD
NACHA Operating Rules - How do Banks comply?

NACHA Operating Rules - How do Banks comply?

  • Speaker: Brent Meyers
  • Product ID: 703108
  • Duration: 60 Min
This BFSI compliance training will highlight the NACHA Operating Rules for Automated Clearing House (ACH) payments and what financial institutions need to do to ensure compliance with these regulations.
CD/Recorded
$149
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Recorded/CD
Assessment Methods for Risks and Controls

Assessment Methods for Risks and Controls

  • Speaker: Manoj Kulwal
  • Product ID: 703866
  • Duration: 90 Min
This course will cover key assessment methods utilised for assessing risks and controls. The assessment methods discussed in this webinar will be based on internationally recognised standard - ISO 31000.
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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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
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
ORM Maturity Model - What Does Good Look Like?

ORM Maturity Model - What Does Good Look Like?

  • Speaker: Craig Spielmann
  • Product ID: 703768
  • Duration: 90 Min
Regulators, executives, and boards have raised the bar for operational risk programs. There has been frustration from all key stakeholders with the perceived lack of value. It’s critical that there is a realistic expectation and picture of a truly mature program. It is in everyone’s interest to agree upon a true maturity level that is sustainable, attracts talent and is attainable in line with business direction.
CD/Recorded
$50
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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
Filing UCC Financing Statements: Getting it Right!

Filing UCC Financing Statements: Getting it Right!

  • Speaker: Jeffery Johnson
  • Product ID: 703731
  • Duration: 90 Min
This webinar will offer an overview of the revised Article 9 and will discuss the most relevant factors to attach and perfect the most common forms of personal property. It will offer practical tips and guidance on preparing UCC financing statement forms. The course will also introduce the amendments to the revised Article 9 which have been approved by the Uniform Law Commission.
CD/Recorded
$149
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Recorded/CD
Risk Metrics - Identifying, Evaluating and Managing Risk Conditions

Risk Metrics - Identifying, Evaluating and Managing Risk Conditions

  • Speaker: Robert Geary
  • Product ID: 703716
  • Duration: 60 Min
The objective of this instruction is to provide an in depth understanding and applicability of risk metrics by establishing the purpose they serve, reviewing the methodology for creating a set of risk metrics, studying a sampling of risk metrics currently employed, and reviewing the risk metric management process. In essence, the course will provide a conceptual framework to comprehend the value of risk metrics.
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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