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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
Why Fraud Happens and What to do: Critical Concepts on How to Prevent, Detect and Mitigate Fraud

Why Fraud Happens and What to do: Critical Concepts on How to Prevent, Detect and Mitigate Fraud

  • Speaker: Lynn Fountain
  • Product ID: 703878
  • Duration: 90 Min
Auditors and financial managers are not expected to have the expertise of forensic investigators, but they should have adequate knowledge of the aspects of fraud and maintain a skeptical mind when it comes to reviewing potential violations. Like internal controls, the economy, and business strategy, fraud continues to evolve and auditors must stay abreast of its root causes. This training program will highlight these root causes and detail suggested mitigation and investigation techniques.
CD/Recorded
$0
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Recorded/CD
Evaluating the Effectiveness of your ERM Program: Risk Assessment, Recognizing Risk Awareness, and Building a Strong and Effective ERM Program

Evaluating the Effectiveness of your ERM Program: Risk Assessment, Recognizing Risk Awareness, and Building a Strong and Effective ERM Program

  • Speaker: Gary W Patterson
  • Product ID: 703626
  • Duration: 60 Min
This webinar will detail ERM core elements and discuss the basics of risk assessment. Attendees will learn to identify critical risk areas and mange backlog of risk areas as well.
CD/Recorded
$149
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Recorded/CD
Intersection of AML-OFAC Requirements with FATCA Requirements - FinCen, Customer Onboarding & More

Intersection of AML-OFAC Requirements with FATCA Requirements - FinCen, Customer Onboarding & More

  • Speaker: Steven G Lewis
  • Product ID: 703668
  • Duration: 60 Min
This session will explore the different requirements of FATCA, AML, OFAC and how to avoid breaking these regulatory requirements. You will understand how to deal with all the differing requirements and developing a Customer Due Diligence strategy to deal with such scenarios.
CD/Recorded
$149
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Recorded/CD
Crowdfunding

Crowdfunding

  • Speaker: Jeffrey Brandon
  • Product ID: 703796
  • Duration: 60 Min
Crowdfunding came into existence under Title lll of the JOBS Act. The JOBS Act requires the SEC to write rules and issue studies on capital formation, disclosure and registration requirements. The JOBS Act provides a newly formed cost effective access to the formation of capital for smaller corporate America. This webinar will discuss the various forms of crowdfunding and funding portals and the regulations that presently apply and other regulations that may be applicable soon.
CD/Recorded
$149
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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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