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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
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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Recorded/CD
Fraud 101 for Compliance Professionals

Fraud 101 for Compliance Professionals

  • Speaker: Richard Cascarino
  • Product ID: 703687
  • Duration: 90 Min
This course will highlight best practices for mitigating the risk of fraud penalties. It will include discussions on creating an effective fraud prevention program, fraud reporting and whistleblowing, planned investigation processes to deter fraud, and identifying causes for anti-fraud program failure.
CD/Recorded
$149
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Recorded/CD
FINRA New Consolidated Rules Governing Supervision, Effective December 1, 2014: How to Apply and Comply

FINRA New Consolidated Rules Governing Supervision, Effective December 1, 2014: How to Apply and Comply

  • Speaker: Donna Sardanopoli
  • Product ID: 703680
  • Duration: 90 Min
This webinar will detail the provisions of FINRA Regulatory Notice 14-10, which comes into effect as of 1st December, 2014. It will address how these new Consolidated Supervision Rules will replace existing NASD Rules 3010 and 3012. Attendees will also learn applicable rules and regulations for content requirements.
CD/Recorded
$149
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Recorded/CD
Developing and Implementing an Effective Employee Fraud Awareness Program

Developing and Implementing an Effective Employee Fraud Awareness Program

  • Speaker: Peter Goldmann
  • Product ID: 703647
  • Duration: 90 Min
A well-planned fraud awareness training can deliver maximum benefits with minimal delay at the lowest cost. This webinar will review best practices for training employees to recognize fraudulent conduct and how to report it without the fear of retaliation. Further, it will also highlight mistakes to avoid while setting up a whistleblower hotline and detail how best to measure the effectiveness of your fraud awareness training.
CD/Recorded
$149
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Recorded/CD
Creating Profit & Loss Statement to Understand your Organization’s Financial Position

Creating Profit & Loss Statement to Understand your Organization’s Financial Position

  • Speaker: Vincent DiCara
  • Product ID: 703662
  • Duration: 90 Min
This webinar will give you a clear understanding of how to analyze and create profit & loss statement to understand your organization’s financial position alongwith the required due-diligence.
CD/Recorded
$149
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Recorded/CD
Best Practices to Combat Anti Money Laundering Risk

Best Practices to Combat Anti Money Laundering Risk

  • Speaker: Laura H Goldzung
  • Product ID: 703062
  • Duration: 90 Min
This webinar highlights the techniques and best practices to Combat AML Risk. AML compliance programs are prescribed to be risk-based but do not necessarily require a formal risk assessment. This session will explore risk assessment as the foundation for implementing sound AML compliance programs.
CD/Recorded
$149
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Recorded/CD
Implementing an Efficient and Effective Control Environment

Implementing an Efficient and Effective Control Environment

  • Speaker: Manoj Kulwal
  • Product ID: 703620
  • Duration: 90 Min
This course will cover key practices and processes to facilitate implementation of an efficient and effective control environment. Practices and processes will be based on internationally recognized ISO 31000 standard.
CD/Recorded
$149
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Recorded/CD
Vendor Payment Terms - What is Best for Both Sides?

Vendor Payment Terms - What is Best for Both Sides?

  • Speaker: Brent Meyers
  • Product ID: 703534
  • Duration: 60 Min
This webinar will highlight the issues that most companies face determining when to pay their vendors. Attendees will learn the best practices to comply with vendor payment terms.
CD/Recorded
$149
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Recorded/CD
Leadership & BoD Obligations Under AML, BSA & OFAC

Leadership & BoD Obligations Under AML, BSA & OFAC

  • Speaker: Michelle Martin
  • Product ID: 703613
  • Duration: 60 Min
This webinar will highlight the duties and financial risk of board of directors, business owners and upper management under Anti-Money Laundering (AML), Bank Secrecy Act (BSA), and Office of Foreign Assets Control (OFAC) regulations.
CD/Recorded
$149
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Recorded/CD
Evaluating the Effectiveness of a Corporate Compliance Program: A Holistic Approach

Evaluating the Effectiveness of a Corporate Compliance Program: A Holistic Approach

  • Speaker: Brian A Dahl
  • Product ID: 703603
  • Duration: 90 Min
This webinar will provide a real-world perspective on using a holistic approach to evaluate the effectiveness of a corporate compliance program. Attendees will also get an opportunity to assess the overall success of their organization’s corporate compliance program.
CD/Recorded
$149
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Recorded/CD
How to conduct Risk Assessments as per ISO 31000/31010(SOX)

How to conduct Risk Assessments as per ISO 31000/31010(SOX)

  • Speaker: Kenneth Barden
  • Product ID: 701744
  • Duration: 90 Min
This Risk Assessment training will focus on the criteria established for ISO Standards 31000 and 31010. It will look at how a company can identify and manage its risks, and how effective risk management techniques can translate into better marketing and profitable opportunities for a business enterprise.
CD/Recorded
$149
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Recorded/CD
The JOBS Act - the Regulation D Offering Reborn

The JOBS Act - the Regulation D Offering Reborn

  • Speaker: Warren R Markowitz
  • Product ID: 703589
  • Duration: 60 Min
This webinar will focus on the comparison between the old and new Reg D Rule 506 Offering and will highlight the importance of compliance in this new arena. It will also discuss the roles and responsibilities of counsel and company management.
CD/Recorded
$149
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Recorded/CD
Red Flags of Internal Fraud, Asset Misappropriation, and Corruption

Red Flags of Internal Fraud, Asset Misappropriation, and Corruption

  • Speaker: Sinai Megibow
  • Product ID: 703578
  • Duration: 60 Min
This webinar will detail the variety of internal economic threats such as fraud, asset misappropriation, and corruption faced by businesses and examine the different methods and schemes by which dishonest employees target their employers. We will discuss how to identify red flags of those threats and preventive measures that companies can take in order to reduce the likelihood of being victimized.
CD/Recorded
$149
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Recorded/CD
How to Develop a Successful ERM Program Ensuring Synergy, Transparency and System Solutions

How to Develop a Successful ERM Program Ensuring Synergy, Transparency and System Solutions

  • Speaker: Michael C Redmond
  • Product ID: 703580
  • Duration: 60 Min
This webinar highlights the importance of an effective ERM program in project management and risk assessment. Attendees will learn how to implement a viable ERM program including documenting and testing it.
CD/Recorded
$0
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Recorded/CD
Developing and Facilitating Effective Compliance Risk Assessments

Developing and Facilitating Effective Compliance Risk Assessments

  • Speaker: Kenneth Barden
  • Product ID: 703530
  • Duration: 75 Min
This webinar will explain various approaches available for assessing risk in a company’s business portfolio. Attendees will learn best practices for conducting risk assessment to evaluate compliance risks, rate them, and prioritize them accordingly. Learn how to implement mitigation measures to reduce any adverse impact.
CD/Recorded
$149
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Recorded/CD
2014 Current Best Practices for Public Company Management

2014 Current Best Practices for Public Company Management

  • Speaker: Barth Aaron
  • Product ID: 703527
  • Duration: 60 Min
This webinar will review current best practices for Boards of Directors and senior management on the issues of Say-On-Pay votes, ISS and other shareholder advisors positions, SEC and exchange positions on independent boards and related regulation and positions.
CD/Recorded
$149
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Recorded/CD
Complying with and Applying Regulator's Rules and Guidance as it Relates to Social Media and Personal Electronic Devices (Financial Services)

Complying with and Applying Regulator's Rules and Guidance as it Relates to Social Media and Personal Electronic Devices (Financial Services)

  • Speaker: Donna Sardanopoli
  • Product ID: 703502
  • Duration: 90 Min
This webinar will discuss FINRA Regulatory Notice 10-06, 11-39 and SEC Social Media Guidance. Attendees will learn how to ensure compliance with all rules, regulations and guidance as it relates to social media and electronic devices.
CD/Recorded
$149
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