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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
Review of Major Lending Regulations and Required Documentation

Review of Major Lending Regulations and Required Documentation

  • Speaker: Roy Johnson
  • Product ID: 703496
  • Duration: 90 Min
This webinar will provide an overview of major lending regulations and required documentation to ensure loans are in compliance with the law. It will discuss Regulation Z, Regulation B, Regulation X, Regulation O, Regulation U including Fair Debt Collection Practices Act and Flood Disaster Protection Act.
CD/Recorded
$149
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Recorded/CD
Fundamentals of SBA Lending: Documenting, Closing, and Funding the SBA Loan

Fundamentals of SBA Lending: Documenting, Closing, and Funding the SBA Loan

  • Speaker: Vincent DiCara
  • Product ID: 703462
  • Duration: 90 Min
This webinar will explain the fundamentals of SBA lending and the two most used and popular SBA’s programs: the SBA 504 Program and the SBA 7a Program. Attendees will learn how to document SBA loans, as well as closing and funding SBA loans.
CD/Recorded
$149
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Recorded/CD
Foreign Corrupt Practices Act - Critical Issues and Best Practices

Foreign Corrupt Practices Act - Critical Issues and Best Practices

  • Speaker: Andrea Ewart
  • Product ID: 703167
  • Duration: 90 Min
This training on the Foreign Corrupt Practices Act will focus on the anti-bribery and accounting provisions of the FCPA and will explain the activities and conducts that are prohibited by the FCPA. Learn the best practices and strategies for avoiding criminal and administrative penalties for violating its provisions.
CD/Recorded
$149
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Recorded/CD
COSO 2013 Framework vs. ERM Framework: Implementation Challenges and Opportunities

COSO 2013 Framework vs. ERM Framework: Implementation Challenges and Opportunities

  • Speaker: Sonia Luna
  • Product ID: 703415
  • Duration: 90 Min
This webinar will explain similarities and differences between COSO v ERM frameworks. Attendees will understand key advantages of using the ERM framework over the updated COSO 2013 model.
CD/Recorded
$149
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Recorded/CD
Medical Device Excise Tax

Medical Device Excise Tax

  • Speaker: Daniel O Leary
  • Product ID: 703114
  • Duration: 90 Min
This webinar explains the excise tax on medical device manufactures that went into effect on January 1, 2013, including the devices it covers and the effective selling price for tax purposes.
CD/Recorded
$149
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Recorded/CD
How to Handle a Whistleblower Retaliation Investigation (From Start to Finish)

How to Handle a Whistleblower Retaliation Investigation (From Start to Finish)

  • Speaker: Amy Block Joy
  • Product ID: 703418
  • Duration: 60 Min
This webinar will provide strategies to prevent and/or stop retaliation in the workplace. It will discuss how to recognize retaliation before it takes root; best prevention practices and strategies to safeguard employees.
CD/Recorded
$149
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Recorded/CD
Money Service Businesses (MSB): High Risk Account Type

Money Service Businesses (MSB): High Risk Account Type

  • Speaker: Rosanna Jacobsen
  • Product ID: 703408
  • Duration: 60 Min
This webinar will highlight the complex efforts in identifying and monitoring of Money Service Businesses (MSB). It will discuss MSB regulatory requirements, documentations, and scenarios that provide guidance on this high risk account type requiring extended due diligence.
CD/Recorded
$149
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Recorded/CD
Customer Due Diligence and Enhanced Due Diligence

Customer Due Diligence and Enhanced Due Diligence

  • Speaker: Burke Files
  • Product ID: 703403
  • Duration: 90 Min
This webinar will explain the process of customer due diligence and enhanced due diligence. It will cover customer onboarding, sources of funds and wealth, customer questionnaires including financial institution’s core competencies.
CD/Recorded
$149
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Recorded/CD
How to Prepare and Implement a Fraud Response Plan

How to Prepare and Implement a Fraud Response Plan

  • Speaker: Peter Goldmann
  • Product ID: 703284
  • Duration: 90 Min
This fraud investigation training will teach attendees best practices for preparing and implementing fraud response plan. Learn how to conduct E-Discovery and forensic data analytics.
CD/Recorded
$149
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Recorded/CD
Performing a Cash Control Audit in your Healthcare Organization

Performing a Cash Control Audit in your Healthcare Organization

  • Speaker: Kevin McPoyle
  • Product ID: 703374
  • Duration: 90 Min
This training on healthcare audit and compliance will teach the attendees best practices for conducting an audit of cash controls in a healthcare environment.
CD/Recorded
$229
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Recorded/CD
Are you responsible for Enterprise Risk Management Compliance: How to conduct a Compliance Gap Analysis for ERM, how to get started and what to expect?

Are you responsible for Enterprise Risk Management Compliance: How to conduct a Compliance Gap Analysis for ERM, how to get started and what to expect?

  • Speaker: Michael C Redmond
  • Product ID: 703351
  • Duration: 60 Min
This webinar will explain how to conduct a compliance gap analysis for Enterprise Risk Management (ERM). Attendees will learn best practices to ensure ERM compliance.
CD/Recorded
$0
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Recorded/CD
Travel Pay and Expense Reimbursements - Do You Comply with the Law?

Travel Pay and Expense Reimbursements - Do You Comply with the Law?

  • Speaker: Miles Hutchinson
  • Product ID: 703342
  • Duration: 90 Min
This webinar will explain various laws affecting travel pay and expense reimbursements. Attendees will learn best practices to comply with federal travel regulations.
CD/Recorded
$149
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Recorded/CD
Detecting and Preventing Revenue and Receivables Fraud

Detecting and Preventing Revenue and Receivables Fraud

  • Speaker: Peter Goldmann
  • Product ID: 703318
  • Duration: 90 Min
This webinar will explain numerous types of accounts receivable fraud (A/R fraud). It will provide attendees best practices for detecting and preventing all major forms of this type of fraud.
CD/Recorded
$50
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Recorded/CD
Anti-Corruption Program including the Foreign Corrupt Practices Act (FCPA)

Anti-Corruption Program including the Foreign Corrupt Practices Act (FCPA)

  • Speaker: Robert Brewer
  • Product ID: 703316
  • Duration: 75 Min
This webinar will explain the anti-bribery and accounting provisions of the Foreign Corrupt Practices Act (FCPA) and will also discuss the UK Bribery Act. Learn the best practices for avoiding penalties for FCPA, UK Bribery Act, or local law violations.
CD/Recorded
$149
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Recorded/CD
Stress-Testing for Financial Institutions, Beyond Regulatory Constraints

Stress-Testing for Financial Institutions, Beyond Regulatory Constraints

  • Speaker: Fred Vacelet
  • Product ID: 703327
  • Duration: 90 Min
This financial risk management training will teach attendees how to participate in stress-testing initiatives and communicate results. Attendees will learn the tools and techniques to manage their institution’s financial risk.
CD/Recorded
$149
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Recorded/CD
Risk Aware Intelligence - Recognize Potentially Overlooked ERM Risk Identification Blind Spots

Risk Aware Intelligence - Recognize Potentially Overlooked ERM Risk Identification Blind Spots

  • Speaker: Jason Ackerman
  • Product ID: 703296
  • Duration: 60 Min
This Enterprise Risk Management (ERM) training will help attendees learn an innovative approach for integrating ERM risk assessment, crisis management, and business continuity. Attendees will leverage this approach to think strategically about potential risk identification blind spots and simultaneously evaluate day-to-day operating assumptions that can preserve value and enhance process maturity.
CD/Recorded
$50
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Recorded/CD
Annual Risk Assessment (ARA) - Keys to Maximize the value of an Internal Audit Department

Annual Risk Assessment (ARA) - Keys to Maximize the value of an Internal Audit Department

  • Speaker: Robert Brewer
  • Product ID: 703297
  • Duration: 75 Min
This webinar will cover how to have an effective Annual Risk Assessment (ARA) and internal audit’s role in ARA. You will be able to identify the appropriate risk framework, their risk rankings, and balancing their available resources.
CD/Recorded
$149
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Recorded/CD
Basel III – What's new vs. Basel II

Basel III – What's new vs. Basel II

  • Speaker: Varun Agarwal
  • Product ID: 703273
  • Duration: 90 Min
This Basel III training will focus on the key aspects of Basel III and highlight how it differs from those in Basel II. It will discuss additional compliance requirements for Basel III, the costs involved, implementation timelines and provide a framework for end-to-end implementation.
CD/Recorded
$149
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Recorded/CD
Auditing GRC Programs

Auditing GRC Programs

  • Speaker: Dan Swanson
  • Product ID: 702369
  • Duration: 60 Min
This webinar will show you how to audit your GRC program (governance, risk and compliance) and how to evaluate its design and operating effectiveness.
CD/Recorded
$149
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Recorded/CD
Pharmaceutical Government Price Reporting: Impact of Obamacare

Pharmaceutical Government Price Reporting: Impact of Obamacare

  • Speaker: Ben Barrameda
  • Product ID: 703286
  • Duration: 60 Min
This webinar on drug price reporting will discuss the changes to the Medicaid Drug Program and its impact on pharmaceutical and biotech companies.
CD/Recorded
$149
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