Banking, Financial Services Regulatory Compliance Training - Live Webinars, Recordings & CDs

This purchasing and accounts payable (AP)regulations training will focus on the necessary steps to be taken to avoid compliance issues, penalties and lawsuits. It will also explain how to identify an organization’s weaknesses and how to address the challenges related to AP and purchasing compliance.

This session will examine the origins of supply-chain finance, the current state, and the projected future and its impact on importers, exporters, and banks.

This webinar will highlight the opportunity to define enhanced diligence that can be used for conducting an effective high risk review in order to ensure compliance with Bank Secrecy Act (BSA) regulations and regulatory expectations.

This training program will update participants on the developments regarding OFAC sanctions, OFAC enforcement trends as well as related export control traps for the unwary. The discussion of OFAC sanction developments will give participants an appreciation of the new war chest of punitive measures being deployed in recent executive orders.

This training program will discuss the changes to initial and closing disclosures relative to TILA and RESPA. It will offer attendees a clearer understanding of changes to variance thresholds, affiliate relationships, and illustrate the importance of knowing your fees and avoiding closing delays.

This training program will provide participants with an essential, basic understanding of U.S. rules and regulations governing international trade. The regulations contain required (and prohibited) business conduct, with penalties for failure to comply including fines, loss of export privileges, and even jail terms. In many cases, banks are required to police transactions they handle and report violations.

This training program will address why internal controls over travel and entertainment (T&E) expenditures are a critical component of the control environment. Although the topic of travel and entertainment abuse is not one that management likes to address, it is a very important indicator of the adequacy of a company’s control environment.

Regardless of company size or complexity, all successful financial close processes require continuous communication, comprehensive documentation and a flexible, responsive organization. The degree to which recommendations are implemented will vary based on company size, type of industry, availability of resources, maturity, and management commitment. This webinar will present both strategic and tactical suggestions that can help dramatically improve the fiscal closing process for your accounts payable department.

This webinar will instruct participants on the new penalties issued to individuals and employers who lack coverage altogether or whose healthcare coverage fails to meet Affordable Care Act (ACA) standards. Attendees will also learn how to compute the required annual payment, i.e., the shared responsibility payment. This two-hour webinar will focus on requirements set forth for individuals and employers filing the new form 1095-C.

The prevention of money laundering is a key focus of regulatory authorities in developed countries around the world. Money laundering regulations are designed to inhibit the movement of funds derived from criminal activity and to restrict the availability of money to fund terrorist activities. This training program will detail the historical context of AML regulations, best practices to implement an effective AML program, and reporting guidelines for the same.

Different payment approaches are starting to remove the requirement for a payment card at the point-of-sale (POS), leveraging cloud-based services or mobile devices. This training program will enumerate how significant changes in the U.S. payments landscape are effecting how merchants accept payments.

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.

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.

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.

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.

This webinar will discuss the risks and costs of data breaches. Participants will learn who is vulnerable and what can be done to help prevent losses from data breaches. Additionally, the course will discuss the legal responsibilities and liabilities of an organization that is a victim of data breach and offer guidance to help prevent such breaches.

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.

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.

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.

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.