2015 ACH Rule Changes and Updates: Rules that Will Change Returns and Impose New Fees
Luann Kohlmann
90 Min
Product Id: 703817
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.
Preventing Employee Theft
Robert Minniti
90 Min
Product Id: 703549
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.
Character of Reputation Risk: Risk or Just an Impact? Techniques for Effective Management.
Craig Spielmann
90 Min
Product Id: 703811
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.
Illegal Insider Trading: A Working Knowledge of Recent Developments
Aldo Martinez
90 Min
Product Id: 703805
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.
E-Payments - Complying to Auditor's Standards
Brent Meyers
60 Min
Product Id: 702656
This E-payments compliance training will dig in to the emerging market of electronic payments, invoicing, and workflow and how that relates to the myriad of requirements from internal and external auditors.
Code of Conduct for Sales and Marketing Professionals: From Making the First Call to Networking to Closing the Deal
Anthony Wilkins
90 Min
Product Id: 703794
Through this course, attendees will learn what works and what doesn’t when trying to get the attention of a new prospect. And how to close more deals – sooner. If you’ve ever wondered why some sales and marketing approaches work better than others, then this webinar will illustrate why. Attendees will learn the dos and don’ts of good marketing and sales practices and how to stand out from competitors.
Creating and Updating an Effective Anti-Corruption Compliance Program
Lindsey Fetzer
60 Min
Product Id: 703783
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.
Analyzing Financial Statements for Fraud
William Beecken
2 hrs
Product Id: 703593
This webinar will provide attendees insights on analyzing financial statements and reports for fraud. Attendees will learn to look at a financial statement with a knowledgeable outlook to understand its author’s motives.
ORM Maturity Model - What Does Good Look Like?
Craig Spielmann
90 Min
Product Id: 703768
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.
Red Flags of Money Laundering and How to Mitigate Risk Against the Crime of Financial Facilitation of Criminal Activity
Mark Malinowski
60 Min
Product Id: 703742
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.
Accounts Payable Theft and Fraud: An AP Management Guide to Help Detect and Prevent Employee Theft and Fraud
Richard Cascarino
90 Min
Product Id: 703736
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.
Filing UCC Financing Statements: Getting it Right!
Jeffery Johnson
90 Min
Product Id: 703731
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.
Is Your Organization’s Compliance Risk Program Strong? Developing Effective Compliance Risk Assessments
Warren R Markowitz
60 Min
Product Id: 703718
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.
Financial Fraud Alert – Detection & Prevention [Webinar]
Mark Malinowski
60 Min
Product Id: 703717
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.
B2B Payments in the US and the Compliance Issues They Face
Ray Graber
60 Min
Product Id: 703624
This webinar will discuss evolving payment types and the compliance issues surrounding B2B payments.
Fraud 101 for Compliance Professionals
Richard Cascarino
90 Min
Product Id: 703687
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.
FINRA New Consolidated Rules Governing Supervision, Effective December 1, 2014: How to Apply and Comply
Donna Sardanopoli
90 Min
Product Id: 703680
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.
Developing and Implementing an Effective Employee Fraud Awareness Program
Peter Goldmann
90 Min
Product Id: 703647
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.
Creating Profit & Loss Statement to Understand your Organization’s Financial Position
Vincent DiCara
90 Min
Product Id: 703662
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.
Internal Controls Practices for Accounts Payable: Design to Assess and Control Risk
Denise Cicchella
60 Min
Product Id: 703638
This course will instruct attendees on exercising accounts payable controls needed to enhance control environment and mitigate opportunities for fraud. The instructor, a certified internal auditor and certified fraud professional, will highlight the risks associated with all key activities of the accounts payable function and detail methods to ensure compliance.