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

Corruption is a form of dishonesty or a criminal offense, undertaken by a person, or an organization entrusted with a position of authority, in order to acquire illegal benefits or abuse power for one's private gain. Corruption may involve many activities, which include bribery and embezzlement, and it may also involve practices which are still legal in many countries. “Red-flags” provide a warning that illegal activity may be taking place.

This webinar will highlight the steps to identify and evaluate high-risk customers. Learn how to perform BSA, AML risk assessments.

Financial organizations of all kinds and sizes are increasingly threatened by employee fraud. In fact, employee fraud represents the majority of all fraud threatening organizations. Embezzlement, kickbacks, check fraud, financial statement fraud and vendor billing schemes are just a few of the countless economic crimes committed by employees and outsiders. And with the march of technology, new computer and Internet-driven schemes are being deployed by dishonest insiders all the time.

If you are involved in the implementation and auditing of corporate procedures, this webinar will help you ensure effective implementation of the Basel accords.

This webinar will refresh your understanding of bookkeeping engagements as well as guidance on withdrawing from an engagement, documentation required, fraud considerations, and internal control. It is important to have control processes for bookkeeping engagements just as we do for attest functions.

Money laundering continues to be a national concern. High levels of drug-related activity and violence have drawn additional attention. Terrorist activities need to be considered as well. Perpetrators have adapted to banks’ efforts so banks cannot combat the money laundering with yesterday’s methods. Software is widely installed to identify specific patterns and “unusual” transactions. But the launderers know this and are constantly striving to create new patterns where their transactions are designed not to be flagged. Like in a game of chess, the advantage goes to the side that thinks the most moves ahead. The AML Act of 2020 lays out some new directions for Federal actions but it will impact Banks due to changes in Customer Due Diligence and whistleblower rewards.

This webinar will explain what money laundering is, various types of money laundering including structuring, micro-structuring and cuckoo smurfing. Attendees will learn how to identify the red flags of money laundering in an account within your institution.

In this webinar attendees will learn current law and regulations regarding the preparation of Forms W-4 and the filing of Forms W-2 and will provide practical guidance in these areas that have become the subject of increasing IRS scrutiny. It will cover topics related to how to report cost of employer sponsored health coverage, How to handle expense reimbursements made to employees, process to efficiently execute an electronic W-4 program, requirements of Electronic filing with the SSA using Business Services Online (BSO).

This training program will detail how to create a bullet-proof AP operation that is setup to detect and proactively prevent fraud from occurring. During this session, the webinar presenter will discuss real cases of AP fraud and the controls that organizations later realized needed to be added to their AP operation, unfortunately too late to prevent these costly incidents. In addition to discussing good controls, he will also discuss common controls that are ineffective, provide no value, or even leave AP departments with a false sense of security while they are in reality still very much exposed.

This webinar will teach how to calculate the Z-score and “correctly” interpret it based on a straight-forward scale. Five-step “key ratio analysis ” plan (liquidity, activity, leverage, operating performance, and cash flow analysis) will be displayed and tied into the comprehensive calculation of the Z-score. The session will conclude with a review of using sophisticated software such as Moody’s Lending Cloud to calculate both the Z-score and key ratios.

In this training program attendees will learn how to manage nonresident alien payee' tax issues in compliance with IRS information reporting and backup withholding requirements for NRAs. Also attendees will learn the five variations of forms W-8 including the new W-8BEN-E just released in Q1-2014. It will help attendees establish which W-8 to provide NRAs working for them.

This training program will detail the components of a successful purchasing card program. It will also discuss implementing proper purchasing card controls, types of risk including fraud and misuse, auditing techniques, and more.

This training program will provide financial professionals guidance on key ratio analysis . It will also detail a five-step analysis plan to calculate the key ratios covering liquidity, activity, leverage, operating performance, and cash flow analysis.

This webinar seeks to provide a solid foundation to all parties involved in foreign exchange activities whether at executive, marketing, audit or operational levels into how the actual trading processes work, what the risks are and how these can be mitigated by using clearly defined standards of best practice.

This BSA/AML webinar will discuss various compliance requirements for AML - KYC, CTRs, SARs, new customer due-diligence process and various strategies which money launderers are using now and how to detect and thwart it.

This training program will help attendees examine if their AP department matches world-class standards. Attendees will learn key success factors to an optimal Accounts payable operation. They will also gain in depth knowledge on the must-have technologies for any AP operation and learn how to design processes to fully leverage those capabilities. The webinar will also discuss balancing controls with efficiency and how to create a fraud-proof department. Attendees will learn about the most important metrics for any AP department and how to develop strategies to improve those metrics.

Skilled auditors require a method that aligns what they experienced during the reviewing process with what they compose during the writing process. This report writing workshop will provide foundation resources that participants can continually turn to during intense, complex audit engagements.

In this webinar training, you will learn how to create, maintain, and enforce a T&E policy for your organization. The Instructors will discuss the key components and best practices for policies.

Learn when and how you must compensate employees for travel time. Ensure you comply with the requirements under the Portal Act. Get an update on IRS travel expense documentation requirements. Learn about employer liability for accidents of traveling employees. Clearly define when employee meals are 100% deductible and when they are only 50% deductible. Understand the limitations when personal and business travel and entertainment are mixed. Ensure your records will stand the scrutiny of a compensation or tax audit.

This webinar training pays for itself in terms of your firm's potential savings and detection of fraud. The training is designed to both prevent and detect fraud. We first teach you how to establish an administrative environment where fraud is less likely to occur. We’ll then examine Excel tools that are used by CPAs and Internal Auditors to detect fraud.