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

The MSRB and FINRA compliance training will teach you all of the complicated aspects of RTTR (Reports of Sales or Purchases) and TRACE (Trade Reporting and Compliance Engine) in a way that is laid out for ease of understanding and learning.

Anti-Money Laundering (AML) activities will help to prevent the use of financial institution or its infrastructure for money laundering purpose by criminal elements. This 90 minute webinar will discuss in detail the importance of appropriate internal controls implementation that is specific to money laundering in order to detect activities defined as suspicious under the laws of a given jurisdiction.

This training on Procure to Pay (P2P) process will discuss the role and power of key metrics and reporting. It will provide a road map and practical guidance for developing and implementing effective metrics that can be used in formulating a P2P Dashboard.

This training on COSO (Committee of Sponsoring Organizations of the Treadway Commission) framework will highlight as well as compare and contrast the critical concepts of two leading compliance documents (COSO 1992 & COSO 2013) that are sure to turn up the heat on management’s efforts related to internal control.

This training on project audit implementation will discuss common issues and challenges encountered during a project lifecycle and provide tools and techniques to develop and implement an effective project audit program to achieve business goals.

This municipal securities compliance training will clearly explain the MSRB (Municipal Securities Rulemaking Board) Rule-37, discuss the key elements of political contribution restrictions and prohibitions on the municipal securities business, disclosure requirements, violations and how to prevent them.

This risk management session will train participants on core risk management skills to help risk professionals oversee, control and improve their risk management process. The session also covers practical tips that you can implement to ensure organizational compliance to policies and procedures.

This credit policy webinar will help participant create an effective trade credit policy that will maximize cash flow from the receivables while maximizing sales and minimizing bad debt expense.

This risk assessment and management training will discuss the risk analysis process and control matrices that help to comply with Section 404 of the Sarbanes Oxley (SOX) Act.

This training on assessing risk management processes will explain the IPPF Internal Audit Standard 2120 in detail, highlight recent updates to the standard, discuss how to comply with it and use it to assess the effectiveness of risk management processes at your organization.

This webinar will cover how companies can deter the likelihood of AR frauds through strengthening internal controls by numerous methods to detect, prevent, and deter frauds. We’ll focus on the most common accounts receivable schemes and the top ten internal controls that prevent fraud.

This webinar highlights the evolution of Enterprise Risk Management (ERM), the importance of ERM in meeting board fiduciary responsibilities, and the rationale and mechanisms for ensuring effective risk management through the board.

This webinar on information security assessment will highlight the principal steps/ methodology for performing a third party information security assessment.

This 3-hr virtual seminar will present an overview of new risk oversight expectations and reporting rules in place, and show how companies, risk managers and internal auditors can meet these regulatory expectations.

This webinar highlights the evolution in methodologies for forecasting trade credit bad debts. Many companies have relied on historical data or a flat percentage of sales to help forecast future credit losses. However, these methodologies don’t allow for changing markets, customer growth, or even increasing geographical diversity. A more accurate measure of future bad debt would examine your existing customer risk and determine what these risk elements tell you about the future possibility of credit losses.

This fraud in social media webinar will discuss various types of frauds that can happen in social media and how to protect your and your organization’s interests from it. Policies or essential information need to be in place to reduce risk of fraud victimization via social media.

This 90-minute webinar covers the operational principles and techniques for internal control in purchases, accounts payable and payment.

The Accounts Receivable Collection Webinar covers information on collection activities, types of debtors, payment/non-payment issues and how to establish a positive dialogue. Presenter will teach in the form of several role play situations that contain collection challenges requiring the participants to analyze and formulate collection strategies and resolutions.

The following training is a pack of most informative training CDs for the finance professionals on topics related to accounting and taxation. These courses provide details on how to implement the best processes for accounting, taxation, metrics, audits etc. pertaining to regulations/compliance, best practices etc.

This 90-minute webinar will re-examine the Sarbanes Oxley Act and how SME’s may respond to the legal requirements. In particular, the webinar looks at Accounts Receivable and how executives may fulfill their obligations under the Act.