WEBINARS

 

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

Sanctions Screening / PEP Screening: BSA, AML, KYC

webinar-speaker   Armen Khachadourian

webinar-time   90 Min

Product Id: 704262

This training program will discuss the current changes in the marketplace and expose the new faces of AML and examine areas of PEP regulation that pose present and future challenges for regulated businesses.

Recording Available

* Per Attendee $149

 

Budgeting and Forecasting for Non-Financial Personnel

webinar-speaker   David Sanders

webinar-time   90 Min

Product Id: 704204

This training program will help attendees present ideas in financial terms for greater impact. It will detail the fundamentals of inventory planning and inventory management while analyzing inventory performance and decision making. Attendees will learn how to increase their competitive position by understanding numbers.

Recording Available

* Per Attendee $50

 

Proper Recordkeeping in Quickbooks

webinar-speaker   JeFreda Brown

webinar-time   90 Min

Product Id: 704238

This training program will detail important requirements for adequate financial recordkeeping. Attendees will learn how to record transactions, develop financial reports, and proper recordkeeping in QuickBooks.

Recording Available

* Per Attendee $149

 

Creating a Risk Assessment Plan - Your Risk Radar

webinar-speaker   Denise Cicchella

webinar-time   60 Min

Product Id: 703430

This webinar will discuss different approaches to risk management. Attendees will learn how to identify common risks and mitigate their impact.

Recording Available

* Per Attendee $249

 

Crowdfunding and the Community Capital Marketplace

webinar-speaker   Kim Kaselionis

webinar-time   90 Min

Product Id: 704128

This training program will discuss how crowdfunding has come of age. It will also detail business capitalization and investment opportunities created by the JOBS Act of 2012.

Recording Available

* Per Attendee $50

 

Cryptocurrencies - The Next Step in Banking: Implementation, Rules and Support

webinar-speaker   Warren R Markowitz

webinar-time   60 Min

Product Id: 704178

The objective of this training program is to understand the impact of cryptocurrencies and how they are shaping the current economics of the banking industry. The course will also offer attendees an understanding of how to implement protective and supportive measures into current compliance operations.

Recording Available

* Per Attendee $149

 

OFAC and Other Denied Parties: What Your Company Needs to Know and Do

webinar-speaker   Jon Casher

webinar-time   60 Min

Product Id: 703915

This training program will focus on what your company needs to know and do about laws and regulations within and outside the US regarding individuals and entities that you are prohibited from doing business with. These individuals and entities are sometimes referred to as denied, debarred, excluded or restricted parties. Contrary to the idea that these laws and regulations apply only to financial institutions, they, in fact, apply to all types of organizations. This session will identify the parts of your organization that need to be aware of the issues, the necessary controls and the steps you should take to avoid compliance issues, penalties and lawsuits.

Recording Available

* Per Attendee $149

 

Performing Your ACH Audit: The Ins and Outs of ACH Rule Compliance

webinar-speaker   Luann Kohlmann

webinar-time   100 Min

Product Id: 703861

The NACHA Operating Rules and Guidelines require that all participating depository financial institutions, third-party senders and third-party service providers that provide ACH services conduct an annual ACH audit to be performed by December 31 of each year (ACH Rules, Appendix Eight, Section 8.1). It is critical that electronic payments work safely and efficiently for all users. The ACH network strives for just that by requiring the annual ACH audit. This webinar will offer attendees a keen understanding of general audit requirements, and the functions of a receiving depository financial institution (RDFI), and an originating depository financial institution (ODFI).

Recording Available

* Per Attendee $149

 

Managing an Effective AML Audit Program

webinar-speaker   Laura H Goldzung

webinar-time   90 Min

Product Id: 702988

This webinar will highlight the techniques and best practices that can be used for conducting an effective AML audit in order to ensure compliance with Bank Secrecy Act (BSA) regulations.

Recording Available

* Per Attendee $149

 

Consumer Debt Collection - Best Practices

webinar-speaker   Scott Transue

webinar-time   90 Min

Product Id: 704063

This webinar will describe the Act in general, along with the other four laws that affect debt collectors as a whole: the Fair Credit Reporting Act, HIPPA, the Truth in Lending Act, and the Uniform Commercial Code. Attendees will learn what you can and cannot say and do with regard to consumer debt collection. In addition, the course will discuss tools you can use to hasten collecting consumer debt, without going to court in many instances. Finally, it will discuss the advantages and disadvantages of getting judgments, forgiving debt, and how to handle being sued by a debtor for allegedly violating the law.

Recording Available

* Per Attendee $149

 

AML - New Techniques for Laundering Money

webinar-speaker   Burke Files

webinar-time   90 Min

Product Id: 704072

This training program will look at the new frontiers for moving money that is nearly untraceable. The objective of the course is to sensitize the participant to see what might not make sense and thus know when to make deeper forays into activities they have spotted.

Recording Available

* Per Attendee $149

 

Webinar on Supply Chain Finance

webinar-speaker   Buddy Baker

webinar-time   90 Min

Product Id: 702640

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.

Recording Available

* Per Attendee $50

 

2015 OFAC Sanction, Related Export Control Violations and Enforcement Trends: Best Practices for Preventing Violations

webinar-speaker   Robert J Ward Jr

webinar-time   90 Min

Product Id: 703919

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.

Recording Available

* Per Attendee $50

 

Building an Effective BSA/AML Compliance Program

webinar-speaker   Armen Khachadourian

webinar-time   60 Min

Product Id: 703864

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.

Recording Available

* Per Attendee $149

 

Why Fraud Happens and What to do: Critical Concepts on How to Prevent, Detect and Mitigate Fraud

webinar-speaker   Lynn Fountain

webinar-time   90 Min

Product Id: 703878

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.

Recording Available

 

Intersection of AML-OFAC Requirements with FATCA Requirements - FinCen, Customer Onboarding & More

webinar-speaker   Steven G Lewis

webinar-time   60 Min

Product Id: 703668

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.

Recording Available

* Per Attendee $149

 

Crowdfunding

webinar-speaker   Jeffrey Brandon

webinar-time   60 Min

Product Id: 703796

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.

Recording Available

* Per Attendee $149

 

High Frequency Trading: HFT and its Supervision

webinar-speaker   Aldo Martinez

webinar-time   90 Min

Product Id: 703839

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.

Recording Available

* Per Attendee $149

 

Best Practices: Defining a Service Level Agreement (SLA) Process

webinar-speaker   Chris Doxey

webinar-time   60 Min

Product Id: 703840

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.

Recording Available

* Per Attendee $149

 

NACHA Operating Rules - How do Banks comply?

webinar-speaker   Brent Meyers

webinar-time   60 Min

Product Id: 703108

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.

Recording Available

* Per Attendee $149

 

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