Assessment Methods for Risks and Controls
Manoj Kulwal
90 Min
Product Id: 703866
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.
Guidelines for Performing Fraud Risk Assessment and Guidance on How to Conduct an Internal Fraud Investigation
Marna Steuart
90 Min
Product Id: 703440
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.
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.
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.
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.
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.
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.
Best Practices to Combat Anti Money Laundering Risk
Laura H Goldzung
90 Min
Product Id: 703062
This webinar highlights the techniques and best practices to Combat AML Risk. AML compliance programs are prescribed to be risk-based but do not necessarily require a formal risk assessment. This session will explore risk assessment as the foundation for implementing sound AML compliance programs.
Credit Card Fraud Prevention and Detection
Brent Meyers
60 Min
Product Id: 702821
This credit card fraud detection and prevention training will highlight the different ways an organization can manage a credit card program to detect fraud in a timely manner and in most instances even prevent fraud from occurring.
Leadership & BoD Obligations Under AML, BSA & OFAC
Michelle Martin
60 Min
Product Id: 703613
This webinar will highlight the duties and financial risk of board of directors, business owners and upper management under Anti-Money Laundering (AML), Bank Secrecy Act (BSA), and Office of Foreign Assets Control (OFAC) regulations.
How to conduct Risk Assessments as per ISO 31000/31010(SOX)
Kenneth Barden
90 Min
Product Id: 701744
This Risk Assessment training will focus on the criteria established for ISO Standards 31000 and 31010. It will look at how a company can identify and manage its risks, and how effective risk management techniques can translate into better marketing and profitable opportunities for a business enterprise.
The JOBS Act - the Regulation D Offering Reborn
Warren R Markowitz
60 Min
Product Id: 703589
This webinar will focus on the comparison between the old and new Reg D Rule 506 Offering and will highlight the importance of compliance in this new arena. It will also discuss the roles and responsibilities of counsel and company management.
Red Flags of Internal Fraud, Asset Misappropriation, and Corruption
Sinai Megibow
60 Min
Product Id: 703578
This webinar will detail the variety of internal economic threats such as fraud, asset misappropriation, and corruption faced by businesses and examine the different methods and schemes by which dishonest employees target their employers. We will discuss how to identify red flags of those threats and preventive measures that companies can take in order to reduce the likelihood of being victimized.
Complying with and Applying Regulator's Rules and Guidance as it Relates to Social Media and Personal Electronic Devices (Financial Services)
Donna Sardanopoli
90 Min
Product Id: 703502
This webinar will discuss FINRA Regulatory Notice 10-06, 11-39 and SEC Social Media Guidance. Attendees will learn how to ensure compliance with all rules, regulations and guidance as it relates to social media and electronic devices.
Review of Major Lending Regulations and Required Documentation
Roy Johnson
90 Min
Product Id: 703496
This webinar will provide an overview of major lending regulations and required documentation to ensure loans are in compliance with the law. It will discuss Regulation Z, Regulation B, Regulation X, Regulation O, Regulation U including Fair Debt Collection Practices Act and Flood Disaster Protection Act.
Fundamentals of SBA Lending: Documenting, Closing, and Funding the SBA Loan
Vincent DiCara
90 Min
Product Id: 703462
This webinar will explain the fundamentals of SBA lending and the two most used and popular SBA’s programs: the SBA 504 Program and the SBA 7a Program. Attendees will learn how to document SBA loans, as well as closing and funding SBA loans.
Foreign Corrupt Practices Act - Critical Issues and Best Practices
Andrea Ewart
90 Min
Product Id: 703167
This training on the Foreign Corrupt Practices Act will focus on the anti-bribery and accounting provisions of the FCPA and will explain the activities and conducts that are prohibited by the FCPA. Learn the best practices and strategies for avoiding criminal and administrative penalties for violating its provisions.