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

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 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 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.

In this 60 minutes webinar, you can discover the in and out of accounts receivable risks and controls in compliant with SOX. The speaker brings vast knowledge and experience to guide you through with the know-how of accounts receivable process, fraud, weaknesses, deficiencies and the efficient ways to deal with them.

This 90-minute webinar will introduce basic concepts in fraud, principles and associated issues, including a major pertinent banking case study in Internal Fraud committed by a rogue trader.

This 90-minute webinar will introduce you to the components that make up today’s e-Banking services. It is also a precursor, for those unfamiliar with it, to further modules focusing on understanding the risks associated with e-Banking, as well as the compliance challenges we face.

This FINRA regulation based training will discuss how to create social media policies and implement for compliance and enforcement to avoid fines and disciplinary action for regulated companies. It will also discuss FINRA Notice 10-06 (issued Jan 2010), FINRA Notice 11-39 (issued August 2011), and SEC guidance (issued January 2012).

This 3-hr presentation covers specific issues affecting Credit and Accounts Receivable, including Credit Risk Management, the adequacy of provisions for Bad Debt, Collection Procedures, dependence on processes outside the credit department, and outside the company. This seminar will help Credit Professionals understand their responsibilities and duties so that they can be confident that their Credit and Accounts Receivable processes are Sarbanes-Oxley compliant.

ISO 31000 is a standard developed by the International Organization for Standardization (ISO) which provides a basic guideline and principles for the application of risk management. Companies that use risk management processes vary across industries in scope and magnitude and address a wide variety of challenges. This training program will offer an in depth look into the key components of the ISO 31000 guideline and best practices to implement and support a corporate risk management strategy or program.

Corporations are facing more risks in the expanded environment of business. This webinar will provide auditors and audit management with advanced approaches to risk management and internal risk assessment at a corporate level.

This webinar examines the current state of the payments industry - from the complexity of the current payments landscape, the growing range of bank and non-bank participants, the ever-increasing range of payments methods, interfaces and systems, open banking, regulation and the future payments scene. We also look at how the COVID-19 pandemic has and will continue to affect payments.

Learn how to comply Sarbanes Oxley compliance in a cost-efficient manner. Many have questioned whether the Sarbanes-Oxley law requirements can be met in a cost-efficient manner. Absorbing the first-year lessons — and, going forward, is a challenge facing all public companies as they prepare to meet quarterly and annual reporting requirements. And further challenges will arise as new compliance issues emerge and PCAOB regulations evolve.

The training supports SOX Compliance (particularly Section 30 as it pertains to anonymous hotlines), and conforms to key criteria of the revised US Federal Sentencing Guidelines. Know how to promptly and effectively REPORT incidents of fraud or suspicious conduct.

Effective internal controls keep track of inventory and ensure that its proper value is reflected on the financial statements This presentation will provide you with the tools you need to establish and maintain strong internal controls for Inventory that meet Sarbanes-Oxley standards

This healthcare webinar will give an introduction to lean in healthcare which includes an illustrative exercise to aid participants in understanding the basic underlying concept of lean.