WEBINARS

 

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

Setting Up A Stress-Testing Program

webinar-speaker   Fred Vacelet

webinar-time   60 Min

Product Id: 705155

For a multitude of reasons, stress-testing programs have seldom satisfied regulators, even after the 2007 crisis. After most significant mishap in every bank, management often discovers that the managerial stress-testing have revealed to be insufficient, over-driven by optimism. In this training program, the instructor will deconstruct regulatory constraints after Basel II and III, lessons learnt after 2007, and stress-testing as a strategic exercise.

Recording Available

 

Business Law, Ethics and Lender Liability - The Promissory Note, Tort Reform and its Impact on the Borrower

webinar-speaker   David L Osburn

webinar-time   60 Min

Product Id: 704698

This training program will provide insight into business law basics and lender liability. The webinar will explore the basics of business law including the judicial process, stages of litigation, alternatives to litigation (arbitration and mediation), and business structure. Attendees will gain an understanding of contract law, problem loan situations, and bank collection efforts. Additionally, the related concept of lender liability will be reviewed including the technical aspects of this vital area and recent industry trends.

Recording Available

 

Using Lean to Streamline your Operations, Continuity Planning and Recovery

webinar-speaker   Michael C Redmond

webinar-time   60 Min

Product Id: 704826

This webinar training will discuss the lean principles and how to effectively implement them in your system to identify and reduce waste. The instructor will discuss how to apply lean to align business system and process with organisational goals so as to deliver rapid and measurable results.

Recording Available

 

AML Risks in Correspondent Banking: What You Need to Know for 2017

webinar-speaker   Joe Soniat

webinar-time   60 Min

Product Id: 704997

Correspondent banking has become a hot topic with BSA AML over the past few years. With examination scrutiny on correspondent banking high, this training program will highlight why it is essential to know the risk and what to do when it comes to banking other banks.

Recording Available

* Per Attendee $279

 

Ethics in the Financial Services Industry

webinar-speaker   Lisa Marsden

webinar-time   60 Min

Product Id: 705053

The application and practice of ethical behavior is not just about complying with rules and regulations but about doing the right thing. This training program will discuss case studies and how to apply best practical ethical behavior and how to incorporate the ethical behavior into your firm’s overall business culture.

Recording Available

 

Procurement and Contract Fraud - Detection and Prevention

webinar-speaker   John E Grimes

webinar-time   90 Min

Product Id: 704334

This training program will examine the fraud vulnerabilities in the procurement of materials and services in the private sector. In addition, it will explore the many procurement and contract fraud schemes and at what point in the procurement and contract process they occur.

Recording Available

* Per Attendee $179

 

Investment Performance Risk - Deep Dive into Leverage

webinar-speaker   Robert Geary

webinar-time   60 Min

Product Id: 704811

This training program will provide an in depth understanding of the management of investment performance risk as an individual investor and in the investment relationship of a money manager. Participants will learn to fully recognize and evaluate the use of leverage and establish the appropriateness of leverage in a portfolio or a single investment.

Recording Available

 

The Department of Labor's Fiduciary the New Final Rule - Best Practices for Conducting a Due Diligence and Reviewing the Best Interest Contract Exemption

webinar-speaker   Lisa Marsden

webinar-time   60 Min

Product Id: 705021

This 60-minute training session will provide a detailed overview of the Department of Labor’s Final Fiduciary Rule including the history and on-going resistance to the rule. The session will delve into details on how the rule was established and who it will be applied to. The webinar instructor will discuss the summary of the details of the new final rule and what firms must do to comply.

Recording Available

* Per Attendee $179

 

Project Risk Management

webinar-speaker   Mario Mosse

webinar-time   90 Min

Product Id: 705015

Project risk management includes the processes of conducting risk management planning, identification, analysis, action planning, and controlling risk on a project. This training program will analyze the objectives of project risk management - to increase the likelihood and impact of positive outcomes while decreasing the likelihood and impact of negative events affecting the success of the project.

Recording Available

* Per Attendee $229

 

How to Manage Reputational Risk

webinar-speaker   Mario Mosse

webinar-time   90 Min

Product Id: 705012

Reputation risk is the risk of loss resulting from damages to a firm's reputation, in lost revenue; increased operating, capital or regulatory costs; or destruction of shareholder value, due to an adverse or potentially criminal event even if the company is not found guilty. This training program will explore the hidden danger behind reputational risk that can pose a threat to the survival of the biggest and best-run companies, often wiping out millions or billions of dollars in market capitalization or future revenues and occasionally resulting in a change at the uppermost levels of management.

Recording Available

* Per Attendee $179

 

The Overall Annual Compliance Review - Latest Advisers Act

webinar-speaker   Lisa Marsden

webinar-time   60 Min

Product Id: 705016

This webinar will focus on compliance requirements to prevent violations of the Advisers Act. The training program will also discuss how to design your firm’s annual review and effectively manage the review process.

Recording Available

 

What are ACH Payments, How Do They Work and What Does That Mean - Essentials of ACH Payments

webinar-speaker   Donna K Olheiser

webinar-time   90 Min

Product Id: 704281

This training program will help attendees identify what is the ACH network and examples of ACH electronic payments. It will list the five basic participants in each electronic ACH transaction and describe the settlement process and the difference between a debit and a credit ACH transaction.

Recording Available

* Per Attendee $179

 

Cyber Security Risk Assessment

webinar-speaker   Michael C Redmond

webinar-time   60 Min

Product Id: 704523

This training program will examine strategic planning to prepare and review your cyber and information security risks, cyber risks and impact analysis, IT outsourcing, and other underlying risks. The program will help attendees identify, analyze and document the events and environmental surroundings that can adversely affect an organization.

Recording Available

 

Using the ISP98 Model Forms for Standby Letters of Credit

webinar-speaker   Buddy Baker

webinar-time   90 Min

Product Id: 702830

This training on Letters of Credit will walk you through the ISP98 Model Forms, explain variations and show how you can adapt them to structure standby letters of credit that comply with the provisions of the ISP98.

Recording Available

* Per Attendee $249

 

Payroll Update Multi-State Taxation and Reporting

webinar-speaker   Miles Hutchinson

webinar-time   100 Min

Product Id: 704229

This training program will offer a quick introduction of multi-state taxation and reporting and help ensure your company pays employees fairly and handles tax and other withholdings properly. If you are concerned about your company’s ability to comply with U.S. labor and payroll laws, this program will answer many questions on the subject.

Recording Available

* Per Attendee $249

 

Wire Fraud - Detection and Prevention

webinar-speaker   Rayleen M Pirnie

webinar-time   90 Min

Product Id: 704399

This training program will discuss common forms of wire fraud such as: account takeover (consumer, corporate, and institution internal accounts); false invoices / money mules and advance fee frauds; business email compromise; and supply chain fraud. It will also discuss wire fraud detection, fraud mitigation, and sound business practices to thwart attempts.

Recording Available

* Per Attendee $179

 

How to Develop an Effective Risk Register

webinar-speaker   Mario Mosse

webinar-time   90 Min

Product Id: 704969

A risk register, also known as a risk log, serves as a central repository for the organization's risk information. This training program will discuss its key function, i.e., to provide management, the board, and key stakeholders with significant information on the main risks faced by the organization. The program will also delve into designing and using your own ‘fit-for-purpose’ risk register.

Recording Available

* Per Attendee $229

 

Preparing a Financial Industry Compliance Manual and Code of Ethics

webinar-speaker   Lisa Marsden

webinar-time   60 Min

Product Id: 704962

This training program will detail developing a compliance manual and a code of ethics for the financial industry, with the intent of clarifying the requirements of the Advisers Act. The instructor will also guide attendees on testing the manual, effectively managing it, and keeping it constantly updated.

Recording Available

 

Protecting Your Business from ACH Fraud | Developing the Internal Controls

webinar-speaker   Rayleen M Pirnie

webinar-time   90 Min

Product Id: 704921

This webinar training will help you identify common ACH frauds. The instructor will discuss the sound business practices and easy to implement internal controls proven to reduce losses and how to review common financial institution offered solutions to further minimize exposure.

Recording Available

* Per Attendee $179

 

Preparing and Reporting on Personal Financial Statements

webinar-speaker   Candace Leuck

webinar-time   120 Min

Product Id: 704866

This webinar training will explain the process of preparing and reporting personal financial statements. The Instructor will discuss the key steps and authoritative guidance related to personal financial statements and how to interpret the guidance.

Recording Available

* Per Attendee $25

 

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