WEBINARS

 

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

A2Z of ACH - Pre-Notifications, Returns and Reversals - Part 3

webinar-speaker   Rayleen M Pirnie

webinar-time   90 Min

Product Id: 704573

This three-part webinar series is designed specifically for businesses who either currently process ACH credits and/or debits, or those exploring the network for use in the future. Each session will focus on niche areas of ACH essentials. This course in the series will explore ACH pre-notifications, returns and reversals from the perspective of how each affects a business originator.

Recording Available

* Per Attendee $179

 

Conducting a Shrink Investigation - How to Determine the Source of Your Inventory Discrepancy

webinar-speaker   John E Grimes

webinar-time   90 Min

Product Id: 704802

Small business failures are particularly vulnerable to going out of business as a result of uncontrolled and unidentified losses. If you are small business retail owner, manager, or loss prevention consultant, this training program will teach you how to conduct a full shrink (loss) investigation. If you are contemplating opening a small retail business, this webinar will give you a head start on understanding the complexities and importance of controlling losses.

Recording Available

 

Block Chain for Risk Management /Data Security | Emerging Technological Approach for KYC and Secure Transactions

webinar-speaker   Shaun Miller

webinar-time   120 Min

Product Id: 704808

A block chain is a transaction database shared by all nodes participating in a system based on the Bitcoin protocol. This course describes the Bitcoin concept, what Blockchain is and its financial applications to creating secure KYC and payment data sets. This course explains a Blockchain concept where the Blockchain itself is a shared single source of truth.

Recording Available

* Per Attendee $249

 

Application for Investor Advisor Registration - ADV Part 1, Part 2A, Part 2B and More

webinar-speaker   Lisa Marsden

webinar-time   60 Min

Product Id: 704741

This training program will analyze ADV Part 1, ADV Part 2 A, ADV Part 2 B, and offer a breakdown of each section of the ADV. It will discuss annual filing requirements and offer best practices for reporting accurately.

Recording Available

* Per Attendee $199

 

2016 Financial Regulator Priorities - SEC, FINRA, and State Regulators

webinar-speaker   Lisa Marsden

webinar-time   60 Min

Product Id: 704765

In this training program, attendees will learn how to gain access to the financial regulators priorities and understand how to apply those priorities to their firm. The program will also discuss incorporating the priorities into your annual review and identifying priorities that need to become part of the compliance manual/code of ethics.

Recording Available

* Per Attendee $249

 

Community Reinvestment Act (CRA) - Understanding High Risk Lending and Compliance Issues

webinar-speaker   Vidia Ramdeen

webinar-time   60 Min

Product Id: 704764

This training program will address important compliance issues and high risk lending issues of the Community Reinvestment Act (CRA). It will help attendees in understanding why community bank lending is important for achieving goals underlying successful community reinvestment and focus on the basics of risk management for community bank lending.

Recording Available

 

Fitting the Concepts of Enterprise Risk Management to Your Organization

webinar-speaker   Lynn Fountain

webinar-time   90 Min

Product Id: 704763

This training program will explore standard stated benefits of ERM including increased competitive advantage, increased likelihood of achieving strategic objectives and ability to meet increased stakeholder expectations, improved governance and increased likelihood of meeting regulatory and compliance expectations.

Recording Available

* Per Attendee $179

 

SEC Examinations - Practical Tips on How to Defend Yourself

webinar-speaker   H. David Kotz

webinar-time   60 Min

Product Id: 704605

This webinar provides practical information on how companies may defend themselves during SEC examinations. The webinar highlights the newest initiatives arising from the SEC’s examination program. Presented by the former Inspector General of the SEC, the webinar provides valuable insider information about SEC exams.

Recording Available

 

3-Hr Virtual Seminar - Understanding DFAR and Developing Compliance - DCAA Audit, Labor Records, Penalties, Policies & Procedures

webinar-speaker   JeFreda Brown

webinar-time   3 hrs

Product Id: 704619

This training program will demonstrate why companies planning to do business with the government should be prepared to be audited by the Defense Contract Audit Agency (DCAA). DCAA performs all needed contract audits for the Department of Defense (DoD). The focus of this program is to offer attendees a strong knowledge of DFARS (Defense Federal Acquisition Regulation Supplement) and help understand what is required when pricing proposals, developing a compliant accounting system, and maintaining contracts.

Recording Available

* Per Attendee $349

 

Dos & Don'ts Related to Information Security and Data Privacy

webinar-speaker   Marc Perl

webinar-time   60 Min

Product Id: 704736

This training program will prepare your organization to understand the need for data security, the steps that can be taken to institute or augment your data security policies/procedures, and the implementation of the needed controls. This webinar will introduce attendees to a set of known and respected data security standards that can be employed by your organization to improve your security. Attendees will walk away with ideas to leverage the curriculum with their existing security infrastructure.

Recording Available

* Per Attendee $249

 

How to Establish & Review Your Risk Metrics Effectively

webinar-speaker   Robert Geary

webinar-time   90 Min

Product Id: 704709

This webinar training provides an in depth understanding and applicability of the risk metrics. The instructor helps in establishing the purpose they serve and reviewing the methodology for creating a set of risk metrics. He will also discuss the sampling of forms of risk metrics to be employed and review the risk metric management process.

Recording Available

 

Detecting and Preventing Corporate Card Fraud - Travel and Entertainment Expenses

webinar-speaker   Chris Doxey

webinar-time   90 Min

Product Id: 704707

This webcast will discuss the policies, procedures, and controls that will help your company detect and prevent corporate card fraud. The Instructor will discuss the type of corporate credit cards and best practices for developing your travel and entertainment expense (T&E) policy. Participants will learn the T&E standards of internal control and how to automate their T&E Process.

Recording Available

* Per Attendee $179

 

A2Z of ACH - Authorizations, Revocations, and NOCs - Part 2

webinar-speaker   Rayleen M Pirnie

webinar-time   90 Min

Product Id: 704572

This three-part webinar series is designed specifically for businesses who either currently process ACH credits and/or debits, or those exploring the network for use in the future. Each session will focus on niche areas of ACH essentials. This course in the series will explore ACH authorization requirements, revocations, and Notifications of Change (NOCs) in the ACH network from the perspective of how each affects a business originator.

Recording Available

* Per Attendee $179

 

Should We Offer Home Equity Lines of Credit? HELOC VS. Conventional Mortgage

webinar-speaker   J T Turner

webinar-time   60 Min

Product Id: 704612

This training program will offer an introduction to HELOCs and explain how a HELOC is structured. It will also discuss why they are profitable, potential issues, and how to retain loans.

Recording Available

 

A2Z of ACH - Transaction Flows and Standard Entry Class Codes - Part 1

webinar-speaker   Rayleen M Pirnie

webinar-time   90 Min

Product Id: 704571

This three-part webinar series is designed specifically for businesses who either currently process ACH credits and/or debits, or those exploring the network for use in the future. Each session will focus on niche areas of ACH essentials. This first part in the series will focus on recognizing an ACH transaction flow - both credit and debit, identifying ACH network participants, and locating Standard Entry Class Code (transaction) Rules in the ACH Rules book.

Recording Available

 

TILA-RESPA Integrated Disclosures (TRID) Review

webinar-speaker   J T Turner

webinar-time   60 Min

Product Id: 704680

This webinar will discuss the you understand Truth In Lending Act and Real Estate Settlement Procedures Act Disclosures. Instructor will explain how to review the history of the disclosures. Participants will understand the nature of the changes, the Loan Estimate form and calculations, closing disclosure and time considerations of the disclosures.

Recording Available

 

Measuring and Managing Customer Profitability - From Growing Sales to 'Profitable' Sales

webinar-speaker   Gary Cokins

webinar-time   90 Min

Product Id: 704679

This training program will focus on how to shift the mindset from growing sales to growing profitable sales and to view customers as investments like in a stock portfolio to seek higher ROIs – return on customers (ROC). It will also look at how measuring forward-looking customer lifetime value (CLV) differs from calculating historical customer/consumer profitability for B2C industries.

Recording Available

 

CAMELS Methodology | Market Risk Identification, Evaluation and Managing Risk Conditions - CCAR and CLAR

webinar-speaker   Robert Geary

webinar-time   60 Min

Product Id: 704669

This training webinar discusses CAMELS components in terms of the regulators’ evaluation methodology. It covers how these considerations translate into the rating of each component and the formulation of a bank’s CAMELS composite rating. In addition, the instructor explains two related evaluations: CCARS which is a “Comprehensive Capital Assessment and Review”, and CLAR which is a “Comprehensive Liquidity Assessment and Review” and how to rate bank’s capital adequacy and liquidity adequacy.

Recording Available

 

Writing Effective Email

webinar-speaker   Phil Vassallo

webinar-time   90 Min

Product Id: 704380

This training program will discuss best practices for managing your email system effectively and efficiently. It will guide attendees in composing purposeful, reader-focused emails and in employing strategies for creating a courteous tone.

Recording Available

* Per Attendee $199

 

Building a Comprehensive Fraud Investigative Report

webinar-speaker   H. David Kotz

webinar-time   75 Min

Product Id: 704035

This training program will discuss how to ensure the credibility of a fraud investigative report. It will train attendees on conducting effective witness interviews, discuss fraud investigative techniques utilized in different situations, and offer tips to locate relevant documents in a fraud investigation.

Recording Available

* Per Attendee $149

 

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