Corporate Governance Regulatory Compliance Training - Live Webinars, Recordings & CDs

This training program will detail new SEC enforcement initiatives and discuss the SEC enforcement mindset. It will also discuss SEC enforcement trends over time and controls to put in place to prevent exposure.

This training program will discuss how to create an effective M&A strategic plan that will help attendees identify and solicit targets that will add to the long-term shareholder value of their institution. Is your institution in the market for an acquisition or looking to grow? If so, this session will assist you and discuss keys to identifying and persuading an acquisition target interested in selling and the steps to completing a successful acquisition.

This purchasing and accounts payable (AP)regulations training will focus on the necessary steps to be taken to avoid compliance issues, penalties and lawsuits. It will also explain how to identify an organization’s weaknesses and how to address the challenges related to AP and purchasing compliance.

This training program will provide attendees with an excellent understanding of the status of the ACA’s health insurance market reforms, associated implementation challenges and emerging issues to inform their strategy and policymaking.

This webinar will highlight the opportunity to define enhanced diligence that can be used for conducting an effective high risk review in order to ensure compliance with Bank Secrecy Act (BSA) regulations and regulatory expectations.

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.

This training program will provide participants with an essential, basic understanding of U.S. rules and regulations governing international trade. The regulations contain required (and prohibited) business conduct, with penalties for failure to comply including fines, loss of export privileges, and even jail terms. In many cases, banks are required to police transactions they handle and report violations.

This presentation will explore the nature of decision making in crisis situations. It will explore the psychology of decision making under stress and overview risk management analysis tools. The webinar instructor will present tips and techniques to identify structural and cyclical changes, improve risk management strategy processes, and identify transparent vulnerabilities.

This webinar will focus on the key elements that employers need to know in order to avoid potential fiduciary liability under Employee Retirement Income Security Act (ERISA). It will cover who is a fiduciary, the responsibilities of fiduciaries and how to implement safeguards to reduce the potential for ERISA liability.

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.

Different payment approaches are starting to remove the requirement for a payment card at the point-of-sale (POS), leveraging cloud-based services or mobile devices. This training program will enumerate how significant changes in the U.S. payments landscape are effecting how merchants accept payments.

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.

This webinar will detail ERM core elements and discuss the basics of risk assessment. Attendees will learn to identify critical risk areas and mange backlog of risk areas as well.

This webinar will help general counsel and senior HR executives work together to better understand internal complaint systems, and design, establish, and maintain an effective system for handling employee complaints in the workplace when associates charge that the employer has violated one or more of the laws that regulate the employer-employee relationship. The course will review three examples in this session - FSLA, FMLA, and USERRA.

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.

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.

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.

This webinar will discuss the risks and costs of data breaches. Participants will learn who is vulnerable and what can be done to help prevent losses from data breaches. Additionally, the course will discuss the legal responsibilities and liabilities of an organization that is a victim of data breach and offer guidance to help prevent such breaches.

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.

Enterprise risk management has become the new buzz word for business. This webinar training will highlight best practices for members of the board of directors and senior management for implementing and maintaining an enterprise risk management program. It will provide advice on what regulators look for in proper governance procedures and documents. The session will follow the creation of a risk management program and explain how the program should be managed by the company’s board.