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

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.

Effective risk-based auditing requires that the auditor understand management’s attitude to, and tolerance of risk. This training program will focus on audit planning based on an understanding of the internal control structure intended by management to mitigate risk and the degree of implementation of ERM.

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.

This compliance training will focus on the 2015 ACH rule changes and updates. The chief emphasis will be on the nine recently passed ballots to keep attendees updated with the new rules and avoid violations and penalties.

This webinar will explain how to spot the red flags that could indicate occupational fraud. Attendees will learn how to develop good internal controls to prevent employees from misappropriating the organization’s assets.

Reputational risk is receiving a tremendous amount of focus. Organizations need to have the capability to identify, manage and measure their reputational risk, while employees in every level are familiar with an effective approach towards the same. This training program will discuss how different companies have either failed or succeeded in managing their reputational risk and analyze best practices to take control of reputational risk situations.

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.

Through this course, attendees will learn what works and what doesn’t when trying to get the attention of a new prospect. And how to close more deals – sooner. If you’ve ever wondered why some sales and marketing approaches work better than others, then this webinar will illustrate why. Attendees will learn the dos and don’ts of good marketing and sales practices and how to stand out from competitors.

As compliance with the Foreign Corrupt Practices Act (FCPA) and other anti-corruption statutes has matured into its own field, compliance professionals are faced with the proverbial one-way ratchet. U.S. enforcers’ compliance expectations continue to increase, and compliance programs now need to address multiple laws as more countries enhance and enforce their own anti-corruption regimes. This course will address the essential elements of an effective compliance program.

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.

Audit committees are a fundamental part of the proper governance of any organization, together with the executive management and internal as well as external audit. This webinar will explore the role of the audit committee in corporate governance and risk management.

One of the first HR tools a company will install is an employee policy manual. It is important to have a manual and keep it current and reflective of the company, its mission and philosophy. This course will guide attendees in writing policies for different segments of the company, understanding the most common problem areas, and assuring consistent application of the policy.

Criminals and criminal enterprises constantly manipulate the banking system to move their illegal proceeds through financial institutions. Their methods and trends are always changing, so investigative personnel, accountants, auditors, and FIU personnel need to be aware of these activities. This course will instruct attendees on how to examine each transaction to determine the method, the reason, and potential destination of the funds to protect financial institutions during personal and business transactions.

The objective of this instruction is to provide an in depth understanding and applicability of risk metrics by establishing the purpose they serve, reviewing the methodology for creating a set of risk metrics, studying a sampling of risk metrics currently employed, and reviewing the risk metric management process. In essence, the course will provide a conceptual framework to comprehend the value of risk metrics.

This course will give attendees an understanding of the importance and application of an institutional risk assessment and how it can be used to enhance existing AML/BSA risk mitigation procedures. Participants will also learn to develop, monitor and maintain an appropriate risk profile in line with your business operations.

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.

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.

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.

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.

This course will cover key practices and processes to facilitate implementation of an efficient and effective control environment. Practices and processes will be based on internationally recognized ISO 31000 standard.