Ethics, Fraud and Corruption Training - Live Webinars, Recordings & CDs

This training program will discuss how crowdfunding has come of age. It will also detail business capitalization and investment opportunities created by the JOBS Act of 2012.

Learn more about fraud investigation and get trained on effective investigative techniques by former SEC Inspector General David Kotz. This executive training session will increase your understanding of conducting a credible fraud investigation and creating precise reports. The session will conclude with best practices for putting in place policies that detect and deter fraud.

This training program will focus on what your company needs to know and do about laws and regulations within and outside the US regarding individuals and entities that you are prohibited from doing business with. These individuals and entities are sometimes referred to as denied, debarred, excluded or restricted parties. Contrary to the idea that these laws and regulations apply only to financial institutions, they, in fact, apply to all types of organizations. This session will identify the parts of your organization that need to be aware of the issues, the necessary controls and the steps you should take to avoid compliance issues, penalties and lawsuits.

This training program will detail what a compliance program is and what it covers. It will discuss the DOJ’s (Department of Justice) compliance investigations over the last year. The course will also illustrate how compliance programs are successfully extended to external business partners and how a code of conduct should be written into a compliance program.

This webinar will highlight the techniques and best practices that can be used for conducting an effective AML audit in order to ensure compliance with Bank Secrecy Act (BSA) regulations.

This training program will highlight why a vendor questionnaire is the keystone your vendor management program is built on. The course will help ensure attendees get the whole picture and determine appropriate controls for information security and privacy.

This training program is designed for individuals who need a more detailed understanding of the Securities and Exchange Commission procedures and process and its authority over publically traded companies. The session is applicable to all financial, compliance and regulatory personnel. It will serve as an introduction to the basics of the SEC organization and overview aspects of the organization itself, its enforcement reach and laws subject to SEC scrutiny.

This training program will explore 8 techniques for verifying the legitimacy of your foreign counterparty. It will also discuss credit check, background check, reference check, criminal record check, restricted parties record check, financial health check, and more.

This training program will discuss how fraudulent activities continue to stay on the rise despite enhanced technology. Financial institutions are starting to get more aggressive with securing their networks and computer systems, along with conducting more ongoing and thorough background checks on employees. The course will detail how using more preventative measures to identity and stop fraud is key in any organization.

This training program will help participants understand when an investigation is warranted, considerations in working with outside investigators, and provide practical steps to conduct your own internal investigation. Employee complaints go with the territory when you are a manager. But how do you know when to address a complaint informally or when you should launch an investigation? This webinar will also guide attendees in assessing situations that warrant formal investigation.

This anti-fraud webinar will discuss how to create an anti-fraud culture in your organization. How to put down anti-fraud zero tolerance policies that explain to employees what constitutes fraud, fraud awareness training, how to recognize its red flags and how to set up a effective fraud hotline.

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 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.

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.

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 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 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 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.

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.