SOX Regulatory Compliance Training - Live Webinars, Recordings & CDs

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 Clean Power Plans training program will discuss and debate the final 111(d) rule components under which smart grid capabilities will qualify. It will also discuss smart grid capabilities with significant greenhouse gas emission reduction goal potential and challenges associated with smart grid capability optimization.

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 course will examine and evaluate the driving force behind COSO 2013 and suggested applications beyond ICFR. When the COSO foundation released the COSO 2013 framework, they specifically stated their intent that the framework be utilized for more than just ICFR. Many companies have undergone and completed the mapping processes for the 17 principles to the ICFR controls. They must now examine how the framework can move into the operational stage.

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 offer attendees a greater understanding of payment types that are declining and those that are growing: ACH, CHIPS, and Fedwire. Plans and polices to combat payment theft and related fraud will also be detailed in the webinar.

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.

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.

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.

This Foreign corrupt Practices Act (FCPA) compliance training will discuss common red flags for potential breaches of the Act and recent enforcement trends for noncompliance.

Anti-Money Laundering (AML) activities will help to prevent the use of financial institution or its infrastructure for money laundering purpose by criminal elements. This 90 minute webinar will discuss in detail the importance of appropriate internal controls implementation that is specific to money laundering in order to detect activities defined as suspicious under the laws of a given jurisdiction.

This training on COSO (Committee of Sponsoring Organizations of the Treadway Commission) framework will highlight as well as compare and contrast the critical concepts of two leading compliance documents (COSO 1992 & COSO 2013) that are sure to turn up the heat on management’s efforts related to internal control.

This risk assessment and management training will discuss the risk analysis process and control matrices that help to comply with Section 404 of the Sarbanes Oxley (SOX) Act.

In this 60 minutes webinar, you can discover the in and out of accounts receivable risks and controls in compliant with SOX. The speaker brings vast knowledge and experience to guide you through with the know-how of accounts receivable process, fraud, weaknesses, deficiencies and the efficient ways to deal with them.

This 3-hr presentation covers specific issues affecting Credit and Accounts Receivable, including Credit Risk Management, the adequacy of provisions for Bad Debt, Collection Procedures, dependence on processes outside the credit department, and outside the company. This seminar will help Credit Professionals understand their responsibilities and duties so that they can be confident that their Credit and Accounts Receivable processes are Sarbanes-Oxley compliant.

What credit professionals need to understand to carry out their responsibilities and duties to ensure Sarbanes-Oxley compliance. The Sarbanes-Oxley Act of 2002 makes company executives of publicly traded US companies personally and criminally responsible for the accuracy and reliability of the financial disclosures of their companies.

Learn how to comply Sarbanes Oxley compliance in a cost-efficient manner. Many have questioned whether the Sarbanes-Oxley law requirements can be met in a cost-efficient manner. Absorbing the first-year lessons — and, going forward, is a challenge facing all public companies as they prepare to meet quarterly and annual reporting requirements. And further challenges will arise as new compliance issues emerge and PCAOB regulations evolve.

The core of the presentation will be an in-depth look at Section 404 and the COSO Guidance used by most organizations for compliance. We will describe the SOX legislation including the creation of the Public Corporation Accounting Oversight Board (PCAOB) and key sections of the Act.