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Home › Online Training ›  Finance, Sox & Internal control

Finance, SOX and Internal Controls Regulatory Compliance Training - Live Webinars, Recordings & CDs

Help your staff understand the basic regulatory requirements and also the small details which if overlooked could potentially have a big impact on your business. Ensure that your teams are knowledgeable about how the SOX compliance processes should be aligned with the relevant frameworks. Explore our wide range of training programs for Finance, SOX, and Internal Controls Regulatory Compliance.
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Recorded/CD
Using Lean to Streamline your Operations, Continuity Planning and Recovery

Using Lean to Streamline your Operations, Continuity Planning and Recovery

  • Speaker: Michael C Redmond
  • Product ID: 704826
  • Duration: 60 Min
This webinar training will discuss the lean principles and how to effectively implement them in your system to identify and reduce waste. The instructor will discuss how to apply lean to align business system and process with organisational goals so as to deliver rapid and measurable results.
CD/Recorded
$0
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Recorded/CD
NYS Department of Labor Proposed Salary Increases

NYS Department of Labor Proposed Salary Increases

  • Speaker: Matthew W Burr
  • Product ID: 705071
  • Duration: 60 Min
With the overtime changes in New York State, this training program will discuss areas in New York State where the change will take effect. It will also discuss future changes to the rate and potential federal changes to the overtime rule.
CD/Recorded
$249
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Recorded/CD
Corporate Governance and the Board of Directors' Role

Corporate Governance and the Board of Directors' Role

  • Speaker: Adam Kerns
  • Product ID: 705067
  • Duration: 60 Min
This webinar will offer a comprehensive, in-depth review of the state laws affecting the corporate governance standards applicable to insurance companies and the board of directors’ role in those standards.
CD/Recorded
$199
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Recorded/CD
AML Risks in Correspondent Banking: What You Need to Know for 2017

AML Risks in Correspondent Banking: What You Need to Know for 2017

  • Speaker: Joe Soniat
  • Product ID: 704997
  • Duration: 60 Min
Correspondent banking has become a hot topic with BSA AML over the past few years. With examination scrutiny on correspondent banking high, this training program will highlight why it is essential to know the risk and what to do when it comes to banking other banks.
CD/Recorded
$279
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Recorded/CD
Ethics in the Financial Services Industry

Ethics in the Financial Services Industry

  • Speaker: Lisa Marsden
  • Product ID: 705053
  • Duration: 60 Min
The application and practice of ethical behavior is not just about complying with rules and regulations but about doing the right thing. This training program will discuss case studies and how to apply best practical ethical behavior and how to incorporate the ethical behavior into your firm’s overall business culture.
CD/Recorded
$0
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Recorded/CD
Procurement and Contract Fraud - Detection and Prevention

Procurement and Contract Fraud - Detection and Prevention

  • Speaker: John E Grimes
  • Product ID: 704334
  • Duration: 90 Min
This training program will examine the fraud vulnerabilities in the procurement of materials and services in the private sector. In addition, it will explore the many procurement and contract fraud schemes and at what point in the procurement and contract process they occur.
CD/Recorded
$179
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Recorded/CD
Reducing the Cost of RoHS and REACH Compliance Declarations

Reducing the Cost of RoHS and REACH Compliance Declarations

  • Speaker: Jim Kandler
  • Product ID: 705028
  • Duration: 60 Min
This training program will introduce different methods to improve existing declaration collection efforts. It will propose several practical methods a manufacturer might implement to make their material compliance efforts more effective.
CD/Recorded
$209
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Recorded/CD
Effective and Innovative Uses for Credit Insurance

Effective and Innovative Uses for Credit Insurance

  • Speaker: Buddy Baker
  • Product ID: 704097
  • Duration: 90 Min
This training program will compare credit insurance with other risk mitigation techniques in order to understand situations where other alternatives are more appropriate. Attendees will learn how insurers are increasing the flexibility of the protection they offer and the risks they cover.
CD/Recorded
$249
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Recorded/CD
The Department of Labor's Fiduciary the New Final Rule - Best Practices for Conducting a Due Diligence and Reviewing the Best Interest Contract Exemption

The Department of Labor's Fiduciary the New Final Rule - Best Practices for Conducting a Due Diligence and Reviewing the Best Interest Contract Exemption

  • Speaker: Lisa Marsden
  • Product ID: 705021
  • Duration: 60 Min
This 60-minute training session will provide a detailed overview of the Department of Labor’s Final Fiduciary Rule including the history and on-going resistance to the rule. The session will delve into details on how the rule was established and who it will be applied to. The webinar instructor will discuss the summary of the details of the new final rule and what firms must do to comply.
CD/Recorded
$179
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Recorded/CD
Project Risk Management

Project Risk Management

  • Speaker: Mario Mosse
  • Product ID: 705015
  • Duration: 90 Min
Project risk management includes the processes of conducting risk management planning, identification, analysis, action planning, and controlling risk on a project. This training program will analyze the objectives of project risk management - to increase the likelihood and impact of positive outcomes while decreasing the likelihood and impact of negative events affecting the success of the project.
CD/Recorded
$229
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Recorded/CD
The Overall Annual Compliance Review - Latest Advisers Act

The Overall Annual Compliance Review - Latest Advisers Act

  • Speaker: Lisa Marsden
  • Product ID: 705016
  • Duration: 60 Min
This webinar will focus on compliance requirements to prevent violations of the Advisers Act. The training program will also discuss how to design your firm’s annual review and effectively manage the review process.
CD/Recorded
$0
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Recorded/CD
Cyber Security Risk Assessment

Cyber Security Risk Assessment

  • Speaker: Michael C Redmond
  • Product ID: 704523
  • Duration: 60 Min
This training program will examine strategic planning to prepare and review your cyber and information security risks, cyber risks and impact analysis, IT outsourcing, and other underlying risks. The program will help attendees identify, analyze and document the events and environmental surroundings that can adversely affect an organization.
CD/Recorded
$249
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Recorded/CD
What are ACH Payments, How Do They Work and What Does That Mean - Essentials of ACH Payments

What are ACH Payments, How Do They Work and What Does That Mean - Essentials of ACH Payments

  • Speaker: Donna K Olheiser
  • Product ID: 704281
  • Duration: 90 Min
This training program will help attendees identify what is the ACH network and examples of ACH electronic payments. It will list the five basic participants in each electronic ACH transaction and describe the settlement process and the difference between a debit and a credit ACH transaction.
CD/Recorded
$179
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Recorded/CD
Project Management Essentials: The 8 Keys to Successfully Completing Every Project On-Time and On Budget

Project Management Essentials: The 8 Keys to Successfully Completing Every Project On-Time and On Budget

  • Speaker: Christopher R DeVany
  • Product ID: 705013
  • Duration: 90 Min
This training program will help attendees grasp the essentials of project management and plan effectively for identifying project needs. It will also discuss practices for keeping content, process, and structure on track to produce positive outcomes.
CD/Recorded
$0
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Recorded/CD
The Finance of HR: Disclosure of the Human Capital Metrics to Investors

The Finance of HR: Disclosure of the Human Capital Metrics to Investors

  • Speaker: Ronald Adler
  • Product ID: 704996
  • Duration: 90 Min
This webinar training will discuss the use of human capital metrics as a core competency, review the role HR metrics play in helping the organization make critical business decisions, describe the calculation of employment practices liability risk exposure, and provide a listing of some of the more widely used HR metrics.
CD/Recorded
$229
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Recorded/CD
Wire Fraud - Detection and Prevention

Wire Fraud - Detection and Prevention

  • Speaker: Rayleen M Pirnie
  • Product ID: 704399
  • Duration: 90 Min
This training program will discuss common forms of wire fraud such as: account takeover (consumer, corporate, and institution internal accounts); false invoices / money mules and advance fee frauds; business email compromise; and supply chain fraud. It will also discuss wire fraud detection, fraud mitigation, and sound business practices to thwart attempts.
CD/Recorded
$179
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Recorded/CD
How to Develop an Effective Risk Register

How to Develop an Effective Risk Register

  • Speaker: Mario Mosse
  • Product ID: 704969
  • Duration: 90 Min
A risk register, also known as a risk log, serves as a central repository for the organization's risk information. This training program will discuss its key function, i.e., to provide management, the board, and key stakeholders with significant information on the main risks faced by the organization. The program will also delve into designing and using your own ‘fit-for-purpose’ risk register.
CD/Recorded
$229
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Recorded/CD
Preparing a Financial Industry Compliance Manual and Code of Ethics

Preparing a Financial Industry Compliance Manual and Code of Ethics

  • Speaker: Lisa Marsden
  • Product ID: 704962
  • Duration: 60 Min
This training program will detail developing a compliance manual and a code of ethics for the financial industry, with the intent of clarifying the requirements of the Advisers Act. The instructor will also guide attendees on testing the manual, effectively managing it, and keeping it constantly updated.
CD/Recorded
$0
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Recorded/CD
Cash Management Bank Statement Setup and Reconciliation

Cash Management Bank Statement Setup and Reconciliation

  • Speaker: Kevin Chenoweth
  • Product ID: 704945
  • Duration: 90 Min
In this webinar, participants will learn how cash flows interact with financial statements. The Instructor will help in understanding cash flows in funding strategic initiatives. They will also learn about the bank reconciliations for various types of transactions and preparation of banking relationships for a merger.
CD/Recorded
$199
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Recorded/CD
Payments and Settlements Systems - RTGS, SWIFT, LVTS, CLS

Payments and Settlements Systems - RTGS, SWIFT, LVTS, CLS

  • Speaker: Stanley Epstein
  • Product ID: 704719
  • Duration: 90 Min
This training program will focus on the entire payments and settlements process: beginning with the making of a payment and ending with the payment being received by the beneficiary and settled in a manner that makes it final and irrevocable.
CD/Recorded
$0
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