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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
OWBPA Training for HR Professionals and In-House Counsel

OWBPA Training for HR Professionals and In-House Counsel

  • Speaker: Judith Bevis Langevin
  • Product ID: 705367
  • Duration: 90 Min
This webinar training will detail the purpose and coverage of the Older Workers Benefit Protection Act (OWBPA). It will also highlight the penalties for failure to comply and offer practical pointers for compliance.
CD/Recorded
$179
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Recorded/CD
Overview of FinCEN’s Enforcement Against Money Services Businesses and Use of Geographic Targeting Orders

Overview of FinCEN’s Enforcement Against Money Services Businesses and Use of Geographic Targeting Orders

  • Speaker: Barbara Keller
  • Product ID: 705484
  • Duration: 60 Min
This webinar will cover the agency's current enforcement climate for NBFIs, provide detail on recent enforcement actions against MSBs including money transmitters, virtual currency exchanges, and individuals; and discuss FinCEN’s use of GTOs. This webinar will also provide lessons learned and key themes drawn from FinCEN's increase in enforcement actions against NBFIs and its use of GTOs.
CD/Recorded
$229
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Recorded/CD
Evidence Gathering in a Fraud Investigation

Evidence Gathering in a Fraud Investigation

  • Speaker: H. David Kotz
  • Product ID: 703261
  • Duration: 75 Min
This training on fraud investigation will explain how to deal effectively with allegations of fraud and how to conduct internal investigations. It will provide the attendees tips on how to gather evidence in a fraud investigation.
CD/Recorded
$199
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Recorded/CD
Social Security - What Advisors Need to Understand Regarding Social Security When Meeting With Clients

Social Security - What Advisors Need to Understand Regarding Social Security When Meeting With Clients

  • Speaker: Marc Kiner,Jim Blair
  • Product ID: 705385
  • Duration: 90 Min
This webinar will cover computation of social security benefits, eligibility, consequences of early benefits vs later, spousal benefits, social security claiming strategies, use of the Restricted Application and more.
CD/Recorded
$179
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Recorded/CD
The Australian AML/CTF Act - Preparing for an Independent Review

The Australian AML/CTF Act - Preparing for an Independent Review

  • Speaker: David Harley
  • Product ID: 704662
  • Duration: 90 Min
This training program will discuss the planning and preparation needed for an independent review, or any other review of an AML/CTF program, and consider the stakeholders who need to be identified and managed throughout the field work, the impact on the business as they continue with business as usual as well as the likely areas where issues may be found. Understanding the process of an independent review provides the opportunity to test the implementation of your program before hand and call out some issues that need focus before any review commences.
CD/Recorded
$249
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Recorded/CD
Sales and Use Tax - Avoiding Double Tax on Drop Shipments

Sales and Use Tax - Avoiding Double Tax on Drop Shipments

  • Speaker: Miles Hutchinson
  • Product ID: 703616
  • Duration: 100 Min
This webinar will discuss the principles of drop shipment exemption. It will also detail how you can help your company legally avoid tax assessments by your drop shippers on your resale orders.
CD/Recorded
$249
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Recorded/CD
SARs and Law Enforcement: Practical Insight to Streamline the Investigation Process

SARs and Law Enforcement: Practical Insight to Streamline the Investigation Process

  • Speaker: Joe Soniat
  • Product ID: 705177
  • Duration: 60 Min
In this training program, attendees will learn best practices for a financial institution’s SAR process. The program will also discuss SAR reporting process, working with law enforcement on SAR cases, documenting SAR decisions, and investigation tips.
CD/Recorded
$199
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Recorded/CD
Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices

Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices

  • Speaker: Lisa Marsden
  • Product ID: 704474
  • Duration: 60 Min
This training program will examine who are third party vendors and analyze why it is critical to prepare a risk assessment for third parties. The course will also offer an overview of the potential risks a third party vendor may impose on your firm.
CD/Recorded
$179
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Recorded/CD
Transaction Monitoring and Cybersecurity - DFS, SOC, Cybersecurity Framework and Many More

Transaction Monitoring and Cybersecurity - DFS, SOC, Cybersecurity Framework and Many More

  • Speaker: William Akel
  • Product ID: 705365
  • Duration: 60 Min
Attend this webinar to understand the best ways to maintain annual compliance with DFS cybersecurity requirements through a strategic transformation of IT security monitoring to proactive cyber risk management; and to learn how a human-centric security orchestration model with people, process and technology will save and make you money.
CD/Recorded
$0
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Recorded/CD
RFP Fundamentals

RFP Fundamentals

  • Speaker: Kenneth Jones
  • Product ID: 705499
  • Duration: 60 Min
This webinar will teach you how to craft a Request for Proposal (RFP) with confidence. Contractors will gain insight on how to ask the right questions and what is involved in getting an award through the RFP process.
CD/Recorded
$0
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Recorded/CD
Creating Smart Presentations: Integrating Excel, Power Point and Word

Creating Smart Presentations: Integrating Excel, Power Point and Word

  • Speaker: Mitzi Katz
  • Product ID: 705056
  • Duration: 90 Min
This training program will take attendees closer to creating presentations in an engaging format, employing the significant features of MS Word, MS Excel, and MS PowerPoint. From learning Word’s capabilities of integrating Excel data to using Word for automatic PowerPoint speaker notes, this webinar will cover a broad range of functionalities that will make integrating reports and presentations from all three MS Office suite applications that much simpler.
CD/Recorded
$149
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Recorded/CD
How to Build and Use a Risk Matrix

How to Build and Use a Risk Matrix

  • Speaker: Mario Mosse
  • Product ID: 704970
  • Duration: 60 Min
Risk matrices are used during risk assessment to define the various levels of risk as the product of the probability and impact categories. This webinar training will focus on this simple but powerful mechanism to increase visibility of risks and assist management decision making. Risk matrices are one of the most widespread tools for risk evaluation.
CD/Recorded
$179
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Recorded/CD
Same-Day ACH - All You Need to Know

Same-Day ACH - All You Need to Know

  • Speaker: Rayleen M Pirnie
  • Product ID: 705243
  • Duration: 60 Min
In response to the need for faster electronic payments and settlement, NACHA balloted a proposal for Same-Day ACH. The ballot passed and Same-Day ACH is rolling out over a three year span; phase one went into effect in September 2016. Current statistics show that Same-Day ACH is already gaining in popularity, but phase two is just around the corner and presents significantly more risk for all involved. In this training program, participants will grasp the background and basics of Same-Day ACH and learn to analyze the benefits and risks involved.
CD/Recorded
$179
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Recorded/CD
Wage and Hour Issues in the Age of Remote Work

Wage and Hour Issues in the Age of Remote Work

  • Speaker: Judith Bevis Langevin
  • Product ID: 705480
  • Duration: 60 Min
This webinar will focus on the federal wage and hour laws that apply to remote work. It will provide tips on how to manage remote work and best practices for responding to claims and audits related to remote work.
CD/Recorded
$179
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Recorded/CD
Duty Drawback in Canada - What you Need to Know

Duty Drawback in Canada - What you Need to Know

  • Speaker: Fabiola Ferrusquia
  • Product ID: 705468
  • Duration: 60 Min
Learn the options that the Duty Drawback in Canada can offer you to offset the expenses you have already incurred. We'll discuss conditions to be met, documentation requirements and more using practical examples.
CD/Recorded
$0
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Recorded/CD
NY State Procurement Overview

NY State Procurement Overview

  • Speaker: Kenneth Jones
  • Product ID: 705462
  • Duration: 90 Min
This webinar will provide an overview of New York State Procurement rules and vendor selection requirements. Attendees will learn best practices to draft procurement documents and comply with NY State Government procurement process.
CD/Recorded
$0
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Recorded/CD
Conflicts of Interest in Financial Services; Identify, Eliminate, Mitigate and Disclose

Conflicts of Interest in Financial Services; Identify, Eliminate, Mitigate and Disclose

  • Speaker: Lisa Marsden
  • Product ID: 705466
  • Duration: 60 Min
Learn how best to identify, mitigate and make accurate disclosures of conflicts of interest.
CD/Recorded
$0
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Recorded/CD
Vendor Due Diligence: The Cybersecurity Perspective

Vendor Due Diligence: The Cybersecurity Perspective

  • Speaker: Rayleen M Pirnie
  • Product ID: 704700
  • Duration: 90 Min
In most industries, you can contract away a responsibility or task, but not the liability of an attack or compliance expectations. This training program will examine key questions in case of a security breach. Whom will your customers hold liable? Who is going to get fined and possibly sued? At the end of the day, your organization will suffer the negative publicity, the reputation damage, and financial loss of the attack. This program will address vendor due diligence and security to better understand the risks your organization could face while outsourcing your business needs.
CD/Recorded
$179
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Recorded/CD
New Customer Due Diligence Beneficial Owner Rule

New Customer Due Diligence Beneficial Owner Rule

  • Speaker: Joe Soniat
  • Product ID: 705221
  • Duration: 60 Min
FinCEN is issuing final rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: banks; brokers or dealers in securities; mutual funds; and futures commission merchants and introducing brokers in commodities. The rules contain explicit customer due diligence requirements and include a new requirement to identify and verify the identity of beneficial owners of legal entity customers, subject to certain exclusions and exemptions. This training program will walk attendees through the new rules and how to implement them.
CD/Recorded
$179
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Recorded/CD
How to Write Contracts for Procurement Professionals

How to Write Contracts for Procurement Professionals

  • Speaker: Kenneth Jones
  • Product ID: 705441
  • Duration: 90 Min
This webinar will discuss important terms and conditions when drafting contracts for your organization. Attendees will learn best practices to draft, amend, review and manage the contract.
CD/Recorded
$0
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