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Home › Online Training ›  Risk Management & Controls

Risk Management and Controls Regulatory Compliance Training - Live Webinars, Recordings & CDs

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Mortgage Advertising: Keeping Your Promotions Compliant
23
/ Apr
Tuesday-2019

Mortgage Advertising: Keeping Your Promotions Compliant

  • Speaker: Craig M Taggart
  • Product ID: 704542
  • Duration: 90 Min
This mortgage advertising training program will discuss special requirements applicable to HELOC advertisements with introductory and promotional rates and the new TILA/RESPA disclosure required for written estimates of terms or costs. It will also offer best practices for reviewing mortgage advertisements to reduce compliance and UDAAP risks and tips on using the "one-click rule" to advertise mortgage loans on websites and in social media.
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Enforcement Actions and how they can affect your Institution
24
/ Apr
Wednesday-2019

Enforcement Actions and how they can affect your Institution

  • Speaker: Thomas Nollner
  • Product ID: 705503
  • Duration: 60 Min
This webinar will review the regulatory history and background of the financial institution involved, the findings of the regulators and law enforcement during examinations and onsite reviews, the reasoning behind the enforcement actions, and the expectation of the regulators and law enforcement going forward. It will further discuss policy changes, procedure enhancements, and operational practices the financial institution could have taken to prevent the weaknesses that caused the enforcement action.
* Per Attendee
$199
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Pricing Contractor Jobsite Overhead Delay Costs
26
/ Apr
Friday-2019

Pricing Contractor Jobsite Overhead Delay Costs

  • Speaker: Jim Zack
  • Product ID: 704367
  • Duration: 90 Min
After attending this training program, attendees will have a better understanding of the issues concerning the pricing of contractor delay damages. Contractors will gain knowledge about the various methods of calculating extended field office overhead costs. Owners will learn some contractual methods for predetermining this element of delay costs in order to prevent the need for end of the job audits or disputes over such costs.
* Per Attendee
$149
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Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly
29
/ Apr
Monday-2019

Key Ratio Analysis - Calculating and Interpreting the Numbers Correctly

  • Speaker: David L Osburn
  • Product ID: 704967
  • Duration: 90 Min
This training program will provide financial professionals guidance on key ratio analysis. It will also detail a five-step analysis plan to calculate the key ratios covering liquidity, activity, leverage, operating performance, and cash flow analysis.
* Per Attendee
$199
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Handling OOS Test Results and Completing Robust Investigations
2
/ May
Thursday-2019

Handling OOS Test Results and Completing Robust Investigations

  • Speaker: Danielle DeLucy
  • Product ID: 704351
  • Duration: 90 Min
This webinar will review the regulatory requirements for investigating an OOS Investigation. The responsibilities of the analyst, the supervisor and QA will be discussed. A detailed flow chart will be used to help the attendees clearly understand the steps and the order in which they are to be performed. The structure of an Investigation report which properly documents the investigation will be discussed.
* Per Attendee
$199
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AML Model Validation: A Critical Need in the New Regulatory Environment
2
/ May
Thursday-2019

AML Model Validation: A Critical Need in the New Regulatory Environment

  • Speaker: Dr. Frank Masi
  • Product ID: 704227
  • Duration: 60 Min
This training program will discuss the history and origin of a model validation. It will also discuss the requirements by the OCC for a model validation, and what exactly a model validation should include. The session will also analyze the elements of a model validation to know what to look for in an RFP, and detail the requirements included in Final Rule 504.
* Per Attendee
$199
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TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns
7
/ May
Tuesday-2019

TIN Matching and B Notices - How to Minimize the Paperwork from Complaints on IRS Information Returns

  • Speaker: Miles Hutchinson
  • Product ID: 703028
  • Duration: 90 Min
This IRS regulatory compliance training will explain the TIN matching system best practices to eliminate form 1099 reporting errors. It will also provide you the tools to effectively handle B- Notices in order to avoid fines and penalties.
* Per Attendee
$199
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Procurement Cards (P-Cards) - Fraud Detection, Prevention, and Deterrence
7
/ May
Tuesday-2019

Procurement Cards (P-Cards) - Fraud Detection, Prevention, and Deterrence

  • Speaker: Chris Doxey
  • Product ID: 702646
  • Duration: 60 Min
This webinar on procurement cards fraud prevention will help you identify the ‘red flags' of P-Card fraud and will provide a practical internal controls toolkit that will help reduce the potential for fraud and mitigate risk within the process.
* Per Attendee
$199
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Excel Spreadsheets; Ensuring Data Integrity and 21 CFR Part 11 Compliance
9
/ May
Thursday-2019

Excel Spreadsheets; Ensuring Data Integrity and 21 CFR Part 11 Compliance

  • Speaker: David Nettleton
  • Product ID: 701582
  • Duration: 75 Min
Learn how to use Microsoft Excel spreadsheets for GXP data to ensure compliance with 21 CFR Part 11 and reduce validation cost and time.
* Per Attendee
$229
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Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?
13
/ May
Monday-2019

Weed, Cocaine and Heroin: What it Means to Your Bank or Credit Union?

  • Speaker: Doug Keipper
  • Product ID: 705440
  • Duration: 60 Min
This webinar will focus on the today’s marketplace for weed, cocaine and opioids including heroin. It will cover topics such as FinCEN’s expectations regarding Marijuana-related businesses, drug enforcement agency fact sheets, FBI and DEA documentary on opioid abuse, summary review of transactions and much more.
* Per Attendee
$199
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Anti-Fraud Controls in Payroll: Prevent Before It's Too Late
17
/ May
Friday-2019

Anti-Fraud Controls in Payroll: Prevent Before It's Too Late

  • Speaker: Peter Goldmann
  • Product ID: 705257
  • Duration: 90 Min
This 90-minute webinar will help attendees discover the various types of payroll scams, how to recognize key signs of fraud, and ways to prevent and eliminate payroll fraud. It will further offer best practices to use in payroll audits to defend against fraud and negligence.
* Per Attendee
$199
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Fair Debt Collection Practices Act - FDCPA, FCRA, Easily-Broken HIPAA, Civil Liability, Bad Check Laws, Promissory Notes, Mini-Miranda Warning
20
/ May
Monday-2019

Fair Debt Collection Practices Act - FDCPA, FCRA, Easily-Broken HIPAA, Civil Liability, Bad Check Laws, Promissory Notes, Mini-Miranda Warning

  • Speaker: David Sanders
  • Product ID: 704686
  • Duration: 90 Min
In this fast-paced and informative training program, attendees will learn exactly what violates the Fair Debt Collection Practices Act (FDCPA) and other laws that lead to costly fines and judgments. The program will also overview consumer vs. commercial bankruptcy and the differences between Chapter 7, 11 and 13.
* Per Attendee
$199
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The Essentials of Managing Operational Risk
20
/ May
Monday-2019

The Essentials of Managing Operational Risk

  • Speaker: Stanley Epstein
  • Product ID: 702359
  • Duration: 90 Min
This webinar provides a systematic approach covering the fundamental steps needed to manage operational risks in banks and financial institutions. Based on the three-core approach to operational risk management, it expands into critical issues such as risk analysis, risk appetite, probability, impact, and risk mitigation processes.
* Per Attendee
$149
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Advanced Financial Statement Analysis - Liquidity, Activity, Leverage, Operating Performance, Cash Flow, Z-Score and Case Studies
20
/ May
Monday-2019

Advanced Financial Statement Analysis - Liquidity, Activity, Leverage, Operating Performance, Cash Flow, Z-Score and Case Studies

  • Speaker: David L Osburn
  • Product ID: 704641
  • Duration: 90 Min
This training program will explore the vital world of advanced financial statement analysis. This session will include a review of the four financial statements and a five-step analysis model including liquidity, activity, leverage, operating performance, and cash flow. It will also review the Z-score (bankruptcy predictor) and the sustainable growth models. The webinar is a must for all commercial lenders and credit administrators.
* Per Attendee
$199
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How to Think Like a Crook - Money Laundering Prevention
21
/ May
Tuesday-2019

How to Think Like a Crook - Money Laundering Prevention

  • Speaker: Doug Keipper
  • Product ID: 702770
  • Duration: 60 Min
This anti-money laundering training will describe the reasons and methods of money laundering in financial institutions. This will help attendees to protect themselves from regulatory risk by establishing an effective anti-money laundering system within their financial institution.
* Per Attendee
$149
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Recorded/CD
Sarbanes-Oxley Act Section 404: How to Establish an Effective Internal Controls System

Sarbanes-Oxley Act Section 404: How to Establish an Effective Internal Controls System

  • Speaker: David Sanders
  • Product ID: 704395
  • Duration: 90 Min
This webinar will enhance your knowledge of SOX Section 404 (Sarbanes-Oxley Act Section 404) by helping you understand the elements of an internal controls system. Internal controls are a key part of any organization's continued growth, performance and success. With fraud at an all-time high, a well-designed internal control structure will enhance operations by improving your department's overall security and effectiveness. SOX Section 404 mandates that all publicly-traded companies must establish internal controls and procedures for financial reporting and must document, test and maintain those controls and procedures to ensure their effectiveness.
CD/Recorded
$249
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Recorded/CD
New and Expected Guidance’s on Data Standards and Electronic Submissions for Drugs and Medical Products

New and Expected Guidance’s on Data Standards and Electronic Submissions for Drugs and Medical Products

  • Speaker: Angela Bazigos
  • Product ID: 704529
  • Duration: 90 Min
This training program will examine the approval process for drugs, biologics and devices and elaborate FDA submission requirements and guidances. It will also discuss electronic regulatory submission and gateway for FDA and FDA eCTD guidance and specifications.
CD/Recorded
$249
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Recorded/CD
Purchasing Cards: Overcoming Risks and Creating an Effective Program

Purchasing Cards: Overcoming Risks and Creating an Effective Program

  • Speaker: Brian G Rosenberg
  • Product ID: 704467
  • Duration: 60 Min
This training program will detail the components of a successful purchasing card program. It will also discuss implementing proper purchasing card controls, types of risk including fraud and misuse, auditing techniques, and more.
CD/Recorded
$249
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Recorded/CD
Red Flags and EDD for Non-Bank Financial Institutions

Red Flags and EDD for Non-Bank Financial Institutions

  • Speaker: Vicki Landon
  • Product ID: 703536
  • Duration: 60 Min
This webinar will address the red flags that may indicate money laundering and fraud in non-bank financial institutions. It will also provide guidelines for conducting enhanced due diligence (EDD).
CD/Recorded
$249
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Recorded/CD
AML Investigations and SAR Preparation

AML Investigations and SAR Preparation

  • Speaker: Armen Khachadourian
  • Product ID: 704406
  • Duration: 90 Min
This training program will provide guidance in recognizing, investigating and reporting suspicious activities. It will also discuss instructions on implementing and maintaining an enterprise wide compliance program to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence to the regulatory authorities.
CD/Recorded
$249
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