Accounting Audits Regulatory Compliance Training - Live Webinars, Recordings & CDs

This webinar will untangle the complexities of UCC4A and how it applies to ACH payments. It will discuss legal and compliance risks presented by UCC4A and provisions impacting potential liability.

This training program will help identity frauds that lead to tax refund fraud and discuss funds availability exceptions. It will also discuss common non-post issues, the IRS Opt-In Program and eLeads, refund handling procedures, remedial actions, and suspicious activity reports.

The Bank Secrecy Act (BSA) imposes a robust set of requirements on various industries to include banking organizations, mortgage lenders, gambling institutions, insurance agencies, and more. The main goal of the BSA is to help the government detect and prevent money laundering as well as terrorist financing. From this main goal, the rule requires reporting of various transaction types both individually and in the aggregate and reporting of suspicious activities. This webinar will help understand the fundamental requirements of the BSA/AML statutes and the annual AML training requirements.

Both clients and tax advisors should be aware of the IRS audit process. This webinar will introduce advisors and clients to factors the IRS considers in selecting an individual for audit, how the IRS obtains information during the audit, and provides you the tools needed to represent the client through IRS appeals.

Learn how effective AML analytics, algorithms, machine learning and data science can strengthen your compliance program. This session will also discuss using analytics to help BSA/AML investigations, how you can use the CDD data gathered along with analytics, model validation and BSA/AML.

This training program will review a few ways to ensure that a financial institution reviews things from the start and consistently, in setting up a risk management framework that allows the bank to focus on its strategy rather than mere compliance.

The new IRS partnership audit rules require all partnership and LLCs taxed as partnerships to amend their partnership agreement and take action now. In this training program, attendees will learn how these rules impact your business and your clients. The session will discuss IRS issues with TEFRA (Tax Equity and Fiscal Responsibility Act) and detail the concepts and terms in the Bipartisan Budget Act.

This training program will help attendees recognize the risks of failing to thoroughly vet the information received from a business loan applicant that project future revenues, profits and cash flows. Attendees will also learn to track cash through a business operation, dissect the cash cycle of the operation, and comply with SBA standards concerning expected cash flow attributes of loan applicants.

This training program will help attendees understand how the Interagency Appraisal and Evaluation Guidelines define HRTs (high risk transactions). It will also discuss best practices for checking your bank transaction risk process and offer ideas for improving your bank’s process for assessing and handling HRTs. Attendees will learn more about the regulatory impact of a HCRE transaction and the limited exemptions for ADC loans.

Accountants and other financial professionals who deal with privately held entities wishing to reduce the cost and reporting burden that exists with reporting using generally accepted accounting principles should become familiar with the AICPA’s (American Institute of CPAs) recently developed accrual basis framework of accounting. This training program will deconstruct AICPA's financial reporting framework for small and medium size entities.

In this training program, attendees will learn the 9 regulations governing payments risk and KYC/KYCC in which you may be out of compliance, as part of the process to overhaul outdated credit decisioning.

This training program will deconstruct how to define requirements management and change process. It will also offer a clear understanding of the role of requirements in the project life cycle, the role of requirements in the business case, and the role of stakeholders in requirements definition.

The objective of any report is to provide important information to management in the area reviewed. It represents the end result of weeks of reviews, analyses, interviews and discussions. The quality of that report will have an impact on how well the report is understood and accepted. This training program will review the audit standards related to audit report quality and encourage attendees to participate in various quality report exercises.

This webinar training will identify challenges to small business lending through the lens of macro economic realities and help in understanding the scope of the marketplace. Attendees will gain a clear overview of the principal risk factors that are present with all small businesses and determine whether they might be overcome.

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.

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.

This training program will offer a quick introduction of multi-state taxation and reporting and help ensure your company pays employees fairly and handles tax and other withholdings properly. If you are concerned about your company’s ability to comply with U.S. labor and payroll laws, this program will answer many questions on the subject.

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.

This webinar training will help you identify common ACH frauds. The instructor will discuss the sound business practices and easy to implement internal controls proven to reduce losses and how to review common financial institution offered solutions to further minimize exposure.

This webinar training will explain the process of preparing and reporting personal financial statements. The Instructor will discuss the key steps and authoritative guidance related to personal financial statements and how to interpret the guidance.