Banking, Financial Services Regulatory Compliance Training - Live Webinars, Recordings & CDs

This webinar will explain Unfair, Deceptive, and Abusive Act or Practices (UDAAP), including different standards for advertising over the internet and social media. It will also provide practical solutions for avoiding the pitfalls and still create meaningful advertisements.

This training program will highlight various disbursement fraud schemes. It will also discuss preventing disbursement fraud by establishing a strong anti-fraud policy and understanding of the human factor.

Microsoft Excel has powerful tools that can be used to quickly tame large sets of data. This training session will help attendees discover techniques that can simplify and format data according to your audience.

This training program will provide a brief overview of the SBA’s 7(a) loan guarantee program, the express loan program, and the 504/CDC loan program, as well as the USDA’s Business and Industry Loan program. The webinar will also analyze loan guarantee program benefits, credit enhancement and participation requirements. It will discuss the levels of participation and how lenders might qualify for delegated authority, depending on SBA lending experience and results.

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.

For a multitude of reasons, stress-testing programs have seldom satisfied regulators, even after the 2007 crisis. After most significant mishap in every bank, management often discovers that the managerial stress-testing have revealed to be insufficient, over-driven by optimism. In this training program, the instructor will deconstruct regulatory constraints after Basel II and III, lessons learnt after 2007, and stress-testing as a strategic exercise.

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.

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.

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.

The Internet Crime Complaint Center (IC3) reports that U.S. victims alone lost $18 million in 15 months to just a single form of ransomware. This training program will review the risks associated with various types of cyber fraud, and in particular, business email compromise (BEC) and ransomware. The session will also discuss documenting sound business practices to minimize exposure and loss and list what to present to your board of directors before an incident.

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.

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 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.

This training program will provide an in depth understanding of the management of investment performance risk as an individual investor and in the investment relationship of a money manager. Participants will learn to fully recognize and evaluate the use of leverage and establish the appropriateness of leverage in a portfolio or a single investment.

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.

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.

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.

Reputation risk is the risk of loss resulting from damages to a firm's reputation, in lost revenue; increased operating, capital or regulatory costs; or destruction of shareholder value, due to an adverse or potentially criminal event even if the company is not found guilty. This training program will explore the hidden danger behind reputational risk that can pose a threat to the survival of the biggest and best-run companies, often wiping out millions or billions of dollars in market capitalization or future revenues and occasionally resulting in a change at the uppermost levels of management.

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.