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

This 90-minute webinar will highlight actual examples of travel fraud that happen in organizations and focus on internal controls that you can have in place to prevent fraud related to travel and subsistence claims.

This webinar will review the CDD Rule and the new requirements issued by FINCEN, along with sharing information and procedures for the beneficial ownership rule.

We need to be aware of the Sanctions imposed for others when we conduct our business in financial institutions. Sanctions are penalties or other means of enforcement used to provide incentives for obedience with the law, or with rules and regulations.

Senior Management, Risk Managers and IT Security Officers need to understand the Digital Operational Resilience Act (DORA) to ensure compliance in their organizations. In this Webinar, we will focus on RISK Management as it’s the most important element in DORA to achieve compliance.

ISO 31000 is a standard developed by the International Organization for Standardization (ISO) which provides a basic guideline and principles for the application of risk management. Companies that use risk management processes vary across industries in scope and magnitude and address a wide variety of challenges. This training program will offer an in depth look into the key components of the ISO 31000 guideline and best practices to implement and support a corporate risk management strategy or program.

Ensure compliance in your social media marketing efforts with our "Social Media Compliance for Fair Lending" training. Learn what content is permissible and what's not to avoid potential regulatory issues. This course covers guidelines for posting on various social media platforms while adhering to fair lending laws. Gain insights into creating compliant content that promotes transparency and fairness in your lending practices. Equip your team with the knowledge needed to navigate the complexities of social media compliance, mitigate risks, and maintain regulatory adherence in your digital marketing strategies.

"Essentials of Successful Fraud Risk Management" is a session all about fraud. We begin by defining exactly what fraud looks like and provide a brief history of frauds impact to financial services.

This NACHA Operating Rules training session will provide the details on the proposed changes that potentially may be happening in the future. How it is going to impact you and what can you do about it.

Third Party Risk Management is all about managing service providers. For several years, businesses have been increasing reliance on third parties. While this reliance has many upsides, there are risks that should be recognized and managed. This session highlights those risks and provides alternatives to best manage them.

The Bank Secrecy Act (BSA) is a US law that fights money laundering and other financial crimes. BSA requires businesses to keep records and file reports that are determined to have a high degree of usefulness in criminal, tax, and regulatory matters. Individuals and financial institutions who fail to comply with BSA requirements may face severe penalties and for more serious offenses, prison sentences.

As Compliance Officers, we need to be prepared and be able to communicate with those who will be impacted by the upcoming changes. There are several changes coming our way in 2025.

There are so many ways to send money – FASTER! Payments such as, Same Day ACH (SDA), Real Time Payments (RTP), Push-to-Debit, Wire Transfers, and the pending arrival of FedNow. This 60-minute session will identify the different types and help you recognize the benefits and draw-backs of each one and the basics of how they work (with some examples).

An ethics and compliance risk assessment is the foundation of an effective ethics and compliance risk management program. This detailed course provides a 12-stage framework that will help you complete your own ethics and compliance risk assessment. The 12 stages are divided into two components, the Planning Phase and the Implementation Phase. With a completed ethics and compliance risk assessment and armed with your findings and action plan, you will be equipped to develop and implement an effective ethics and compliance risk management program.

This course provides the opportunity to gain a deep understanding of the fundamental principles behind blockchain technology and its practical applications in the accounting profession. Also Participants will gain insights into the benefits, challenges, and potential risks associated with blockchain technology, and develop skills to evaluate its impact on the future of the accountancy profession.

This course covers the basic concepts of Enterprise Risk Management and key elements that finance executives and personnel need to be aware of when implementing ERM across their organizations.

This BSA/AML compliance training will help attendees to understand, identify and mitigate the risks associated with high-risk customers as well as high risk transactions.

Continued massive data exposures have put the spotlight on fraud risks to banks, merchants, and personal banking customers. Fraudsters are always looking for new opportunities and new weaknesses. The availability of customer data on the black-market gives them new power tools to use to enrich themselves. A bank has responsibilities to its shareholders and customers to protect them from these ever-changing threats.

Sales tax? Use tax? What’s the difference? Must I charge tax on my internet sales? Will I owe taxes in more than one state for the same sale? Why is my drop shipper charging me tax? Why did I receive a NEXUS Questionnaire and what if I don’t respond to it? I just received a notice that I have to conduct a self-audit and report my findings to the state – is this for real? I need help!

This webinar uses actual case studies to look at what leads to compliance failures, and how to handle them. In each case. What were the specifics of the situation? Why was there a failure? How was it identified? What did it take to fix it? How could it have been avoided? (Lessons learned). It concludes with a summary of the evident patterns and learnings.

This webinar is intended to raise auditors’ abilities within the sphere of forensic auditing through a combination of lecture and case-study.