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

Learn the intricacies of developing an effective AML/CTF compliance assurance program and implementing it. Learn how to track the performance of each element of the program and remediate in case of risks.

This training program will equip attendees with basic everyday tools to keep cyber criminals at bay. The course will also emphasize the need for effective communication between team members of a financial firm.

This session will walk through the basics of UBI and the common sources of it. After laying the groundwork of the three-prong test, we’ll cover the exceptions, exclusions, and what the organization can do to minimize the tax paid from this income.

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.

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.

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.

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.

This webinar will help attendees to learn the current issues and changes to BSA/AML compliance obligations and the common regulator findings related to payments and customer risk.

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.

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.

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.

This webinar addresses recent changes in the compliance environment. It will also discuss the process for evaluating compliance department structure and the goals of compliance restructuring.

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.

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.

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.

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.

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.

Learn how best to identify, mitigate and make accurate disclosures of conflicts of interest.

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.

This webinar will focus on the effective crisis communication strategies. Attendees will learn best practices to protect their organization’s brand in the time of crisis.