ComplianceOnline

SOX Regulatory Compliance Training - Live Webinars, Recordings & CDs

Internal Controls - What Every Manager Needs to Know
19
/ Dec
Wednesday-2018

Internal Controls - What Every Manager Needs to Know

  • Speaker: Lynn Fountain
  • Product ID: 703148
  • Duration: 90 Min
This webinar highlights the importance of management’s role in instilling proper internal controls within their processes. In this session, instructor will explore methods to educate management on their individual responsibilities for control processes and the variance between a control malfunction and control design issues. Participants will be provided with tools to help management better understand their role in internal control and effectively execute their obligations. The session will also review the impending COSO changes and examine how they may impact your organization.
* Per Attendee
$199
Supply Chain and Product Compliance Using RoHS, REACH, and Conflict Minerals
23
/ Jan
Wednesday-2019

Supply Chain and Product Compliance Using RoHS, REACH, and Conflict Minerals

  • Speaker: Kelly Eisenhardt
  • Product ID: 703871
  • Duration: 60 Min
This training program will offer an in-depth look at three important product regulations focused on materials compliance and ethical sourcing, along with the tools and policies needed to implement them.
* Per Attendee
$149
The SEC's New Whistleblower Rules: Implications for Your Company's Compliance and Fraud Program
6
/ Feb
Wednesday-2019

The SEC's New Whistleblower Rules: Implications for Your Company's Compliance and Fraud Program

  • Speaker: Craig M Taggart
  • Product ID: 703916
  • Duration: 90 Min
This training program on the SEC’s new whistleblower rules will detail a fraud examiner’s role in whistleblowing and offer guidance for potential whistleblowers. The regulations the SEC issued governing the whistleblower program are dense, virtually incomprehensible to non-lawyers, and full of legal traps to gaining an award. This course will offer attendees a clear understanding of the regulations as they stand now.
* Per Attendee
$199
Recorded/CD
Operational Risk Scenario Analysis

Operational Risk Scenario Analysis

  • Speaker: Mario Mosse
  • Product ID: 703751
  • Duration: 90 Min
Scenario analysis complements the risk assessment process, which often overlooks material events that only happen infrequently, such as natural disasters, acts of terrorism, and data breaches. This webinar will highlight the importance of scenario analysis, its objectives and expected benefits, and the ideal methodology for quantifying and reporting operational risk scenarios.
CD/Recorded
$249
Recorded/CD
Compliance Department Restructuring with the New Regulatory Demands

Compliance Department Restructuring with the New Regulatory Demands

  • Speaker: Carlo Chalhoub
  • Product ID: 705454
  • Duration: 60 Min
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.
Recorded/CD
COSO Integrated Guidance: Effective Internal Control for Successful Corporate Management

COSO Integrated Guidance: Effective Internal Control for Successful Corporate Management

  • Speaker: Lynn Fountain
  • Product ID: 704696
  • Duration: 90 Min
This training program will highlight the importance of management’s role in instilling proper internal controls within their processes. Although the Sarbanes-Oxley Act made it abundantly clear that internal controls is the responsibility of management, many companies still view those processes as the responsibility of the auditors or quality assurance individuals. The impending release of the new COSO Framework clearly outlines the importance of understanding all aspects of internal control and ensuring those elements are properly working together in an effective manner.
Recorded/CD
Achieving Sustainability Results with ISO 26000

Achieving Sustainability Results with ISO 26000

  • Speaker: Kelly Eisenhardt
  • Product ID: 705079
  • Duration: 60 Min
The International Standards Organization (ISO) defined the ISO 26000 guideline for the use and planning of all structured, measured, and monitored social responsibility programming. This standard enables companies to initiate and track performance of CSR programs by focusing on the triple bottom line (TBL) - people, planet, and profit. This training program will offer in depth look at the key components of the ISO 26000 guideline and best practices to implement and support a social responsibility program.
CD/Recorded
$249
Recorded/CD
How to Establish an Effective Internal Control System

How to Establish an Effective Internal Control System

  • Speaker: David Sanders
  • Product ID: 705133
  • Duration: 90 Min
This webinar will enhance participants’ knowledge by detailing the elements of internal controls. 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 over all security and effectiveness.
Recorded/CD
The Internal Ratings Based Risk-Weight Formula

The Internal Ratings Based Risk-Weight Formula

  • Speaker: Fred Vacelet
  • Product ID: 705198
  • Duration: 60 Min
Within the same document recommending never to take up a model without its full analysis and justification, the Basel Committee demanded that banks take up the IRB formula, explained par. 272 of the Basel II original text. This formula has, since then, determined to a large extent the amount of regulatory capital in the financial system. This webinar training will break down the rationale and the limitations of this critical formula.
CD/Recorded
$179
Recorded/CD
Is Your Compliance Program Due for an Update?

Is Your Compliance Program Due for an Update?

  • Speaker: Jim Kandler
  • Product ID: 705085
  • Duration: 60 Min
This training program will highlight common issues that occur over time with material compliance programs, and demonstrate how to address them. This can result in a more effective and responsive material compliance effort for your company.
CD/Recorded
$199
Recorded/CD
Corporate Governance and the Board of Directors' Role

Corporate Governance and the Board of Directors' Role

  • Speaker: Adam Kerns
  • Product ID: 705067
  • Duration: 60 Min
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.
CD/Recorded
$229
Recorded/CD
AML Risks in Correspondent Banking: What You Need to Know for 2017

AML Risks in Correspondent Banking: What You Need to Know for 2017

  • Speaker: Joe Soniat
  • Product ID: 704997
  • Duration: 60 Min
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.
CD/Recorded
$279
Recorded/CD
Ethics in the Financial Services Industry

Ethics in the Financial Services Industry

  • Speaker: Lisa Marsden
  • Product ID: 705053
  • Duration: 60 Min
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.
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
Recorded/CD
Reducing the Cost of RoHS and REACH Compliance Declarations

Reducing the Cost of RoHS and REACH Compliance Declarations

  • Speaker: Jim Kandler
  • Product ID: 705028
  • Duration: 60 Min
This training program will introduce different methods to improve existing declaration collection efforts. It will propose several practical methods a manufacturer might implement to make their material compliance efforts more effective.
CD/Recorded
$209
Recorded/CD
The Department of Labor's Fiduciary the New Final Rule - Best Practices for Conducting a Due Diligence and Reviewing the Best Interest Contract Exemption

The Department of Labor's Fiduciary the New Final Rule - Best Practices for Conducting a Due Diligence and Reviewing the Best Interest Contract Exemption

  • Speaker: Lisa Marsden
  • Product ID: 705021
  • Duration: 60 Min
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.
CD/Recorded
$179
Recorded/CD
The Overall Annual Compliance Review - Latest Advisers Act

The Overall Annual Compliance Review - Latest Advisers Act

  • Speaker: Lisa Marsden
  • Product ID: 705016
  • Duration: 60 Min
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.
Recorded/CD
Preparing a Financial Industry Compliance Manual and Code of Ethics

Preparing a Financial Industry Compliance Manual and Code of Ethics

  • Speaker: Lisa Marsden
  • Product ID: 704962
  • Duration: 60 Min
This training program will detail developing a compliance manual and a code of ethics for the financial industry, with the intent of clarifying the requirements of the Advisers Act. The instructor will also guide attendees on testing the manual, effectively managing it, and keeping it constantly updated.
Recorded/CD
Analyzing IFRS Financial Statements - What’s the Difference?

Analyzing IFRS Financial Statements - What’s the Difference?

  • Speaker: Mike Morley
  • Product ID: 704558
  • Duration: 60 Min
This training program will answer questions related to IFRS financial statements and compare them to GAAP based statements using numbers from examples that come from every-day life. The course will also analyze the four key principles of IFRS and the cash flow statement, and discuss using financial statement notes to decode the numbers.
CD/Recorded
$25
Recorded/CD
SOX: Internal Controls for Accounts Receivable

SOX: Internal Controls for Accounts Receivable

  • Speaker: Mike Morley
  • Product ID: 700307
  • Duration: 60 Min
This presentation will provide you with the tools you need to establish and maintain strong internal controls in the A/R department that meet Sarbanes-Oxley standards
CD/Recorded
$229
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