Compliance Training Webinars for Regulated Industries

This training program will explore the operational implications of dealing with heightened-risk categories such as PEP screening at the heels of the Panama Papers controversy. The program will also discuss the current changes in the marketplace and expose the new faces of AML and examine areas of PEP regulation that pose present and future challenges for regulated businesses.

This training program will cover the basics of how to craft an effective commercial loan write-up. Two standard commercial loan write-ups will be presented in order to illustrate the concepts.

This webinar training analyzes critical components of a Cyber Incident Response Plan and provides recommendations on how to prepare all staff for the inevitable situations. From internal considerations to your external solution providers, get a realistic view of how a cyber-attack can quickly spiral a typical day into complete chaos and cause significant losses without preparation. Attendees will receive a Cyber Incident Response Plan checklist to help their Incident Response Team analyze or develop a Plan.

Learn how to conduct a property condition assessment (PCA), schedule the field work, conduct the field work, and write the final report. The course will present techniques for developing cost estimates within a reasonable time frame. It will also discuss each of the components of ASTM E 2018 - 15 Standard Guide for Property Condition Assessments.

This webinar will review current requirements of the Bank Secrecy Act, why to comply, how to comply, reporting techniques and current positions by the IRS and FinCEN.

This webinar training will explain the process of internal controls in account payable operation as per COSO framework, why it is required and how to effectively implement it across organisation. Participants will learn how to master internal AP controls : preventive and corrective, to mitigate risk, ensure information system security and prevent fraud.

In this financial forecasting webinar learn how to use Excel’s powerful sensitivity tools and design efficient forecasting models. Application of scroll bars, goal seek, data tables, solver and scenario manager. Also received bonus material containing the demo model, complete with instructions for each of these tools!

This training on detecting and preventing accounts payable payment fraud will explain the several types of payment fraud that occur in today’s business environment. It will provide you the tools to safeguard your accounts payable process from potential fraud.

This training program is designed to ensure that businesses maximize the available deductions for travel and entertainment expenses. It is important to remain current on these regulations as the Internal Revenue Service focuses a fair amount of effort in this area during audits.

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 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 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.

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.

Learn what a Third-Party Sender (TPS) is and how this impacts you. Take this training to understand how to determine if you have a Third-Party Sender relationship, the initial, basic registration information to submit to NACHA and the additional registration requirements if requested.

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.

FinCEN is issuing final rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: banks; brokers or dealers in securities; mutual funds; and futures commission merchants and introducing brokers in commodities. The rules contain explicit customer due diligence requirements and include a new requirement to identify and verify the identity of beneficial owners of legal entity customers, subject to certain exclusions and exemptions. This training program will walk attendees through the new rules and how to implement them.

This webinar discusses 10 areas of wage and hour and tax law that when misunderstood or applied incorrectly causes employees to be paid or taxed incorrectly with the resulting penalties, fines and interest levied on the employer. Some of these wage and hour law misconceptions can even cause the employer to overpay employees forcing unnecessarily higher labor costs.

Interviewing is a craft that involves applying proven and practiced steps along with skilled communication. This training program will discuss the art of human interaction to help achieve successful interview results. It will help participants in gaining the trust of the interviewee and in encouraging truthful responses.

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.