Compliance Training Webinars for Regulated Industries

This webinar will discuss the significance, nature and types of KRIs. The instructor will discuss how to develop, evaluate and implement KRIs in accordance with organization’s risk culture and create strategies for effective reporting of risk indicators that lead to management action.

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.

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.

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.

This webinar will help you how to improve the effectiveness of recalls and enhance consumer safety, as well as protecting the company’s reputation.

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.

Learn an effective approach to practice risk management process that is proactive, strategic and top-down in nature to anticipate, avoid and mitigate potential losses from threats and risks that are present in the real world regardless of any organization’s wishes.

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.

Learn corporate policy definition and assignment with ramifications for both. We'll discuss how to identify and document management review controls, why a fine tuned policy and procedure are critical to business operations and how to obtain the real root cause of cyber security incidents effectively.

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 provide an overview of SEC Whistleblower Rules such as False Claims Act, Dodd-Frank, Sarbanes-Oxley and Commodity Exchange Act. It will also discuss best practices on how to mitigate damages from an actual or purported whistleblower.

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.

This training program will help identity frauds that lead to tax refund fraud and discuss funds availability exceptions. It will also discuss common non-post issues, the IRS Opt-In Program and eLeads, refund handling procedures, remedial actions, and suspicious activity reports.

This webinar will cover background information and history of clinical research and drug development, followed by review of the federal regulations, International Council for Harmonisation (ICH), and Good Clinical Practices (GCP) that apply to clinical research.

Gain a better understanding of cyber security incident management that is proactive versus reactive, learn methods to minimize business disruption and damages, and the impact and urgency on customers and the business for risk and costs.

This webinar will explain tools and tips for conducting internal investigations. Attendees will learn how to conduct effective witness interviews, how to draft comprehensive investigative reports and how to report evidence of fraud to law-enforcement authorities.

This training program will help attendees understand how policies created to help keep costs low and net earnings up could create a disparate impact situation in your organization. Attendees will also learn the nuances with notification requirements especially related to incomplete applications.