Sarbanes Oxley (SOX) Compliance Training

This webinar will discuss common deficiencies that are discovered in compilation and review engagements, as a result of peer review. It will explain the difference between minor deficiencies and major deficiencies. Instructor will discuss how to avoid these common mistakes and what the most common deficiencies are.

This training program will examine vendor/billing schemes that exploit payments process control weaknesses; latest electronic payments schemes (ACH hijacking, spear-phishing, social engineering); check counterfeiting, forgery and tampering schemes to be aware of; and, detecting common external payments schemes versus internal attacks.

This Internal Controls for Accounts Payable webinar will provide you with the tools you need to establish and maintain strong internal controls in the A/P department that meet Sarbanes-Oxley standards.

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.

In this fast-paced and informative training program, attendees will learn exactly what violates the Fair Debt Collection Practices Act (FDCPA) and other laws that lead to costly fines and judgments. The program will also overview consumer vs. commercial bankruptcy and the differences between Chapter 7, 11 and 13.

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.

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.

This webinar training will discuss how to create, test and implement an effective cyber Incident program to counter cyber threat and malware attacks. The Instructor will explain how to measure an organisation’s susceptibility to a cyber attack and will outline critical action areas in such event.

This training program will offer attendees an understanding of record schedule defensibility and best practices to take steps toward improvements. The IRS states entities need to be fully informed of the code relating to Record Retention and Destruction to determine what records are necessary to stay in compliance or face fines. According to IRS and state statistics of the entities audited over the past three years, 82% could not supply adequate records to pass an audit - resulting in substantial fines for non-compliance.

This training program will provide guidance in recognizing, investigating and reporting suspicious activities. It will also discuss instructions on implementing and maintaining an enterprise wide compliance program to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence to the regulatory authorities.

Wire transfer fraud has often rendered businesses and financial institutions helpless despite their best efforts to combat the threat. This training program will identify the red flags of common forms of wire transfer fraud and help understand how you can isolate your organization and help combat fraud. The webinar instructor will also review sound risk assessment practices to help minimize exposure.

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 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.

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.

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.

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.

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.