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Writing Effective Audit Observations
The key to writing an effective audit observation is having a comprehensive structured process. The Institute of Internal Auditors recommends a process known as the 5Cs: Criteria Condition Cause Consequences (Effect) Corrective Action (Recommendation) ...
- Basic & Intermediate
- 90 Mins
- Jonnie T. Keith
- Aug 21, 2019
AML Model Validation: A Critical Need in the New Regulatory Environment
This training program will discuss the history and origin of a model validation. It will also discuss the requirements by the OCC for a model validation, and what exactly a model validation should include. The session will also analyze the elements of a model ...
- Basic & Intermediate
- 60 Mins
- Justin Muscolin
- Aug 21, 2019
Regulatory Compliance for Banks – Practical Insight to Decrease Scrutiny from Examiners and Regulators
Regulators have become more focused than ever to ensure financial institutions are operating with the consumer in mind. This has been an area of focus during examinations over the past year and will continue with the political environment in mind.
- Basic & Intermediate
- 60 Mins
- Justin Muscolin
- Aug 23, 2019
GDPR & California Consumer Privacy Act
During this session we will discuss GDPR & California Consumer Privacy Act (release 2020). Why it’s important and also, why are stricter rules and regulations being created. Is it with the public in mind?
- Basic & Intermediate
- 60 Mins
- Justin Muscolin
- Aug 27, 2019
Writing an Effective Coverage Letter - Analyzing the Facts, the Law and the Insurance Policy
In this training program, attendees will understand the necessity of writing a coverage letter. Attendees will understand how to utilize the facts and communicate to the insured the need for more information when there is insufficient information to make a cov ...
- Basic & Intermediate
- 60 Mins
- Marc Jorge Estr
- Sep 04, 2019
Understanding Operational Risk Management
The Basel Accords requirements regarding operational risk. Techniques that are used for assessing, managing and mitigating operational risk Understanding the link between Operational Risk Management (ORM) theory and practice Receive guidance in setting-o ...
- Basic & Intermediate
- 90 Mins
- Stanley Epstein
- Sep 05, 2019
FinCEN's New CDD Rule - The New Fifth Prong of the AML
The FinCEN has issued substantial new AML requirements focused on a major expansion of Know Your Customer into what is now Customer Due Diligence, CDD. This webinar will present various aspects of the requirements.
- Basic & Intermediate
- 60 Mins
- Jim George
- Sep 10, 2019
What It Takes to be the Auditor-In-Charge
The success of an audit engagement will often depend on how well the AIC carry out those functions.This webinar will help you understand the skills needed and the responsibilities of the AIC.
- Basic & Intermediate
- 90 Mins
- Jonnie T. Keith
- Sep 11, 2019
Supply Chain Finance Primer
This session will examine the origins of supply-chain finance, the current state, and the projected future and its impact on importers, exporters, and banks.
- Basic & Intermediate
- 90 Mins
- Stanley Epstein
- Sep 12, 2019
How to Disposition Possible hits from Sanctions hits
This course will discuss procedures and processes your BSA department can employ when your institution is clearing and disposing alerts for potential hits identified by your screening process related to companies, individuals, and countries identified by gover ...
- Intermediate
- 60 Mins
- Thomas Nollner
- Sep 17, 2019