Financial Services and Trading
Three Key Risk Assessments in Your ERM Program – ERM, IT, and Internal Controls
Financial Institutions provide great value to the American economy. But that value comes with risks. Strategic-minded institutions do not strive to eliminate risk or even to minimize it – they strive to manage risk at the enterprise-wide level. These institutions seek to manage risk exposure so that, at any given time, they incur just enough of the right kind of risk—no more, no less—to effectively pursue t..
Tools and Techniques to Avoid HMDA Reporting Mistakes
This webinar will provide valuable assistance to all personnel with HDMA reporting responsibilities in banks or other mortgage issuing institutions: Compliance with regulatory requirementsWho must reportWhat must be reportedWhat kind of errors are commonWhat errors cause the biggest regulator reactionsGeneral concepts of error reductionHDMA reporting used to have a very high error rate. This has been less..
Treasury Management – Liquidity, Interest Rate, Foreign Exchange and Capital Risk Management
The Treasury function is one of the most important units within the bank and nonbank corporations alike. Treasury management can be very complex in nature and, given the size and nature of an organization’s balance sheet, it can be one of the most demanding areas of management within the firm. This presentation provides for a thorough understanding of the Treasury Management function, each area of risk unde..
UDAAP And The Risks
During this webinar, we will review a definition of an unfair act or practice, and unfair and deceptive credit under UDAAP, and unfair debt collection under the Fair Debt Collection Practices Act. Due to the ever-changing regulatory landscape for financial institutions, rules & regulations that address UDAAP are important to understand. Discrimination is becoming a topic that learners need to understand..
Understanding BSA/AML: The Basics
In this session, we will explore the basics of the Bank Secrecy Act and learn how Anti-Money Laundering regulations impact day to day operations. We will discuss FinCEN’s role in the AML community and we will learn the different pillars of a strong BSA/AML compliance program. You will learn the different stages of money laundering and how financial service businesses can implement policies and procedures to..
Understanding Your Profit & Loss Statement and EBIT/EBITDA
If you don’t prepare your own Profit & Loss Statement, you may not understand what yours are trying to communicate about your business’ financial performance. Many of the business owners and senior executives I’ve worked with over the past 10 years came to me with stacks of reports they never even looked at because none of it made any sense to them! Understanding your P&L’s is vital to small busines..
Wire Transfer Fraud–Detection and Mitigation
This training program will discuss common forms of wire fraud such as account takeover (consumer, corporate, and institution internal accounts); false invoices/money mules and advance fee frauds; business email compromise; and supply chain fraud. It will also discuss wire fraud detection, fraud mitigation, and sound business practices to thwart attempts. Every industry is prone to wire transfer ..
Writing Focused, Credible and Authoritative Audit Observations
This webinar will provide the basic principles for writing effective audit observations. The audit observations represent the result of weeks of reviews, analyses, interviews, and discussions. It is used to provide important information to management on the area you reviewed. And, more importantly, it provides details to management on significant issues that need to be addressed. How well you communicate th..