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Ethics and Compliance

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Privacy for Customer Contact Personnel

Describe the purpose of privacy safeguards in the financial services industry Define the terminology used in discussing privacy issues with consumers Explain the benefits of information sharing Use techniques to safeguard client information from pretext calling...
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$159

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0.70 hours
Start Date: Open enrollment

Bank Protection Act

Explain the Bank Protection Act Implement security procedures as set forth by the Bank Protection Act Explain the background, purpose, and requirements of the Bank Bribery Act.
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$159

USD

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1.20 hours
Start Date: Open enrollment

Anti-Money Laundering: Commercial and Private Banking

Recognize the extent of your anti-money laundering responsibilities Describe how money is laundered Explain the requirements of a Customer Identification Program (CIP) Explain how customer accounts are monitored for unusual activity Summarize the...
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$159

USD

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3.80 hours
Start Date: Open enrollment

Anti-Money Laundering: Securities Broker/Dealers

Recognize the extent of your money laundering responsibilities Describe how money is laundered Explain the requirements of a Customer Identification Program (CIP) Explain how customer accounts are monitored for unusual activity Summarize the reporting...
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$159

USD

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1.70 hours
Start Date: Open enrollment

Fair Credit Reporting Act

Describe the basic tenets of the Fair Credit Reporting Act
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$159

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2.50 hours
Start Date: Open enrollment

Implementing Basel II: Investment Banks

Describe how to decide on the right Basel II strategy Explain how to plan a Basel II compliance programme Describe how to develop a successful governance and roll-out framework Explain how to satisfy the regulators, analysts and, media
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$159

USD

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1.50 hours
Start Date: Open enrollment

Flood Disaster Protection Act

Describe the background and purpose of the Flood Disaster Protection Act Describe the circumstances when you must perform a flood determination Explain the types of loans that are subject to the mandatory requirement to purchase flood insurance Describe minimum flo
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$159

USD

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1.20 hours
Start Date: Open enrollment

Anti-Money Laundering

Understand how the money laundering process works from the criminal's point of view Be familiar with the anti-money laundering laws, rules and regulations that apply to financial institutions Be familiar with which forms must be filled in for compliance with report
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$159

USD

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2 hours
Start Date: Open enrollment

Expedited Funds Availability Act

Differentiate between next day, 2nd day, and 5th day availability schedules Explain the conditions allowed by Regulation CC for extended holds Describe general disclosure information required for all financial institutions Recognize proper placement of endorsements
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$159

USD

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1.30 hours
Start Date: Open enrollment

Electronic Fund Transfer Act - Regulation E

Explain the purpose and requirements of the Electronic Fund Transfer Act and Regulation E.
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$159

USD

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1.20 hours
Start Date: Open enrollment
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