Performing BSA/AML/OFAC Risk Assessments: Components, Techniques and Best Practices
OVERVIEW This 60-minute webinar will summarize the importance of performing BSA/AML/OFAC risk assessments properly. It will discuss the various components ...
Tag: financial crisis
Understanding Consumer Credit Reporting Obligations: Metro 2, E-OSCAR and New Tougher FCRA/CFPB Compliance
OVERVIEW Understand your potential legal risk and compliance obligations with respect to consumer credit reporting. Many financial institutions which furnish ...
Consumer Credit Reporting: Metro 2, E-OSCAR and FCRA Compliance
Many financial institutions which furnish consumer credit information on a periodic basis to Credit Reporting Agencies (CRAs) experience challenges in ...
Understanding Pay Equity: What an Employer Needs to Know About Pay Discrimination, Pay Gap, New EEO-1 Requirements, Revised EEOC/OFCCP Legislation and More
OVERVIEW In this webinar, you will learn about your obligations as an employer in achieving pay equity in your workplace ...
Combating Regulation by Enforcement: A Strategic Framework for Responding to State Agency Overreach
State agencies are pushing the envelope with respect to their regulatory enforcement authority. Venable’s Randy Seybold and Andrew Kay explore ...
Workplace harassment complaints: how to investigate effectively and why? (2-Hour Boot Camp)
As per the EEOC regulations employers receiving a complaint, or otherwise learning of alleged harassment in the workplace, must investigate the matter promptly ...
Excel Pivot Tables 101: creating insightful reports for business intelligence
With Excel Pivot Tables you can quickly and easily build business reports, dashboards and charts that help you summarize, analyze, ...
P2P Lending: Risks and Business Models
Peer-to-Peer (P2P) lending is a relatively recent financial innovation that has taken the lending market by storm and fueled financial ...
Does ERM Really Matter in Your Organization?
Maturing Risk Management in Light of COSO Updates Recent updates to the COSO framework serve to clarify the significance of ...
Reinventing Financial Compliance
Reducing Cost and Complexity, Increasing Accuracy and Reliability As we mark the 10-year anniversary of the 2008 banking crisis – ...
Managing the Effects of Short-Termism on Risk Management
6 Recommendations to Maintain Effective Risk Oversight As the financial crisis thoroughly demonstrated, an acute focus on short-term gains can ...
5 Strategies CEOs Can Apply to Avoid Record-Breaking FINRA Fines
The prospect of record-breaking fines for noncompliance with regulations set by the Financial Industry Regulatory Authority (FINRA) continues to loom ...
- Crystal World Holdings, Inc., et al. August 19, 2019SEC Charges Issuer for Misleading Investors in the Sale of Unregistered Securities
- Scott P. Strochak August 19, 2019SEC Charges Head Sales Agent in South Florida Alternative Investments Scheme
- Samuel Brown, et al. August 16, 2019SEC Obtains Final Judgment Against Former Stock Promoter
