Compliance Training | Regulatory Compliance | Edcomm Group
This course will introduce the learner to the USA PATRIOT Act. This course will also detail the Act's impact, including the laws amended by the Act. After completing this course of study, the learner will be able to:
- Understand the history and purpose of the USA PATRIOT Act.
- Explain the functions and provisions of the Act.
- Adhere to the regulations mandated by the Act.
This course describes the provisions of the Volcker Rule, a rule prohibiting proprietary trading by financial entities. The course provides information on the development timeline of the Volcker Rule, the rule’s impact, exemptions, and prohibited and permitted activities and investments. Upon completion of the course, the learner will be able to:
- Properly implement the Volcker Rule in his/her financial institution.
- Understand the provisions and exemptions of the Volcker Rule.
- Adhere to the implementation and development timeline of the Volcker Rule.
Seat Time: 0.25hrs - Desc:
This course will discuss the components of the SAFE Act. This course will also analyze the Nationwide Mortgage Licensing System and Registry. After completing this program, the learner will understand how to:
- Register names and fingerprints with a national MLO database.
- Implement various provisions and procedures as per the SAFE Act.
- Adhere to the requirements of the SAFE Act.
Seat Time: 1.25hrs - Desc:
This course will introduce the learner to the FFIEC’s Business Continuity Planning Booklet. This course will also define business impact analysis, risk assessment, and more. After completing this program, the learner will understand how to:
- Conduct business impact analysis as part of a business continuity plan.
- Assess and manage risk to identify realistic threat scenarios and implement disaster planning.
- Apply risk monitoring and testing to ensure that the bank’s business continuity planning process remains viable.
This course will familiarize the learner with the Telephone Consumer Protection Act, which was passed in response to consumer concerns about the growing number of unsolicited telephone marketing calls and the increasing use of automated and prerecorded messages. After completing this course, the learner will understand:
- The specific purposes of the Act.
- The various changes to the Act that have been implemented since 2012.
- How the Do-Not-Call List functions.
Seat Time: 0.25hrs - Desc:
This course provides information about “swap dealers” and “security-based swap dealers.” This course will use the definitions issued by the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC). Upon completion of this course, the learner will be able to:
- Understand the terms and guidelines for swap dealers and security-based swap dealers.
- Abide by designated exemptions and exclusions.
- Understand under which category the firm falls based on institution activities.
Seat Time: 3.75hrs - Desc:
This course will define and introduce the learner to sexual harassment and how and why it needs to be avoided at the institution. The course will familiarize the learner with sexual harassment laws and regulations, in addition to outlining the types of sexual harassment and behaviors that can be considered harassing. After completing this course, the learner will understand:
- The potentially devastating effects that sexual harassment can have on employees and the institution as a whole.
- What are and are not appropriate workplace behaviors.
- How to respond to and report sexual harassment at the institution.
This course will provide an overview of the history of the Servicemembers’ Civil Relief Act (SCRA) and an individual’s eligibility. This course will also discuss lease and insurance products, as identified in the Act. After completing this program, the learner will understand how to:
- Determine an individual’s eligibility for the benefits under the Act.
- Identify which lease and insurance products are affected by the Act.
- Analyze court actions which may be stayed, postponed, or suspended.
