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Compliance Training | Regulatory Compliance | Edcomm Group

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Seat Time: 1hrs - Desc:

This course will provide the learner with an introduction to and overview of the Sarbanes-Oxley Act of 2002 (SOX). The course will detail the history and purpose of the Act and will also provide insight into the types of publically held companies that SOX covers. After completing this course, the learner will understand:

  • Requirements imposed by SOX that must be met by the organization.
  • The specific responsibilities of independent auditors in making reports.
  • How the additional sections of SOX affect the organization.
Seat Time: 0.5hrs - Desc:

This course will introduce the learner to the Right to Financial Privacy Act (RFPA) and the provisions it establishes. The course will also discuss the relationship that the Act has in regard to the financial institution and the requirements that the institution must follow. After completing this program, the learner will understand:

  • The purpose of the RFPA.
  • When an institution can officially release a customer's records.
  • Exceptions to the types of information an institution can release without a specific request or customer consent.

Seat Time: 3hrs - Desc:

This course will introduce the learner to Regulation Z, which implements the Truth in Lending Act (TILA). The learner will be provided with a detailed overview of the ways in which TILA affects credit extensions and requires disclosures to be sent to consumers. After completing this program, the learner will understand:

  • Distinction between open-end and closed-end credit requirements.
  • Definition of "home equity plans."
  • Relation of Credit CARD Act and Higher Education Opportunity Act to truth in lending.

Seat Time: 0.25hrs - Desc:

This course will describe Regulation YY, which implements the Enhanced Prudential Standards and early remediation requirements mandated by Section 165 of the Dodd-Frank Act. This course will further explore the final enhanced prudential rule, capital requirements, and stress testing requirements. Upon completion of this course, the learner will understand:

  • The repercussions for FBOs of failing to meet capital adequacy standards
  • The FBO stress testing requirements mandated by the FRB
  • The changes implemented by the Final Enhanced Prudential Rule

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation X's relationship to Regulation T and Regulation U. The course will also discuss when Regulation X is applicable to purchasing securities credit and when a borrower is subject to Regulation X. After completing this program, the learner will understand:

  • Purpose of Regulation X.
  • Definition of a "U.S. Person."
  • When a U.S. Person may not participate in a credit transaction that is collateralized by margin securities.
Seat Time: 0.25hrs - Desc:

This course provides information about Regulation W, Transactions between Banks and Their Affiliates. This course will describe the provisions of sections 23A and 23B as well as the attribution rule and collateral requirements. Upon completion of this course, the learner will be able to:

  • Understand the terms and guidelines for financial transactions between banks and affiliates.
  • Abide by designated quantitate limits and collateral requirements.
  • Help protect the bank from the misuse of its resources and potential losses.

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation U, which deals with extending margin stock. The course will also discuss for the learner what qualifies as "margin stock" and "indirectly securing credit." After completing the program, the learner will understand:

  • Definition of "maximum loan value."
  • Requirements of the bank lender.
  • When non-bank lenders must comply with Regulation U.

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation T, which implements the Securities Exchange Act. The course will introduce the learner to the purpose of Regulation T as well to restrictions on extending credit. After completing this program, the learner will understand:

  • When Regulation T applies.
  • What margin securities are included.
  • Limitations on securing funds under Regulation T.
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