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Seat Time: 2.25hrs - Desc:

This course will provide a general overview of the various organizations that make up the international Anti-Money Laundering (AML) collective. This course, which takes a look at organizations such as the Office of Foreign Assets Control (OFAC), the Financial Action Task Force (FATF), and the Gulf Cooperation Council (GCC), will familiarize the learner with the many efforts made by the global community to combat money laundering and terrorist financing. Upon completion of this course, the learner will be able to:

  • Understand the purpose of several international AML organizations.
  • Name several laws and directives that govern the global financial community.
  • Better serve in his/her role as an AML professional.
Seat Time: 0.25hrs - Desc:

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: 1.25hrs - Desc:

This course will introduce the learner to the role of Residential Mortgage Lenders and Originators (RMLOS) in remaining compliant with all AML laws and regulations. The course will define money laundering and will familiarize the learner with the various aspects of AML, including red flags, customer due diligence, and information sharing policies. After completing this course, the learner will understand:

  • How to identify the various red flags of money laundering.
  • How to implement an effective Customer Due Diligence program.
  • The RMLO’s specific roles in ensuring compliance with all aspect of AML policies.

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation I's relation to the issue and cancellation of capital stock. The course will discuss for the learner the requirements of Federal Reserve member banks. After completing this program, the learner will understand:

  • Actions established by Regulation I.
  • What a member bank must do when increasing or decreasing its permanent capitalization.
  • Reasons for cancellation of member bank's ownership of Reserve Bank stock.
Seat Time: 1.25hrs - Desc: This course will provide the learner with an introduction to the Gramm-Leach-Bliley Act (GLBA) and its various aspects regarding information privacy and security. After completing this course, the learner will understand:

  • The history and specific purposes of the GLBA.
  • What the privacy rule is.
  • What the safeguards rule is and what it does.

Seat Time: 2.5hrs - Desc:

This course will familiarize the learner with the crime of money laundering in particular to his/her position as a Trust Manager. This course will also provide a comprehensive overview of red flags and suspicious activity so that s/he may be able to recognize and report indicators. After completing this program, the learner will understand how to:

  • Recognize the red flags of money laundering.
  • Conduct Customer Due Diligence (CDD) practices and prevent money laundering at the organization.
  • Recognize the roles that agencies such as OFAC play with regard to creating effective AML guidelines for the organization.
Seat Time: 0.5hrs - Desc:

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 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.