Name | SKU | Description | Category | Additional data | ||
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AML Requirements for RMLOs |
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:
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Compliance & Regulatory | ||||
Regulation I: Issue and Cancellation of Capital Stock |
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:
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Compliance & Regulatory | ||||
Gramm Leach Bliley Act |
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:
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Compliance & Regulatory | ||||
AML Requirements for Trust and Investments |
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:
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Compliance & Regulatory | ||||
The Volcker Rule |
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:
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Compliance & Regulatory | ||||
Swap Dealers |
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:
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Compliance & Regulatory | ||||
AML Requirements for Universal Bankers |
Seat Time: 2.5hrs - Desc: This course will introduce the learner to Anti-Money Laundering (AML) laws and regulations that the institution must adhere to. 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. The course will also focus on how AML requirements pertain to the role of the Universal Banker at the financial institution. After completing this course, the learner will understand:
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Compliance & Regulatory | ||||
IRAs |
Seat Time: 1hrs - Desc: This course will include information on the history and development of Individual Retirement Accounts (IRAs). This course will provide a brief overview of the various types of IRAs that exist, and will provide a list of frequently asked questions that the learner should be able to answer. After completing this program, the learner will be able to:
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Compliance & Regulatory |