"SEC Compliance regulations training delivered by leading experts through webinars. This section contains compliance training related to regulations formulated by Securities and Exchange Commission industry in different areas - Internal Controls, Financial Reporting, PCAOB."
This webinar on SEC's revised Whistleblower Rules will outline key changes and focus on the effects these new rules will have on your organization's internal compliance and fraud investigations.
The training supports SOX Compliance (particularly Section 30 as it pertains to anonymous hotlines), and conforms to key criteria of the revised US Federal Sentencing Guidelines.
This webinar will focus on AML issues relevant to non-bank financial institutions, such as insurance companies, capital market intermediaries, pension funds, etc.
The presentation builds the case for the expansion of the traditional role of the fraud examiner moving beyond just looking at the financial impacts of fraud.
Dan Swanson
Dan Swanson CMA, CIA, CISA, CISSP, CAP President and CEO, Dan Swanson & Associates is a 24-year internal audit veteran, who most recently was director of professional practices at the Institute of Internal Auditors. Prior to the IIA, Swanson was an independent management consultant for over 10 years.
