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Audit and Compliance

  • Improve Lending Portfolio Performance with Data Optimization Improve Lending Portfolio Performance with Data Optimization Spencer Robinson, Head of Strategy, Kabbage Recorded: Sep 22 2016 61 mins
    The financial crisis brought about huge losses to a large number of financial institutions and exposed many of the internal inefficiencies leveraged to manage risk and data within and across divisions. Today, things have changed dramatically. Despite the many regulatory changes over the years, marketplace lenders have been extremely successful implementing predictive modeling and data aggregation to assess consumers’ and small businesses’ financial health.

    New lending technologies allow lenders to improve customer satisfaction by creating a personalized and unique customer experience. By taking into consideration personal, transactional, application, and product-selection data from financial institutions, lenders are able to leverage this data for other opportunities such as cross-selling credit products during the loan-application process. These innovations ultimately provide borrowers with an intuitive and simplified borrowing process.

    In this webinar you’ll:

    * Get insight into the trends and opportunities driving change in the lending and credit risk management industries
    * Explore more accurate predictive ratings models based on alternative data sets
    * Discover the future of commercial retail lending and credit risk management
    * Learn how to improve credit decisions, collections, and portfolio management using new technologies and data analytics

    Speakers:
    * Spencer Robinson, Head of Strategy, Kabbage
    * Sherif Hassan, Founding CEO, Herio Capital
    * Saurabh Sharma, Founder and CEO, Indus Insights
    * Terry McKeown, Practice Manager, Credit Analytics, Envestnet | Yodlee
    * Evan Schuman, Moderator, VentureBeat



    Join us on September 22nd at 10 am PT/1 pm ET for an exciting FREE discussion on the trends and opportunities driving change in lending and credit risk management.

    This webinar is sponsored by Envestnet | Yodlee
  • Beneficial Ownership - Why the Devil is in the Detail Beneficial Ownership - Why the Devil is in the Detail Melaine B. Campbell, Managing Director of Global Compliance Solutions, Dun & Bradstreet Recorded: Sep 20 2016 36 mins
    Do you really know your customers, your vendors, and your third parties? Melaine Campbell, Dun & Bradstreet's Managing Director explains why it's important as ever to know who you are really doing business with.

    Beneficial Ownership and Ultimate Beneficial Ownership (UBO) identification and verification are critical requirements for combating everything from financial crime, tax evasion and corruption, fraud and money laundering, to trafficking and terrorist funding.

    In this essential D&B Perspectives Webinar you will learn:
    - The most important regulations and challenges are around Beneficial Ownership
    - Which are the best practices to safeguard your business
    - How accurate data can keep your business safe
    - How to accelerate customer and third party due diligence
    - How D&B can help you uncover who you really are doing business with

    Melaine Campbell is a global authority and writer on business compliance. An experienced lawyer and former prosecutor in the US legal system she has an extensive background in Global Anti-bribery / Anti-corruption and Anti-money laundering and is a widely regarded industry subject matter expert speaking regularly on compliance issues around the world.
  • Innovative Logistics Strategies for Omnichannel Fulfillment Innovative Logistics Strategies for Omnichannel Fulfillment Geoff Nairn, Enterprise Solutions Specialist at Openbravo Recorded: Sep 15 2016 34 mins
    Omnichannel fulfillment is an area where bricks-and-mortar retailers have a unique advantage over e-tailers. They can fulfill orders and handle returns from stores to reduce shipping costs and times, and capture orders in any channel, regardless of that channel’s ability to fulfill the order. To support these new cross-channel fulfillment scenarios, retailers must overhaul their IT systems and logistics to gain a single view of inventory across the entire distribution network.

    What Will You Learn?
    In this webinar we highlight how consumers' heightened expectations in an omnichannel era are forcing retailers to improve and innovate fulfillment. For example, the growth of buy online pickup in store (BOPIS) responds to consumers’ demands for convenience and instant gratification. But many retailers have struggled to do omnichannel fulfillment well, so we explain what you need to be successful in terms of technology, logistics and supply chain management.

    Who Should Attend?
    Roles with business responsibility in business processes in the Retail industry, for instance, Marketers, Store Managers, CIOs, CMOs, Logistics Managers, etc.
  • Foreign Banks Raising Capital in the US Foreign Banks Raising Capital in the US IFLR, Morrison & Foerster Recorded: Sep 1 2016 89 mins
    Foreign banks are increasingly looking to diversify their financing options. With careful planning, they can access US investors without subjecting themselves to the securities registration requirements applicable to public offerings, or the ongoing disclosure and governance requirements applicable to US reporting companies. This webinar will explain how non-US banks can pursue these funding avenues. Topics of discussion will include:

    •Issuances exempt from registration under Rule 144A;
    •Issuances that rely on registration exceptions provided by Securities Act Section 3(a)(2) for securities offered or guaranteed by banks;
    •Setting up a Rule 144A or bank note program for straight debt;
    •Issuing contingent capital or other securities convertible into equity upon the occurrence of a non-viability event;
    •Yankee CD programmes; and
    •Banking and securities regulatory requirements to consider before setting up an issuance program.

    Speakers:

    Anna Pinedo, Partner, Morrison & Foerster
    Bradley Berman, Of Counsel, Morrison & Foerster
    Tom Young, Managing editor, IFLR
  • Emerging Issues and Trends in FCPA and Global Anti-Corruption Programs Emerging Issues and Trends in FCPA and Global Anti-Corruption Programs Steven Parker, Managing Director-Experis Hong Kong/AsiaPac; Ed Williams, Sr. Manager-Experis Finance Risk Advisory Services Recorded: Aug 31 2016 61 mins
    The Foreign Corrupt Practice Act (FCPA) is here to stay. So, too, is the expanding landscape of anti-corruption regulations, enforcement and media scrutiny around the world. Today, more than ever, companies operating domestically and internationally should understand their corruption risks and have effective programs in place to mitigate those risks. This webinar goes beyond an overview of the FCPA to a practice discussion of what your organization can do to help provide senior leadership, the Board, investors, customers and other stakeholders assurance your company is operating ethically and corruption-free across the globe.

    After attending this webinar, you will be able to:
    •Describe the ever changing landscape of anti-corruption legislation and enforcement around the globe
    •Help your organization assess the design and effectiveness of your existing FCPA and global anti-corruption programs against regulatory requirements and leading compliance practices
    •Develop a comprehensive global anti-corruption risk assessment model tailored and scaled to fit your organization
    •Learn of various tools and resources available to assist in your global anti-corruption compliance efforts
    •Understand the specific and unique risk landscape of doing business in China
  • RegTech Webinar Series RegTech Webinar Series Shane Brett Recorded: Aug 31 2016 17 mins
    Regulatory compliance is one of the biggest immediate challenges affecting the financial services industry today. Many market participants are unsure how to meet constantly evolving reporting requirements or how to move to an open API framework in a secure and compliant way.
  • Accelerate Sales Productivity & Close More Deals with Salesforce + DocuSign Accelerate Sales Productivity & Close More Deals with Salesforce + DocuSign Ashley Smith, SR AE, DocuSign, Harel Shaked, Technical Project Manager, Outbrain Recorded: Aug 30 2016 24 mins
    Fully integrated with Salesforce, DocuSign helps users close more deals, faster. Your customers can sign contracts within minutes from anywhere, anytime and on any device. Sending a contract for electronic signature from Salesforce is simple: just click “Send with DocuSign” from any object. You can even generate and send contracts synced with data from Salesforce. When you automate time-consuming manual workflows, you eliminate rekeying of data and increase your productivity.

    Join DocuSign and Outbrain, the global leader in content marketing, for a compelling webinar presentation and discussion.

    This webinar will feature guest speaker Harel Shaked, Technical Project Manager at Outbrain. He will review how Outbrain:
    - Improved sales productivity “with the click of a button” to send and sign contracts and agreements
    - Began closing deals within minutes from the time an order is sent
    - Lowered contract processing time by several hours

    Register now to learn how Outbrain utilized DocuSign to improve the efficiency and effectiveness of their sales operations.
  • Close More Business with DocuSign + Box Close More Business with DocuSign + Box DocuSign and Box Recorded: Aug 25 2016 37 mins
    The need to securely share your files quickly and easily while knowing what's going on with your business is extremely important. DocuSign's integration with Box allows you to select documents from Box you want to sign or send for signature and prepare it in just a few clicks. Completed documents automatically save back to Box and can be accessed from anywhere, on any device.

    Join this webinar to learn:
    - How to securely share files quickly
    - How to be more productive regardless of what device or application you're using.
    - How Salesforce automatically creates a workflow process with Box and DocuSign

    See how the DocuSign and Box integration can help you improve contract processes, keep all documents digital and help you get business done in 2016.
  • Efficiency & Scale in Middle Office Financial Services Efficiency & Scale in Middle Office Financial Services William Fearnley, IDC Financial Insights & Scott Jeschonek, Avere Systems Recorded: Aug 24 2016 59 mins
    Within the financial services industry, middle office analytics and simulations continue to grow in volume and complexity. Massive compute and storage demands cause strain on IT resources. While new technologies promise speed and scalability, evaluating this unique middle office environment requires a look at compliance, risk, and pricing analytics to determine potential gains and losses. In this webinar, IDC – Financial Insights Research Director, Bill Fearnley, looks at current middle office IT workflows supporting analytics, backtesting and financial modeling and evaluates a hybrid cloud infrastructure to support growing demands.

    In this webinar, you’ll:

    · Hear an IDC Analyst’s view on the current financial services IT environment
    · Learn of common challenges and approaches to combat growing strain on compute and storage infrastructure
    · Join in a discussion about the viability of enabling cloud services to expand compute and storage capacity
    · Gain guidance on how large hedge funds and investment banks are overcoming inherent cloud challenges like latency, data accessibility, and cost management
  • Identity & KYC Webinar Series Identity & KYC Webinar Series Jonathan Hardinges, Dominic Mac Recorded: Aug 4 2016 32 mins
    Rethinking the way we verify identity and how this feeds through to improved KYC, client onboarding and AML
  • Building a Successful Omnichannel Strategy for Physical Stores Building a Successful Omnichannel Strategy for Physical Stores Geoff Nairn, Enterprise Solutions Specialist at Openbravo Recorded: Jul 21 2016 36 mins
    Consumers are rushing to embrace the benefits of omnichannel retailing by choosing retail brands and businesses that have adapted the shopping experience to fit their connected "always on" lives. The physical store will continue to play a central if changed role in this new scenario and so bricks-and-mortar retailers need to leverage the strengths of their existing physical store network and their brand to offer customers a transformational shopping experience across all channels.

    What Will You Learn?
    In this webinar we highlight how retailers are using omnichannel to create differentiated shopping experiences designed to boost sales and margins, build loyalty and achieve a sustainable competitive advantage. We explain how information technology can help retailers successfully implement key omnichannel concepts in a way that builds on the advantages of an existing physical store network and evolves at a pace the retailer can decide.

    Who Should Attend?
    Roles with business responsibility in business processes in the Retail industry, for instance, Marketers, Store Managers, CIOs, CMOs, Merchandise Managers, etc.
  • Transaction Monitoring Model Basics: Management, Selection and Security Transaction Monitoring Model Basics: Management, Selection and Security Robert Colatarci, Peter D. Wild, Rebecca Schauer Robertson, and Shannon Cox Recorded: Jul 19 2016 58 mins
    Join Experis Finance for a complimentary, virtual panel webinar focused on whether or not your AML models for transaction monitoring perform according to regulatory expectations.

    Regulatory guidance requires independent validation of models used for risk management purposes, including AML systems. Greater emphasis is being placed on institutions to identify suspicious activity and ensure that the models used are effective. This panel, which includes both community bank and large bank perspectives, will discuss the independent validation of transaction monitoring systems, examples of typical validation findings, and the development of an action plan to address the results of a validation.

    After attending this webinar,

    •You will begin to understand the necessary components of Data Management as it relates to the set-up of Transaction Monitoring Systems
    •You will understand the current rules-based systems, the newer behavioral-based systems, and how they work
    •You will understand the basics of how to select a new transaction monitoring system
    •You will understand the next generation of Cyber Threats and how they differ from traditional attacks

    Presenters include:
    - Robert Colatarci, Senior Manager, Financial Institution Services, Experis Finance
    - Peter D. Wild, Internal Audit Partner, Wild AML Services
    - Rebecca Schauer Robertson, Sr. Vice President - Director of AML Compliance, South State Bank
    - Shannon Cox, Sr. Vice President - Enterprise BSA Officer, First National Bank of Santa Fe
  • Mobile Authenitication and Mobile Fraud Mobile Authenitication and Mobile Fraud Kevin Donovan, VP Americas, BioCatch Recorded: Jul 13 2016 38 mins
    As the mobile channel is increasingly becoming the preferred method of banking and payments, traditional biometric authentication solutions such as fingerprint, face & voice recognition introduce friction to the mobile user experience as they require the user's active involvement in the enrollment and the authentication phase. By looking at specific cognitive parameters, Behavioral Biometric Authentication allows banks to protect their users while not impacting the end user experience.
  • Planning for financings in volatile markets Planning for financings in volatile markets Anna Pinedo and James Tanenbaum, Morrison & Foerster; Brian Maier, Geoffrey Goodman and Gregory Ogborn, Wells Fargo Recorded: Jul 12 2016 102 mins
    Volatile capital markets and the rapidly changing financial landscape make it important for issuers to recognise changes quickly and adjust their financing strategies accordingly.

    For example, for an issuer that contemplated an IPO or is in the IPO queue, it is important to become familiar with other financing alternatives, such as venture debt or late-stage or mezzanine debt, as well as institutional equity private placements. Each of these markets is quite different. Familiarity with investor expectations and documentation requirements is essential in order to put your company in the best position to make crisp decisions. For issuers that already have their securities listed on a non-US securities exchange, which may offer limited liquidity, it may be time to consider undertaking a US IPO in order to establish a more liquid market for their securities. Already public companies considering their next capital raise also must be nimble - a PIPE transaction may be an attractive (and available) financing alternative. During this session, the speakers will discuss:

    •Current market conditions;
    •Financing alternatives for pre-IPO companies;
    •The market for venture debt;
    •The late-stage (or cross-over) private placement market;
    •Options to consider on the way to an IPO;
    •The ReIPO™
    •Financing alternatives for recently public companies; and
    •PIPE transactions and other financing alternatives.

    The webinar's speakers will be:

    -Geoffrey Goodman, managing director, equity capital markets, Wells Fargo
    -Gregory Ogborn, director, equity capital markets, Wells Fargo
    -Brian Maier, vice chairman, Wells Fargo
    -Anna Pinedo, partner, Morrison & Foerster
    -James Tanenbaum, partner, Morrison & Foerster
  • Sales Organization Best Practices with DocuSign Sales Organization Best Practices with DocuSign Brian Driver, IT Product Owner, Salesforce, Elizabeth Guerra, Sales Process Manager, LinkedIn Recorded: Jul 1 2016 42 mins
    DocuSign helps sales organizations close deals faster — anywhere in the world. DocuSign offers greater visibility into a deal’s status, the ability to collect information so you don’t need to rekey data, and the ability to send out reminders so you can spend more time selling and less time tracking down signatures.

    In this on-demand webinar, DocuSign customers will share their best practices for shortening the sales cycle and increasing the productivity of their teams by integrating DocuSign into the sales workflow.

    Featured Speakers:
    Brian Driver, Salesforce
    Elizabeth Guerra, LinkedIn
  • SIGNED, SEALED, DELIVERED: Solutions & Strategies for Better Contract Management SIGNED, SEALED, DELIVERED: Solutions & Strategies for Better Contract Management Andrew Bartolini, Chief Research Officer, Matthew York, Procurement Analyst Recorded: Jul 1 2016 62 mins
    Watch this on-demand webinar from Ardent Partners, DocuSign, and Safeway for a compelling webinar presentation and discussion. The focus is on the strategies and tools that modern CPOs and their procurement teams can adopt in the pursuit to become more agile, collaborative, and innovative throughout their supplier contract lifecycle.
  • Paperless Patient Care Top 10 Use Cases Paperless Patient Care Top 10 Use Cases Ellen Reilly, VP Healthcare & Life Sciences and Jennifer Royer SR. Manager, Product Marketing, DocuSign Recorded: Jul 1 2016 31 mins
    Join this webinar to learn about the top 10 use cases for going paperless with DocuSign to help save time with patient care.
  • The Digital Prescription for Life Sciences Operations The Digital Prescription for Life Sciences Operations Ellen Reilly, VP Healthcare & Life Sciences and Jennifer Roye, SR. Manager, Product Marketing, DocuSign r Recorded: Jul 1 2016 40 mins
    In an age when blockbusters are few and far between, pipeline acceleration and performance are the key to bottom-line profits. Where will you find the immediate savings you need in time and money?

    Watch this on-demand webinar to learn 10 ways to reduce cycle time and development costs with a fully digital solution. Topics covered include:

    -Top life sciences use cases
    -21 CFR Part 11 capabilities
    -Best practices for digital adoption
    -Global scalability and compliance
    -Industry and validation partners
  • Banking 2020,Lloyds & Metro Bank Discuss How Banks will grow their business Banking 2020,Lloyds & Metro Bank Discuss How Banks will grow their business David Harvey, Principal Consultant, Banking & Securities Practice,Dell Services Recorded: Jun 24 2016 65 mins
    David Harvey, Principal Consultant, Banking Practice EMEA, Dell Services and Daryl Wilkinson, founder of DWC and former Group Head of Innovation at Nationwide, chair a debate on how banks can grow their business in the new Digital Age.

    The expert panel features Tim Decker, Head of e-Payments Product at Lloyds, Martyn Atkinson, Director of Digital and Change at Metro Bank.

    Topics under discussion include:
    •Customer experience at the centre of a bank’s customer strategy – how is this different from customer service?
    •The new FinTech disruptors – what is different, if anything, about them today?
    •Distributed ledger technology (Blockchain) – is this really the biggest new threat to banks in the long history of banking?
    •How long before we see a Facebook, Google, Amazon or Apple start up their own bank?
    •What role, if any, does social media play in banking?
  • Free CISSP Training Class Free CISSP Training Class Cyber Management Alliance Recorded: Jun 23 2016 98 mins
    Free to view CISSP Identity and Access Management training. Learn from our CISSP expert trainer and practitioner, watch how he breaks everything down into easy to understand sections. This video covers

    Identity and Access Management (Controlling Access and Managing Identity)
    Physical and logical assets control
    Identification and authentication of people and devices
    Identity as a service (e.g. cloud identity)
    Third-party identity services (e.g. on-premise)
    Access control attacks
    Identity and access provisioning lifecycle (e.g. provisioning review)
    The CISSP candidate must have at least 5 years of paid full-time experience in 2 or more of the above (ISC)² CISSP CBK® domains to be recognised as a full CISSP. Those candidates with less than 5 years experience will be able to become CISSP Associates upon passing the exam. Candidates may receive a one year experience waiver with a 4-year college degree, or regional equivalent or additional credential from the (ISC)² approved list, thus requiring four years of direct full-time professional security work experience.

    What if I don't have the required experience?
    If you don't have the experience you can become an Associate of (ISC)² by successfully passing the CISSP exam. You'll then have 6 years to earn your experience to become a CISSP.
  • How Telus leveraged DocuSign and Salesforce to close more deals How Telus leveraged DocuSign and Salesforce to close more deals Claire Jacobs, Program Manager, Telus, Chris Peacock, VP Marketing, Traction on Demand Recorded: Jun 21 2016 32 mins
    Watch this on-demand webinar to hear from Claire Jacobs, Program Manager at Telus, and Chris Peacock, VP of Marketing and Alliances at Traction on Demand, on how they leverage DocuSign and Salesforce to simplify internal processes and provide better services to their network of customers across the country.
  • How Digital Transaction Management Can Keep Market Place Lenders Ahead How Digital Transaction Management Can Keep Market Place Lenders Ahead Jason Stubberfield, and Andrew Geisse, DocuSign, John Jacobs, eOriginal, Thomas Meister, Funding Circle Recorded: Jun 21 2016 53 mins
    Watch this on-demand webinar to hear from Funding Circle, the world's leading marketplace for business loans, on how they adopted a fully digital, end-to-end loan asset management process using solutions from DocuSign + eOriginal. You will learn the importance of having authoritative copies to ensure loan ownership and the post-signature benefits that digital asset management provides.
  • Enhancing the Life Science Customer Experience Enhancing the Life Science Customer Experience Ellen Reilly, VP Healthcare & Life Sciences and Jennifer Roye, SR. Manager, Product Marketing, DocuSign Recorded: Jun 21 2016 37 mins
    Watch this on-demand webinar to learn how you can get to market sooner with simple, secure, and fully digital workflows using DocuSign – and how you can do so in accordance with Part 11 regulations.
  • Digital Best Practices for Accelerating Drug Development Digital Best Practices for Accelerating Drug Development Robert Albert, Collaboration Lead, AstraZeneca, Ellen Reilly, VP Life Sciences, DocuSign Recorded: Jun 21 2016 55 mins
    Watch this on-demand webinar to hear from Robert Albert, Collaboration Lead at AstraZeneca, and Ellen Reilly, VP of Life Sciences at DocuSign, on the digital future of pharmaceuticals and the best practices for investing and adopting eSignature solutions to reduce development cycle time and generate higher productivity.
  • Sales Stack Seminar Series with DocuSign and Smart Selling Tools Sales Stack Seminar Series with DocuSign and Smart Selling Tools Nancy Nardin, Founder, Smart Selling Tools, Joe Weisser, AE, DocuSign Recorded: Jun 21 2016 43 mins
    Watch this on-demand webinar to hear from Nancy Nardin, the founder at Smart Selling Tools, and Joe Weisser, Account Executive at DocuSign, on how sales organizations are shortening their sales cycles and increasing ROI by reducing paper waste and going completely digital.
  • The Relevance of Business Continuity Management The Relevance of Business Continuity Management Jeffrey Butler, Risk Advisory Services for Experis Finance Oct 13 2016 4:00 pm UTC 60 mins
    Why is Business Continuity Management (BCM) relevant to your organization? BCM is most relevant to organizations seeking to mitigate exposure to emerging global risk and trends. Learn the "value added" role of Internal Audit.

    After attending this webinar, you will be able to:
    •Understand the importance of Business Continuity Management to your organization
    •Discover the emerging global risks and trends that could impact the viability of your organization
    •Learn the "value added" role of Internal Audit as it relates to Business Continuity Management
  • Auditing Corporate Culture Auditing Corporate Culture Alec Arons, National Practice Leader, Risk Advisory Services, Experis Finance Oct 26 2016 4:00 pm UTC 60 mins
    The subject of auditing Corporate Culture is gaining a higher level of visibility among board and audit committee members in response to increased concern among regulators and investors. There is a clear "Expectation Gap" that exists between management, boards and third parties as it relates to management ownership of internal controls.

    The topic goes well beyond the assessment of entity level controls and the discussion of Tone at the Top associated with review of regulatory compliance, ICFR and COSO 2013. The presenter will share his perspectives gained over a 30 year career on the topic of educating management as to its responsibilities regarding promoting an effective system of internal controls.

    This webinar features Alec Arons, National Practice Leader, Risk Advisory Services. He will:
    - Provide background and perspective on the underlying regulations and expectations
    - Discuss lessons learned from the implementation of COSO 2013 and the 2015 PCAOB inspection process relating to the expectation gap
    - Introduce the topic of soft controls and define indicators of good culture
    - Introduce tools to perform an assessment of corporate culture
    - Share practical recommendations to address performing an audit
    - Review the role of the Audit Committee in evaluating corporate culture
  • Internal Audit and Third Party Risk Internal Audit and Third Party Risk Tim Leitz, Regional Practice Leader for Risk Advisory Services, Experis Finance Nov 16 2016 5:00 pm UTC 60 mins
    Regulators acknowledge the risks associated with vendor relationships and have demanded that business leaders monitor and take responsibility for the actions of their vendors through various laws and standards such as the Sarbanes-Oxley Act, the Gramm-Leach-Bliley Act, the FCPA, the Health Insurance Portability and Accountability Act, as well as the Payment Card Industry Data Security Standard (PCI DSS) requirements and CFPB guidance.

    Consequently, vendor management is currently at the forefront of organizational risk management priorities and Internal Audit needs to address vendor management and third party risk in their audit planning and execution.

    In this presentation, you will:
    - Gain an understanding of the potential risks that may arise from the use of third party service providers
    - Identify the basic elements of an effective third party risk management program