Compliance Category Courses
Browse all Compliance category courses available for you on our SecuRetain platform.
Anti Money Laundering (AML) Awareness
Objective
What you will learn:
- What it is and how does it work?
- Why people and organizations launder money?
- How money laundering works: basic process
- Legal consequences for money laundering, including state and federal (U.S.) penalties
- Applicable laws and regulation
- Insider trading
Code of Conduct Part I
CODEOFW1Yk
Code of Conduct Part I
Objective
This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning, followed by the end of the course final assessment
What you will learn:
- Learn about the ethical principles, employees and executives should follow to reinforce professional behavior in the workplace
- Study the best practices for code of conduct and understand the difference between Code of Conduct vs. Code of Ethics
- Learn to create a positive working environment of equal opportunity and no retaliation
- Learn to protect the company’s reputation by behaving ethically and identifying, what is and is not ethical behavior by understanding harassment and bullying
- Understand how corporations can enforce ethical behavior by using penalties for breaches of the Code of Conduct
- Learn to recognize the actions that may harm the company, such as sharing confidential company, client, and customer information
- Study the elements of insider trading and ask critical questions to help spot risks and avoid illegal insider trading
- Learn about the corporate best practices and employee responsibilities
- Understand the corporate and employee responsibilities in maintaining company accounts and records integrity
Code of Conduct Part II
CODEOFN9Kd
Code of Conduct Part II
Objective
This interactive training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, resources, and hallmarks of an effective compliance program. In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning, followed by the end of the course final assessment
What you will learn:
- Learn to recognize conflict of interest and handle the conflicts
- Learn how bribes, kickbacks, payments, gifts/entertainment, and money laundering harm employers
- Learn the Foreign Corrupt Practices Act (FCPA) Accounting and Anti Bribery provisions and key concepts related to prohibited payments
- Understand the ethical and legal issues involving the use of company assets by employees
- Learn about the facility and physical security perimeter and how badge and visitor’s security works
- Learn the Do’s and Don’ts of the clear desk policy
- Study the ethical principles to be followed by the company officers while working with company customers, suppliers, competitors, third parties, and company associates
- Study the best practices for acceptable use of company information resources and social media
Data Privacy and Privacy Regulations (GDPR / CCPA) Part I
Objective
What you will learn:
- Learn about Privacy Imperative
- Understand Strategic and Tactical Drivers
- Learn about Privacy Strategy and Privacy Impact
- Understand the Private Identifiable Information (PII) and Private Health Information
- (PHI) data
- Learn about Privacy Impact Assessments
- Learn about HIPAA and HITECH
- Learn about GDPR and CCPA
- Understand the Breach Notification Requirements
Data Privacy and Privacy Regulations (GDPR / CCPA) Part II
Objective
What you will learn:
- Learn about Privacy Imperative
- Understand Strategic and Tactical Drivers
- Learn about Privacy Strategy and Privacy Impact
- Understand the Private Identifiable Information (PII) and Private Health Information
- (PHI) data
- Learn about Privacy Impact Assessments
- Learn about HIPAA and HITECH
- Learn about GDPR and CCPA
- Understand the Breach Notification Requirements
FedRAMP Fundamentals Part I
CO00801
FedRAMP Fundamentals Part I
Objective
What you will learn:
- Understand FedRAMP
- Learn about the importance of FedRAMP
- Learn the FedRAMP Strategy and Plan
- Understand FedRAMP Preparations
- Understand cloud security opportunities and FedRAMP Benefits
- Study about FedRAMP certification process
- Learn the program steps to become FedRAMP compliant
- Study the Independent Verification and Validation Requirement
- Learn about certification authorities, governance and stakeholders
FedRAMP Fundamentals Part II
CO00802
FedRAMP Fundamentals Part II
Objective
What you will learn:
- Overview of FedRAMP process
- Study about FedRAMP certification process
- Understand the FedRAMP from an agency’s perspective
- Understand the FedRAMP Standard Operating Procedures
- Learn about the initial review SOP/checklists
- Learn about the detailed review checklists
- Understand the review and approve procedure
- Understand the authorization process
FedRAMP Fundamentals Part III
CO00803
FedRAMP Fundamentals Part III
Objective
What you will learn:
- Understand the FedRAMP
- Study the FedRAMP Security Assessment Framework
- Categorize
- Select
- Implement
- Assess
- Authorize
- Monitor
- Learn about NIST Special Publications history
- Understand NIST 800-53, 800-18, 800-30, 800-37, 800-70, 800-60
- Learn about implementing NIST 800-53 Special Publications
Foreign Corrupt Practices Act (FCPA) and UK Bribery Act 2010 Part II
Objective
What you will learn:
- Overview of the FCPA
- Study the implications of the FCPA
- Learn about the enforcement and penalties
- Study the U.S. Sentencing guidelines
- Understand the SEC and DOJ FCPA guidance
- Study the DOJ and SEC hallmarks of an effective compliance program
- Learn about the DOJ’s evaluation of compliance programs
- Learn about UK Bribery Act 2010
- Study the UK Bribery Act 2010 provisions
- Study the consequences of non-compliance with the Bribery Act 2020 – Case Study
Foreign Corrupt Practices Act (FCPA) Part I - Awareness
Objective
What you will learn:
- Foreign Corrupt Practices Act (FCPA) Global Perspective
- Overview of the FCPA and UK Bribery Act
- FCPA Key Concepts
- Anything of Value
- Foreign Officials
- Persons Subject to the FCPA
- Implications of the FCPA
- Consequences of Non-Compliance
- Enforcement and Penalties
- Effective Compliance Program & amp; Red Flags
- DOJ’s Evaluation of Compliance Programs
Foreign Corrupt Practices Act (FCPA) Part III
Objective
The U.S. Congress enacted the Foreign Corrupt Practices Act (FCPA) in 1977 in response to findings that companies had been making hundreds of millions of dollars of questionable payments to foreign government officials, politicians, and political parties. The purposes of this act are to halt the bribery of foreign officials and restore public confidence in the integrity of the American business system. The head of the DOJ's Criminal Division recently described the agency's focus on FCPA enforcement and warned executives and employees of personal accountability for FCPA violations.
This FCPA training series Part I to III explains the major principles of U.S. anti-corruption laws, persons subject to FCPA, implications, consequences, etc. This interactive FCPA training course will ensure professionals and practitioners at all levels understand their roles and responsibilities, new developments, FCPA resources, and hallmarks of an effective compliance program.
In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning followed by the end of the course final assessment.
What you will learn:
Study the FCPA recent cases and takeaways
Learn about the effective FCPA compliance program
Study the FCPA program best practices
Third Parties
Review Transactions
Gifts, Meals, Travel and Entertainment
Training
Due Diligence
Reporting
Risk Areas
Learn about the FCPA enforcement actions and monitory resolutions
General Data Protection Regulation (GDPR) Part II
Objective
What you will learn:
- Learn about data Subject Rights
- Learn about Accountability and Governance principle
- Understand Privacy by Design
- Learn about the Data Protection Officer Role
- Study the privacy Codes of Conduct principle
- Understand Data Protection Impact Assessments (DPIA)
General Data Protection Regulation (GDPR) Part III
Objective
What you will learn:
- Learn about the Data Protection Officer’s (DPO) – Appointing DPO, DPO responsibilities, etc.
- Learn how to implement GDPR security principal requirements
- Understand rules related to international transfers
- Learn about exemptions rules
- Learn about GDPR data breach communication requirements
- Understand the penalties for violation of GDPR requirements
- Study the principles applicable to use of data for law enforcement purposes
- Learn how to protect children data and GDPR requirements
- Study the GDPR 10 step compliance checklist
General Data Protection Regulation (GDPR) Part IV
Objective
What you will learn:
- Understand the GDPR articles
- Learn the 10 steps compliance checklist
- Study the GDPR implementation approach
- Learn how to prepare for the project and key concepts
- Learn about data mapping
- Study the readiness assessment, gap assessment, and privacy assessment process
- Learn about data protection by design and by default a key concept
- Learn to implement data subject rights
- Understand the Data Protection Impact Assessment (DPIA) Process
- Learn to amend third-party contracts and review third party procedures
- Study the different steps to ensure the security of personal and sensitive data
- Understand how to handle data breaches
- Study the GDPR compliance audit and training requirement
Health Insurance Portability and Accountability Act (HIPAA) Awareness
Objective
What you will learn:
- Learn about HITECH and HIPAA compliance
- The Security Rule, The Privacy Rule, The Breach Notification Rule, Omnibus
- Rule. Chapter 181, Texas Medical Records Privacy Act
- Understand How Health Care Privacy Laws affect your organization
- Understand HIPAA IT Security Risk Assessment
- Learn about Administrative, Technical and Physical Safeguards
- Learn about Covered Entities
- Learn about Use and Disclosure of PHI
- Understand How HIPAA and HITECH are Related
- Learn about HITECH and Breach Notification
HITRUST Part I - Foundation
CO00601
HITRUST Part I - Foundation
Objective
What you will learn:
- Understand HITRUST basics
- Learn about HITRUST framework
- Understand the HITRUST driving factors
- Study the HITRUST maturity model
- Understand the HITRUST certification scoring model
- Learn about the implementation and certification process
- Study how to certify
- Understand the criteria for HITRUST certification
HITRUST Part II - Implementation
CO00602
HITRUST Part II - Implementation
Objective
What you will learn:
- Understand what is HITRUST
- Learn about the HITRUST CSF components
- Learn how to calculate HITRUST scores
- Understand the steps in certification plan and plan considerations
- Understand HITRUST Implementation Planning use case and learn to implement
- Learn to calculate risk rating as per HITRUST
- Understand the corrective action plan (CAP) and documentation
- Learn how to calculate the CAP risk rating and prioritization
Information Security and Privacy Awareness
Objective
What you will learn:
- Learn How to Protect Information
- Understand the Key Security Terms
- Learn about Insider Risk
- Learn about Privately Identifiable Information and Privately Healthcare Information
- Learn about Physical Security, Facility Security and Clean Desk Policies
- Learn about Social Engineering and Phishing
- Learn about Acceptable Personal Use of Corporate Property and Email
- Learn about Malicious Software and Incident Reporting
- Learn about User Id and Password Protection
- Understand Your Responsibility as a User
Information Security Management System (ISMS / ISO 27001) Part I
Objective
Information is an ASSET which, like other important business assets, has VALUE to an organization and consequently needs to be SUITABLY protected.
An ISMS is that part of the overall management system, based on a business risk approach, to establish, implement, operate, monitor, review, maintain and improve information security. ISO 27001 is the internationally recognized best practice framework for an Information Security Management System (ISMS). ISO/IEC 27001 is the only auditable international standard which defines the requirements for an Information Security Management System (ISMS).
The training explains how implementing a security program based on the framework can help organizations mitigate the security risk and consider the appropriate level of rigor for their cybersecurity program. It explains employees on how their organization can move from their current state to their target state with the ability to identify gaps and prioritize gaps based on risk assessment. The course includes a security framework knowledge test as users progress through the training.
ISO 2700 certification Part II
What you will learn:
Understand what information and information security is
Understand how to secure information
Know about ISO 27000 compliance family
Learn about ISO 27001and ISO 27002 and benefits of compliance
Learn about ISO 27001 certification and standard
Introduction to implementing ISMS and ISO 27001
Learn about ISMS mandatory processes and documentation
Introduction to ISO 27001 certification Annex A controls Checklist
Information Security Management System (ISMS / ISO 27001) Part II
Objective
What you will learn:
- Understand the need for ISMS
- Learn about ISO 27001certification and ISMS Mandatory Process
- Introduction to implementing ISMS
- Learn how to implement ISO 27001 ISMS 11 Step Program
- Step by Step Guide on implementing ISMS program
- Learn the practical examples and study the documentation samples
- Learn about ISO 27001 Annex A Controls Checklist 14 Domains and 35 Control Objectives
- ISMS Part III includes implementation details for each control objective along guidance
Payment Card Industry (PCI) Awareness
Objective
What you will learn:
- Need for PCI DSS training
- PCI data security
- Relationship between PCI DSS and PA DSS
- PCI DSS scope
- PCI DSS requirement explained with examples
- Control costs and gain tangible, real-world insights on best practices
- Understand PCI compliance before going through an assessment
- Apply PCI DSS security principles across business
System & Organization Controls (SOC) Part I
Objective
SOC for Cybersecurity Part II
SOC for Cybersecurity Part III
SOC for Cybersecurity Part IV
SOC for Cybersecurity Part V
SOC for Cybersecurity Part VI
SOC for Cybersecurity Part VII
What you will learn:
- Learn about the System and Organization Controls (SOC) cybersecurity - SOC 1, SOC 2 and SOC3
- Understand the businesses that should think about SOC 2
- Learn about the driving factors for SOC compliance
- Learn how SOC 2 is different from SOC 1 and other compliance frameworks
- Understand the difference between a Type I and Type II audit
- Learn to decide the type of SOC report the organizations needs to have
- Learn about the factors driving the audit scope
- Understand the foundation of SOC 1®, SOC 2®, and SOC 3® Reports
- Learn about the SOC 2® and SOC 3® Trust Services Principles
System & Organization Controls (SOC) Part II
Objective
SOC for Cybersecurity Part I
SOC for Cybersecurity Part III
SOC for Cybersecurity Part IV
SOC for Cybersecurity Part V
SOC for Cybersecurity Part VI
SOC for Cybersecurity Part VII
What you will learn:
- SOC evolution
- Learn about SOC 2 audit and who can perform the audit
- Learn how to apply relevant SSAE 18 AICPA Standards
- SOC 1, SOC 2, SOC 3, SOC 2 +, SOC for Cyber Security and SOC for Supply Chain Reports
- Understand scope and use
- Learn about the purpose and relevant standards
- Learn about the subject matter and components of the report
- Understand the use case for SOC for Cyber Security and SOC for Supply Chain
- Learn about SOC 2 + Additional Subject Matter Reports
- Learn the about TSC Mapping to Standards and Frameworks
System & Organization Controls (SOC) Part III
Objective
SOC for Cybersecurity Part I
SOC for Cybersecurity Part II
SOC for Cybersecurity Part IV
SOC for Cybersecurity Part V
SOC for Cybersecurity Part VI
SOC for Cybersecurity Part VII
What you will learn:
- SOC evolution
- Learn about SOC Report Options
- In-depth knowledge of:
- Trust Service Criteria
- Common Criteria
- Supplemental Criteria
- Point of Focus
- Learn to select the Trust Service Criteria for your organization
- Understand the underlying expectations under each Trust Service Criteria
- Understand the importance of Security criteria and why it is mandatory
System & Organization Controls (SOC) Part IV
Objective
What you will learn:
- Understand SOC evolution
- Practical implementation knowledge of:
- Common Criteria
- Supplemental Criteria
- Learn about Generally Accepted Privacy Principles (GAPP)
- Understand what’s included in SOC report
- Understand what’s included in Management Assertions and Description of the System
- Understand the AICPA new guidelines - Description Criteria 200 (DC 200)
System & Organization Controls (SOC) Part V
Objective
What you will learn:
- Understand what a system description is
- Understand the driving factors
- Learn to write system description essentials
- Learn to write:o System overview
- Infrastructure details
- Relevant Aspects of Controls
- Complementary User-Entity Controls
- Learn to describe the control environment, risk assessment process, information communication systems, and control monitoring process
- Learn the step by step approach to the writing system description
System & Organization Controls (SOC) Part VI
Objective
SOC stands for “System and Organization Controls” and is the agreed-upon control procedures set by the American Institute of Certified Public Accountants (AICPA). These defined set of controls are a series of standards or benchmarks designed to help measure how well a given service organization conducts and regulates its information. The training is focused on the "Do it yourself" ("DIY") concept. The SOC DIY training series is designed to educate learners in implementing SOC. The training will help organizations to have the in-house skill and end-to-end knowledge in deciding the type of certification, type of documentation, type of skills, and type of controls required to certify.
Part VI educates the user about vendor due to deligence and use of SOC2 reports. You will learn how user organizations can adopt the SOC report, identify the relevant report user organization will need from a vendor, understand the report content and different types of SOC reports. You will learn to interpret and evaluate the SOC report content (explained with the report examples):
- Independent Service Auditor Report
- Management Assertions
- Overview of Operations
- Relevant Aspects of the Control Environment
- Description of the System
- Description of Control Objectives, Control, and Results of Testing
- Complementary User Entity Controls
- Other Information Provided by Management
In this course, you will be asked to read through lessons, participate in learning activities, and partake in knowledge checks designed to reinforce learning followed by the end of the course final assessment.
What you will learn:
- Learn how user organization can adopt SOC report
- Learn to identify the relevant report user organization will need from a vendor
- Vendor management, due diligence, and SOC report
- Understand the report content
- Understand different types of SOC reports
- Report fundamentals and report content
- Trust service criteria
- What’s included in the SOC report (explained with the report examples):
- Independent Service Auditor Report
- Management Assertions
- Overview of Operations
- Relevant Aspects of the Control Environment
- Description of the System
- Description of Control Objectives, Control, and Results of Testing
- Complementary User Entity Controls
- Other Information Provided by Management
- Learn to identify the type of report vendor shared
- Understand how to evaluate the report content
System & Organization Controls (SOC) Part VII
Objective
What you will learn:
- Learn about trust service criteria and SOC reports
- Learn how trust service criteria is organized
- Learn how to prepare SOC Trust Service Criteria Control Documentation
- Detailed understanding of requirements
- Learn how to write controls using suggested controls for each service criteria and category
- Security, Availability, Processing Integrity, Confidentiality, Privacy
- Control Environment, Communication and Information, Risk Assessment, Monitoring Activities, Control Activities, Logical and Physical Access Controls, System Operations, Change Management, Risk Mitigation, Additional Criteria for Availability, Additional Criteria for Confidentiality, Additional Criteria for Processing Integrity, Additional Criteria for Privacy
- Study the real-life example on how to write controls
The Federal Financial Institutions Examination Council (FFIEC) Part I - Awareness
Objective
What you will learn:
- What is FFIEC?
- Learn about FFIEC Cybersecurity Priorities
- Understand FFFIEC CAT Inherent Risk Profile Assessment Categories
- Understand FFIEC Risk Levels• Learn about Inherent Risk Categories and Ratings
- Understand in detail the FFIEC CAT Maturity Assessment Categories
- Domain 1: Cyber Risk Management and Oversight
- Domain 2: Threat Intelligence and Collaboration
- Domain 3: Cybersecurity Controls
- Domain 4: External Dependency Management
- Domain 5: Cyber Incident Management and Resilience Domains, Assessment
- Factors, Components, and Declaration
The Federal Financial Institutions Examination Council (FFIEC) Part II
Objective
What you will learn:
- Role of internal audit in FFIEC risk and maturity
- Understand FFIEC maturity levels
- Learn on how to interpret and analyze assessment results
- Complete case study to provide in-depth understanding and application of principles
- How to calculate risk for technology and connection type
- How to create rating summary
- Learn how to create an inherent risk profile
- Understand cybersecurity maturity level calculation
- Learn to document maturity results based on the maturity input
- Learn to prepare target maturity and maturity result charts
- Learn to prepare a chart of components
- Learn to develop roles and responsibilities of the internal audit function
- Learn to evaluate the cybersecurity maturity assessment