Created on February 4, for CSBS

Transcription

1 Created on February 4, 2015 for CSBS

2 Table of Contents Table of Contents... 2 INTRODUCTION Footnote Legend LESSON CATEGORY: BSA/AML AML - Non-Bank Compliance (Flash) [BSA5002] AML - Non-Bank SAR Reporting (Flash) [BSA5001] Anti-Money Laundering - Business Bankers [BSA3001] Anti-Money Laundering - Commercial Lenders [BSA3003] Anti-Money Laundering - Consumer Lenders [BSA3005] Anti-Money Laundering - Insurance Personnel [BSA3007] Anti-Money Laundering - Mortgage Lenders [BSA3008] Anti-Money Laundering - Personal Bankers [BSA3010] Anti-Money Laundering - Private Bankers [BSA3012] Anti-Money Laundering - Telephone And Online Bankers [BSA3014] Anti-Money Laundering - Tellers [BSA3016] Anti-Money Laundering - Trust Officers [BSA3018] Anti-Money Laundering - Wire Transfer Personnel [BSA3020] BSA/AML - Awareness (Flash) NEW! [BSA1030] BSA/AML - Awareness NEW! [BSA1033] BSA/AML - Scenarios (Flash) NEW! [BSA3031] BSA/AML - Scenarios for Business Bankers (Flash) NEW! [BSA3032] BSA/AML - Scenarios for Commercial Lenders (Flash) NEW! [BSA3033] BSA/AML - Scenarios for Consumer Lenders (Flash) NEW! [BSA3034] BSA/AML - Scenarios for Insurance Personnel (Flash) NEW! [BSA3035] BSA/AML - Scenarios for Mortgage Lenders [BSA3044] BSA/AML - Scenarios for Mortgage Lenders (Flash) NEW! [BSA3037] BSA/AML - Scenarios for Personal Bankers (Flash) NEW! [BSA3038] BSA/AML - Scenarios for Private Bankers (Flash) NEW! [BSA3039] BSA/AML - Scenarios for Telephone and Online Bankers (Flash) NEW! [BSA3043] BSA/AML - Scenarios for Tellers (Flash) NEW! [BSA3040] BSA/AML - Scenarios for Trust Officers (Flash) NEW! [BSA3041] BSA/AML - Scenarios for Wire Transfer Personnel (Flash) NEW! [BSA3042] BSA/AML for Money Services Businesses [BSA1013] BSA/AML for Money Services Businesses (Flash) [BSA1014] BSA/AML Front-Line Refresher [BSA1015] CTR Exemptions (Flash) [BSA1016] Currency Transaction Reporting [BSA1017] Currency Transaction Reporting (Flash) [BSA1018] Customer Identification Program (CIP) Basics [BSA1019] Director's Suite: BSA/AML [BSA1020] Director's Suite: BSA/AML (Flash) NEW! [BSA1027] Financial Service Centers: BSA/AML (Flash) [BSA5003] OFAC Basics [BSA1031] OFAC Basics (Flash) [BSA1021] Providers of Prepaid Access: BSA/AML [BSA5202] Providers of Prepaid Access: Suspicious Activity Reporting (Flash) [BSA5201] Section 312 Rule - Foreign Correspondent Accounts [BSA1022] Section 312 Rule - Foreign Correspondent Accounts (Flash) NEW! [BSA1028] Section 312 Rule - Private Banking Accounts & PEPs (Flash) NEW! [BSA1029] Section 312 Rule Private Banking Accounts & PEPs [BSA1023] Section 314 Information Requests [BSA1024] Suspicious Activity Reporting (Flash) [BSA1026] Suspicious Activity Reporting NEW! [BSA1032] Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 2

3 Title 31 Awareness [BSA5101] Title 31 Awareness (Flash) [BSA5100] LESSON CATEGORY: Deposits Awareness: Check 21 [DEP1000] Awareness: IRAs [DEP1001] Awareness: Truth in Savings - NCUA Rule [DEP2002] Awareness: Truth In Savings - NCUA Rule (Flash) NEW! [DEP2017] Awareness: Truth In Savings Act [DEP1002] Awareness: Truth In Savings Act (Flash) NEW! [DEP1031] Deposit Products - Most Dangerous Violations [DEP1003] Deposit Products - Overview [DEP1004] Electronic Fund Transfers: Account Opening/Disclosures [DEP1005] Electronic Fund Transfers: Account Opening/Disclosures (Flash) NEW! [DEP1030] Electronic Fund Transfers: Error Resolution [DEP1006] Electronic Fund Transfers: Error Resolution (Flash) NEW! [DEP3038] FDIC Insurance Basics [DEP1007] FDIC Insurance Basics (Spanish) [DEP1008] Marketing Mayhem: Deposit Products [DEP1009] Marketing Mayhem: Deposit Products (Flash) [DEP1010] NCUA Insurance Basics [DEP2007] Overdraft Protection Guidance [DEP1011] Principles of Banking: Deposits (Flash) [DEP1012] Principles of Banking: Electronic Banking (Flash) [DEP1013] Principles of Banking: The Check Payment Process (Flash) [DEP1014] Reg CC: Check Collection [DEP1034] Reg CC: Funds Availability [DEP1015] Reg CC: Funds Availability (Flash) NEW! [DEP1033] Regulation D [DEP1016] Regulation E: Overdraft Protection [DEP1017] Teller Training - Basic Teller Transactions [DEP1018] Teller Training - Basic Teller Transactions (Flash) [DEP1019] Teller Training - Cash Drawer Balancing [DEP1020] Teller Training - Cash Drawer Balancing (Flash) [DEP1021] Teller Training - Check Fraud Awareness [DEP1022] Teller Training - Check Fraud Awareness (Flash) [DEP1023] Teller Training - Check Holds [DEP1024] Teller Training - Check Holds (Flash) [DEP1025] Teller Training - Handling Money [DEP1026] Teller Training - Handling Money (Flash) [DEP1027] Teller Training - Negotiable Instruments [DEP1028] Teller Training - Negotiable Instruments (Flash) [DEP1029] LESSON CATEGORY: Lending AML - Non-Bank Mortgage Fraud Awareness [LEND1174] AML - Non-Bank Mortgage Fraud Awareness (Flash) [LEND5000] Anti-Predatory Lending (Updated with CFPB Rules) [LEND1170] Auto Loan Fraud Awareness [LEND1001] Auto Loan Fraud Awareness (Flash) [LEND1002] Awareness: Fair Debt Collection Practices [LEND1003] Awareness: Fair Debt Collection Practices (Flash) [LEND1132] Awareness: Nontraditional Mortgage Products [LEND1005] CARD Act - Credit Cards (Flash) [LEND1006] CARD Act - HELOC (Flash) [LEND1007] Commercial Lending: Credit Risk Overview [LEND1008] Commercial Lending: Loan Commitment and Documentation [LEND1009] Commercial Lending: Avoiding the Problem Loan and Compliance Pitfalls [LEND1010] Commercial Lending: Credit Analysis [LEND1011] Commercial Lending: Loan Maintenance and Renewals [LEND1012] Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 3

4 Compliance Pitfalls for Commercial Lenders [LEND1013] Credit Card Lending - Overall Test [LEND1018] Credit Card Lending 1: Overview & Non-Compliance Risks [LEND1014] Credit Card Lending 2: Solicitations, Applications & Credit Decision [LEND1015] Credit Card Lending 3: Card Issuance and Account Servicing [LEND1016] Credit Card Lending 4: Case Study [LEND1017] Credit Card Lending - Overall Test [LEND1018] Director's Suite: Fair Lending [LEND1019] Director's Suite: Fair Lending (Flash) NEW! [LEND1103] Director's Suite: Fair Lending (Non-Bank) [LEND1177] Equal Credit Opportunity Act for Mortgage Lenders [LEND1020] Fair and Responsible Lending (Flash) NEW! [LEND1104] Fair and Responsible Lending (Non-Bank) [LEND1179] Fair and Responsible Lending NEW! [LEND1113] Fair Credit Reporting Act [LEND1023] Fair Credit Reporting Act (Flash) NEW! [LEND1105] Fair Credit Reporting Act for Lenders [LEND1024] Fair Credit Reporting Act for Lenders (Flash) NEW! [LEND1106] Fair Housing Act for Mortgage Lenders [LEND1026] Fair Lending (Flash) - Video [LEND1180] Fair Lending Refresher [LEND1027] Fair Lending Refresher (Non-Bank) [LEND1178] FCRA Risk-Based Pricing Notice (Flash) [LEND1028] Financial Service Centers: Collections (Flash) [LEND5005] Financial Service Centers: Fair Lending (Flash) [LEND5006] Financial Service Centers: Front Office Lending Staff (Flash) [LEND5007] Flood Insurance [LEND1131] Flood Insurance (Flash) [LEND1114] Government Monitoring Information [LEND1030] HMDA Data Collection [LEND1031] HMDA Data Collection (Flash) NEW! [LEND1107] HMDA: Reporting and Disclosure [LEND1032] Home Equity Lines of Credit [LEND1184] Home Equity Lines of Credit (Flash) [LEND1109] Homeowners Protection Act [LEND1156] Homeowners Protection Act (Flash) [LEND1110] Installment Lending: Back Office (Flash) [LEND1162] Installment Lending: Collections (Flash) [LEND1160] Installment Lending: Compliance and Internal Audit (Flash) [LEND1161] Installment Lending: Customer Service (Flash) [LEND1159] Installment Lending: Front Office Lending Staff (Flash) [LEND1158] Lending to Servicemembers [LEND1033] Lending to Servicemembers (Flash) NEW! [LEND1108] Loans to Insiders [LEND1035] Maine: Consumer Credit - Part 1 [LEND1036] Maine: Consumer Credit - Part 2 [LEND1037] Maine: High-Rate, High-Fee Mortgages [LEND1038] Margin Stock Secured Loans (Regulation U) [LEND1039] Marketing Mayhem: Lending Products [LEND1040] Marketing Mayhem: Lending Products (Flash) [LEND1041] Military Permanent Change of Station Orders (Flash) [LEND1111] Mortgage - Overall Test [LEND1102] HELOC - Overall Test [LEND1081] HELOC 1: Application Stage [LEND1076] HELOC 2: Credit Decision Stage [LEND1077] HELOC 3: Closing Stage [LEND1078] HELOC 4: Post-Closing Stage [LEND1079] Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 4

5 HELOC 5: Most Dangerous Violations [LEND1080] HELOC - Overall Test [LEND1081] Purchase Money Loans - Overall Test [LEND1087] Purchase Money Loans 1: Application Stage [LEND1082] Purchase Money Loans 2: Credit Decision Stage [LEND1083] Purchase Money Loans 3: Closing Stage [LEND1084] Purchase Money Loans 4: Post-Closing Stage [LEND1085] Purchase Money Loans 5: Most Dangerous Violations [LEND1086] Purchase Money Loans - Overall Test [LEND1087] Refinance Loans - Overall Test [LEND1094] Refinance Loans 1: Application Stage [LEND1088] Refinance Loans 2: Credit Decision Stage [LEND1089] Refinance Loans 3: Closing Stage [LEND1090] Refinance Loans 4: Post-closing Stage [LEND1092] Refinance Loans 5: Most Dangerous Violations [LEND1093] Refinance Loans - Overall Test [LEND1094] Second Mortgage - Overall Test [LEND1101] Second Mortgage 1: Application Stage [LEND1095] Second Mortgage 2: Credit Decision Stage [LEND1096] Second Mortgage 3: Closing Stage [LEND1097] Second Mortgage 4: Post-closing Stage [LEND1099] Second Mortgage 5: Most Dangerous Violations [LEND1100] Second Mortgage - Overall Test [LEND1101] Mortgage - Overall Test [LEND1102] Mortgage Fraud Awareness [LEND1042] Mortgage Fraud Awareness (Flash) [LEND1043] Mortgage Loan File Review - Purchase Money [LEND1044] Mortgage Loan File Review - Refinance [LEND1045] Mortgage Servicing: Collections (Flash) (Updated with CFPB rules) [LEND1135] Mortgage Servicing: Credit Reporting (Flash) [LEND1120] Mortgage Servicing: Customer Inquiries & Complaints (Flash) [LEND1143] Mortgage Servicing: Early Intervention (Flash) [LEND1142] Mortgage Servicing: Escrow Accounts & Force-Placed Insurance (Flash) (Updated with CFPB rules) [LEND1138] Mortgage Servicing: Information Sharing & Privacy [LEND1192] Mortgage Servicing: Information Sharing & Privacy (Flash) [LEND1122] Mortgage Servicing: Introduction (Flash) (Updated with CFPB rules) [LEND1133] Mortgage Servicing: Loss Mitigation & Foreclosure (Flash) (Updated with CFPB rules) [LEND1144] Mortgage Servicing: Payment Processing & Account Maintenance (Flash) (Updated with CFPB rules) [LEND1141] Mortgage Servicing: Transfers [LEND1182] Mortgage Servicing: Transfers (Flash) (Updated with CFPB rules) [LEND1134] Motor Vehicle Lending - Overall Test [LEND1051] Motor Vehicle Lending: Equal Credit Opportunity Act [LEND1046] Motor Vehicle Lending: Fair Credit Reporting Act [LEND1047] Motor Vehicle Lending: Gramm-Leach-Bliley Act [LEND1048] Motor Vehicle Lending: Truth in Lending Act [LEND1049] Motor Vehicle Lending: Unfair or Deceptive Acts [LEND1050] Motor Vehicle Lending - Overall Test [LEND1051] Motor Vehicle Lending: Equal Credit Opportunity Act (Flash) [LEND1125] Motor Vehicle Lending: Fair Credit Reporting Act (Flash) [LEND1127] Motor Vehicle Lending: GLBA Privacy Notice (Flash) [LEND1130] Motor Vehicle Lending: Truth in Lending Act (Flash) [LEND1128] Motor Vehicle Lending: UDAAP [LEND1183] Motor Vehicle Lending: UDAAP (Flash) [LEND1129] Principles of Banking: Lending (Flash) [LEND1052] Principles of Banking: Regulatory Overview - Lending (Flash) [LEND1053] Registered MLO State Training [LEND1145] Registered MLO State Training Test: Midwest - East North Central [LEND1146] Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 5

6 Registered MLO State Training Test: Midwest - West North Central [LEND1147] Registered MLO State Training Test: Northeast - Mid-Atlantic [LEND1148] Registered MLO State Training Test: Northeast - New England [LEND1149] Registered MLO State Training Test: South - East South Central [LEND1150] Registered MLO State Training Test: South - South Atlantic [LEND1151] Registered MLO State Training Test: South - West South Central [LEND1152] Registered MLO State Training Test: West - Mountain [LEND1153] Registered MLO State Training Test: West - Pacific [LEND1154] Regulation B (Flash) (Updated with CFPB rules) [LEND1155] Regulation B: Non-Real Estate Secured Lending [LEND1189] Regulation B: Non-Real Estate Secured Lending (Flash) [LEND1169] Regulation M: Consumer Leasing [LEND1185] Regulation M: Consumer Leasing (Flash) [LEND1054] Regulation Z Mortgage Amendments (Flash) [LEND1055] Regulation Z: Ability-to-Repay & Qualified Mortgage Rules [LEND1176] Regulation Z: Ability-to-Repay & Qualified Mortgage Rules (Flash) [LEND1139] Regulation Z: Advertising [LEND1187] Regulation Z: Advertising (Flash) [LEND1056] Regulation Z: Appraisal Independence [LEND1157] Regulation Z: Appraisal Independence (Flash) [LEND1057] Regulation Z: Early Disclosures [LEND1058] Regulation Z: High-Cost Mortgages (2013 HOEPA Rule) (Flash) [LEND1137] Regulation Z: Higher-Priced Mortgage Loans (Flash) (Updated with new CFPB rules) [LEND1124] Regulation Z: Higher-Priced Mortgage Loans (Updated with new CFPB rules) [LEND1126] Regulation Z: Loan Originator Rule - Compensation [LEND1173] Regulation Z: Loan Originator Rule - Compensation (Flash) [LEND1136] Regulation Z: Loan Originator Rule - Qualifications [LEND1171] Regulation Z: Loan Originator Rule - Qualifications (Flash) [LEND1140] Regulation Z: Loan Servicing Prohibitions [LEND1061] Regulation Z: Student Loan Disclosures (Flash) [LEND1062] Regulation Z: Unsecured Lending [LEND1190] Regulation Z: Unsecured Lending (Flash) [LEND1172] RESPA for Mortgage Lenders [LEND1063] RESPA: Escrow [LEND1191] RESPA: Escrow (Flash) [LEND1064] RESPA: Final Rule [LEND1163] RESPA: Final Rule (Flash) [LEND1065] RESPA: Good Faith Estimate (Flash) [LEND1066] RESPA: HUD-1/1A (Flash) [LEND1067] RESPA: Loan File Review (Flash) [LEND1068] Reverse Mortgages (Flash) [LEND1069] SAFE Act MLO Registration Requirements [LEND1070] SAFE Act MLO Registration Requirements (Flash) [LEND1071] Servicemembers Civil Relief Act: Installment Lending [LEND1181] Servicemembers Civil Relief Act: Vehicle Finance [LEND1175] Texas Home Equity Lending Law [LEND1072] TILA Closed-End for Mortgage Lenders [LEND1073] TILA Home Equity Lines of Credit [LEND1075] LESSON CATEGORY: Operations ACH Rules - Advanced [OPS1001] ACH Rules - Basics [OPS1000] ACH Rules - International ACH Transactions [OPS1002] Active Listening Basics [OPS1082] Active Listening Basics (Flash) [OPS1063] ADA Amendments Act [OPS1003] Antitrust and Anti-Tying Basics [OPS1084] Antitrust and Anti-Tying Basics (Flash) [OPS1073] Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 6

7 Antitrust and Anti-Tying Rules [OPS1004] Authentication in an Internet Banking Environment (Flash) [OPS1050] Awareness: Anti-Harassment [OPS1005] Awareness: Community Reinvestment Act (Flash) [OPS1049] Awareness: Ethics [OPS1006] Awareness: Ethics (Flash) [OPS1007] Awareness: Federal Benefit Garnishment Rules (Flash) [OPS1008] Awareness: Insider Trading [OPS1009] Awareness: Physical Security [OPS1010] Awareness: Physical Security (Flash) NEW! [OPS1043] Awareness: Remote Deposit Capture (Flash) [OPS1012] Awareness: Sarbanes-Oxley Act [OPS1013] Bank Bribery Act [OPS1014] Bankruptcy [OPS1080] Bankruptcy (Flash) [OPS1077] Bankruptcy Abuse Prevention and Consumer Protection Act [OPS1015] Basic Sales Skills (Flash) [OPS1071] Business Etiquette (Flash) [OPS1059] Community Reinvestment Act [OPS1016] Community Reinvestment Act (Flash) [OPS1017] Community Reinvestment Act: Large Banks [OPS1064] Community Reinvestment Act: Large Banks (Flash) [OPS1018] Complaint Management (Flash) [OPS1066] Director's Suite: Compliance Risk Management [OPS1019] Director's Suite: Compliance Risk Management (Flash) NEW! [OPS1047] Director's Suite: Compliance Risk Management (Non-Bank) [OPS1081] Diversity in the Workplace [OPS1078] Diversity in the Workplace (Flash) [OPS1069] EEO-1 Reporting [OPS1020] Electronic Signatures in Global and National Commerce Act (Flash) [OPS1048] FCRA for Information Furnishers - Advanced [OPS1022] FCRA for Information Furnishers - Advanced (Flash) NEW! [OPS1044] FCRA for Information Furnishers - Basics [OPS1021] FCRA for Information Furnishers - Basics (Flash) NEW! [OPS1045] Financial Service Centers: UDAAP (Flash) [OPS5004] Foreign Account Tax Compliance Act (Flash) [OPS1079] Foreign Corrupt Practices Act [OPS1065] Foreign Corrupt Practices Act (Flash) [OPS1023] Handling Conflict in the Workplace (Flash) [OPS1062] Interstate Land Sales Full Disclosure Act (Flash) [OPS1024] Networking Basics (Flash) [OPS1061] Payment Systems Risk [OPS1083] Positive Workplace Management [OPS1075] Principles of Banking: Overview of Banking (Flash) [OPS1025] Principles of Banking: Regulatory Overview - Deposits and Operations (Flash) [OPS1026] Professional Etiquette (Flash) [OPS1052] Providers of Prepaid Access: Complaint Management (Flash) [OPS5203] Providers of Prepaid Access: UDAAP (Flash) [OPS5205] Regulation E: Remittance Transfers (Flash) [OPS1074] Regulation GG [OPS1027] Reporting Elder Financial Abuse [OPS1028] Reporting Elder Financial Abuse (Flash) NEW! [OPS3029] Reporting Elder Financial Abuse - California [OPS1029] Reporting Elder Financial Abuse - California (Flash) NEW! [OPS3030] Reporting Elder Financial Abuse - District of Columbia [OPS1056] Reporting Elder Financial Abuse - Florida [OPS1030] Reporting Elder Financial Abuse - Florida (Flash) NEW! [OPS3031] Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 7

8 Reporting Elder Financial Abuse - Georgia [OPS1031] Reporting Elder Financial Abuse - Georgia (Flash) NEW! [OPS3032] Reporting Elder Financial Abuse - Hawaii [OPS1032] Reporting Elder Financial Abuse - Hawaii (Flash) NEW! [OPS3033] Reporting Elder Financial Abuse - Illinois [OPS1033] Reporting Elder Financial Abuse - Illinois (Flash) NEW! [OPS3034] Reporting Elder Financial Abuse - Kansas [OPS1034] Reporting Elder Financial Abuse - Kansas (Flash) NEW! [OPS3035] Reporting Elder Financial Abuse - Mississippi [OPS1035] Reporting Elder Financial Abuse - Mississippi (Flash) NEW! [OPS3036] Reporting Elder Financial Abuse - Nevada [OPS1036] Reporting Elder Financial Abuse - Nevada (Flash) NEW! [OPS3037] Reporting Elder Financial Abuse - Washington [OPS1054] Reporting Elder Financial Abuse - Washington (Flash) [OPS1053] SAFECATCH Bank Robbery Procedures (Flash) [OPS1055] Sexual Harassment - Employees [OPS1037] Sexual Harassment - Managers [OPS1038] Sexual Harassment Case Studies - Managers [OPS1039] Social Media [OPS1076] Social Media (Flash) [OPS1068] Team Building (Flash) [OPS1067] Telephone Etiquette (Flash) [OPS1060] Transactions with Affiliates (Regulation W) [OPS1040] Transactions with Affiliates (Regulation W) (Flash) [OPS1041] UDAAP [OPS1070] UDAAP (Flash) [OPS1051] Violence in the Workplace (Flash) [OPS1072] LESSON CATEGORY: Other Financial Services Insurance Products [OFS1000] Nondeposit Investment Products [OFS1001] Regulation E - Gift Cards (Flash) [OFS1002] Regulation R [OFS1003] Trusts and Fiduciary Duties - Basic Course (Flash) [OFS1004] LESSON CATEGORY: Privacy Affiliate Marketing Rule (Flash) [PRIV1000] Awareness: GLBA Privacy Notice [PRIV1001] Awareness: GLBA Privacy Notice (Flash) NEW! [PRIV1028] Awareness: HIPAA for Business Associates [PRIV1002] Awareness: ID Theft Red Flags Rule [PRIV1003] Awareness: ID Theft Red Flags Rule (Flash) NEW! [PRIV1024] Awareness: Information Security (Flash) NEW! [PRIV1025] Awareness: Information Security (Updated) [PRIV1029] Awareness: Telemarketing Rules [PRIV1006] CAN-SPAM Basics [PRIV1008] Canadian Privacy Law [PRIV1007] Children's Online Privacy Protection Act (Updated with new FTC rules) [PRIV1027] European Union Data Protection Directive [PRIV1010] FACT Act - Disposal of Consumer Information [PRIV1011] FACT Act - Medical Information Rule [PRIV1012] FACT Act - Prescreen Opt-Out Notice [PRIV1013] GLBA Security Breach Notice [PRIV1014] ID Theft: Address Changes and Discrepancies (Flash) [PRIV1015] ID Theft: Red Flags Rule [PRIV1016] ID Theft: Red Flags Rule (Flash) NEW! [PRIV1026] Identity Theft [PRIV3027] Identity Theft (Mystery Shopper) (Flash) [PRIV1018] NAIC Model Privacy Regulations [PRIV1019] Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 8

9 New York State Privacy Regulations [PRIV1020] Privacy (Mystery Shopper) [PRIV1021] Providers of Prepaid Access: GLBA (Flash) [PRIV5204] Right to Financial Privacy Act [PRIV1022] State Opt-In Privacy Laws [PRIV1023] LESSON CATEGORY: Custom Lessons Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 9

10 Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 10

11 LESSON CATEGORY: BSA/AML AML - Non-Bank Compliance (Flash) [BSA5002] Duration: 45 minutes Category: BSA/AML This lesson covers the essentials of the anti-money laundering program and Suspicious Activity Report filing requirements for mortgage companies and mortgage brokers. Describe money laundering and terrorist financing Understand the importance of an AML Compliance Program Understand the requirements for filing Form 8300 Recognize common "red flags" and report suspicious activity Fulfill recordkeeping requirements Understand OFAC requirements AML - Non-Bank SAR Reporting (Flash) [BSA5001] Category: BSA/AML In this lesson you will learn how to identify potential suspicious activity, obtain information required to complete a SAR, and learn about red flags of suspicious activity particular to the mortgage industry. Be better prepared to identify potential suspicious activity in the mortgage industry; Know what information to obtain to complete a SAR; and Know when to file a SAR. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 11

12 Anti-Money Laundering - Business Bankers [BSA3001] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Business Banker is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Currency Transaction Reporting. Suspicious Activity Reporting. Customer Identification Program. Due Diligence. Office of Foreign Assets Control. High-Risk Accounts. Enhanced Due Diligence. Special Guidance on Money Service Businesses. Money Laundering and Terrorism Financing Red Flags. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. To understand reporting and recordkeeping requirements. What can be done to prevent money laundering. Anti-Money Laundering - Commercial Lenders [BSA3003] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Commercial Lenders is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Summary of AML Rules. Money Service Businesses. Customer Identification Program. Office of Foreign Assets Control. Money Laundering and Terrorism Financing Red Flags. Suspicious Activity Reports. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. To understand reporting and recordkeeping requirements. What can be done to prevent money laundering. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 12

13 Anti-Money Laundering - Consumer Lenders [BSA3005] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Consumer Lender is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Summary of AML Rules. Customer Identification Program. Office of Foreign Assets Control. Money Laundering and Terrorism Financing Red Flags. Suspicious Activity Reports. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. To understand reporting and recordkeeping requirements. What can be done to prevent money laundering. Anti-Money Laundering - Insurance Personnel [BSA3007] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Insurance Personnel is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Summary of AML Rules. Customer Identification Program. Office of Foreign Assets Control. Money Laundering and Terrorism Financing Red Flags. Suspicious Activity Reports. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. Reporting and recordkeeping requirements. What can be done to prevent money laundering. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 13

14 Anti-Money Laundering - Mortgage Lenders [BSA3008] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Mortgage Lender is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Summary of AML Rules. Customer Identification Program. Office of Foreign Assets Control. Money Laundering and Terrorism Financing Red Flags. Suspicious Activity Reports. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. Reporting and recordkeeping requirements. What can be done to prevent money laundering. Anti-Money Laundering - Personal Bankers [BSA3010] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Personal Banker is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Currency Transaction Reporting. Suspicious Activity Reporting. Customer Identification Program. Due Diligence. Office of Foreign Assets Control. High-Risk Accounts. Enhanced Due Diligence. Special Guidance on Money Service Businesses. Money Laundering and Terrorism Financing Red Flags. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. Reporting and recordkeeping requirements. What can be done to prevent money laundering. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 14

15 Anti-Money Laundering - Private Bankers [BSA3012] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Private Banker is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Summary of AML Rules. Customer Identification Program. Special Guidance on Politically Exposed Persons. Office of Foreign Assets Control. Currency Transaction Reports. Money Laundering and Terrorism Financing Red Flags. Suspicious Activity Reports. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. Reporting and recordkeeping requirements. What can be done to prevent money laundering. Anti-Money Laundering - Telephone And Online Bankers [BSA3014] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Telephone and Online Banker is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Summary of AML Rules. Customer Identification Program. Office of Foreign Assets Control. Currency Transaction Reports. Money Laundering and Terrorism Financing Red Flags. Suspicious Activity Reports. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. Reporting and recordkeeping requirements. What can be done to prevent money laundering. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 15

16 Anti-Money Laundering - Tellers [BSA3016] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Tellers is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Currency Transaction Reporting. Suspicious Activity Reporting. Customer Identification Program. Due Diligence. Office of Foreign Assets Control. High-Risk Accounts. Enhanced Due Diligence. Special Guidance on Money Service Businesses. Money Laundering and Terrorism Financing Red Flags. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. Reporting and recordkeeping requirements. What can be done to prevent money laundering. Anti-Money Laundering - Trust Officers [BSA3018] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Trust Officers is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Summary of AML Rules. Customer Identification Program. Special Guidance on Politically Exposed Persons. Office of Foreign Assets Control. Currency Transaction Reports. Money Laundering and Terrorism Financing Red Flags. Suspicious Activity Reports. Recordkeeping Requirements. The definition of money laundering. How to recognize common red flags. Reporting and recordkeeping requirements. What can be done to prevent money laundering. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 16

17 Anti-Money Laundering - Wire Transfer Personnel [BSA3020] Duration: 60 minutes Category: BSA/AML Anti-Money Laundering (AML) - Wire Transfer Personnel is part of our Net Worth learning game series. This course is highly interactive. It teaches the essentials about AML rules. The simulations cover AML topics, as applicable, to the specific job, such as: Summary of AML Rules. Customer Identification Program. Recordkeeping Requirements. Due Diligence. Money Service Businesses. Office of Foreign Assets Control. Currency Transaction Reports. Money Laundering and Terrorism Financing Red Flags. Suspicious Activity Reports. The definition of money laundering. How to recognize common red flags. Reporting and recordkeeping requirements. What you can do to prevent money laundering. BSA/AML - Awareness (Flash) NEW! [BSA1030] Category: BSA/AML BSA/AML Awareness, the base module to our suite of job-specific BSA/AML courses, provides a comprehensive overview of the BSA/AML regulatory requirements. This course is a prerequisite to the job-specific scenario module. It must be assigned to all personnel taking the scenario module. The BSA/AML suite of courses, allows learners to obtain exactly what they need to face real-life situations they ll encounter in the workplace. The contemporary design showcases the latest innovations in compliance e-learning and gives you another option in training these mandatory topics. CRCM Credit: 1.25 Describe money laundering and terrorist financing; Obtain and verify customer identity; Explain customer due diligence; Recognize common "red flags" and report suspicious activity; Fulfill recordkeeping requirements; and Understand OFAC requirements. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 17

18 BSA/AML - Awareness NEW! [BSA1033] Category: BSA/AML BSA/AML Awareness, the base module to our suite of job-specific BSA/AML courses, provides a comprehensive overview of the BSA/AML regulatory requirements. This course is a prerequisite to the job-specific scenario module. It must be assigned to all personnel taking the scenario module. The BSA/AML suite of courses, allows learners to obtain exactly what they need to face real-life situations they ll encounter in the workplace. The contemporary design showcases the latest innovations in compliance e-learning and gives you another option in training these mandatory topics. CRCM Credit: 1.25 Describe money laundering and terrorist financing; Obtain and verify customer identity; Explain customer due diligence; Recognize common "red flags" and report suspicious activity; Fulfill recordkeeping requirements; and Understand OFAC requirements. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 18

19 BSA/AML - Scenarios (Flash) NEW! [BSA3031] Category: BSA/AML BSA/AML - Scenarios, the supplemental modules to our BSA/AML suite of courses, are tailored to specific job duties. The "On the Money" learning game puts the student in on-the-job situations and asks the student to apply the learning to make appropriate and compliant decisions. The learning games feature an interactive exercise where money bags become red flags when an indicator of money laundering is present. Then a series of movie clips display various transactions and situations along with sample account histories, payments and so on. The learner observes the situation, then is asked to decide upon the proper response. An "On the Money" answer is rewarded with maximum points, while an "Off the Mark" response gets nothing. At the end of the module, the learner sees his or her scoring summary and gets additional instruction on those topics where reinforcement of key concepts is needed. The BSA/AML - Awareness module is a prerequisite to any of the following BSA/AML - Scenario modules: BSA/AML - Scenarios BSA/AML - Scenarios for Business Bankers BSA/AML - Scenarios for Commercial Lenders BSA/AML - Scenarios for Consumer Lenders BSA/AML - Scenarios for Mortgage Lenders BSA/AML - Scenarios for Personal Bankers BSA/AML - Scenarios for Private Bankers BSA/AML - Scenarios for Telephone and Online Bankers BSA/AML - Scenarios for Tellers BSA/AML - Scenarios for Trust Officers BSA/AML - Scenarios for Wire Transfer Personnel CRCM Credit: 1.00 Understand and recognize various types of money laundering Recognize the consequences of and penalties for noncompliance Obtain and verify customer identification Conduct appropriate due diligence and apply enhanced due diligence Recognize when high-risk accounts may require enhanced scrutiny Respond appropriately when dealing with high-risk accounts, locations, individuals or transactions Know the thresholds and reporting requirements for large currency transactions Apply OFAC requirements Spot red flags for unusual or suspicious activity Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 19

20 BSA/AML - Scenarios for Business Bankers (Flash) NEW! [BSA3032] Category: BSA/AML BSA/AML - Scenarios, the supplemental modules to our BSA/AML suite of courses, are tailored to specific job duties. The "On the Money" learning game puts the student in on-the-job situations and asks the student to apply the learning to make appropriate and compliant decisions. The learning games feature an interactive exercise where money bags become red flags when an indicator of money laundering is present. Then a series of movie clips display various transactions and situations along with sample account histories, payments and so on. The learner observes the situation, then is asked to decide upon the proper response. An "On the Money" answer is rewarded with maximum points, while an "Off the Mark" response gets nothing. At the end of the module, the learner sees his or her scoring summary and gets additional instruction on those topics where reinforcement of key concepts is needed. The BSA/AML - Awareness module is a prerequisite to any of the following BSA/AML - Scenario modules: BSA/AML - Scenarios BSA/AML - Scenarios for Business Bankers BSA/AML - Scenarios for Commercial Lenders BSA/AML - Scenarios for Consumer Lenders BSA/AML - Scenarios for Mortgage Lenders BSA/AML - Scenarios for Personal Bankers BSA/AML - Scenarios for Private Bankers BSA/AML - Scenarios for Telephone and Online Bankers BSA/AML - Scenarios for Tellers BSA/AML - Scenarios for Trust Officers BSA/AML - Scenarios for Wire Transfer Personnel CRCM Credit: 1.00 Understand and recognize various types of money laundering Recognize the consequences of and penalties for noncompliance Obtain and verify customer identification Conduct appropriate due diligence and apply enhanced due diligence Recognize when high-risk accounts may require enhanced scrutiny Respond appropriately when dealing with high-risk accounts, locations, individuals or transactions Know the thresholds and reporting requirements for large currency transactions Apply OFAC requirements Spot red flags for unusual or suspicious activity Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 20

21 BSA/AML - Scenarios for Commercial Lenders (Flash) NEW! [BSA3033] Category: BSA/AML BSA/AML - Scenarios, the supplemental modules to our BSA/AML suite of courses, are tailored to specific job duties. The "On the Money" learning game puts the student in on-the-job situations and asks the student to apply the learning to make appropriate and compliant decisions. The learning games feature an interactive exercise where money bags become red flags when an indicator of money laundering is present. Then a series of movie clips display various transactions and situations along with sample account histories, payments and so on. The learner observes the situation, then is asked to decide upon the proper response. An "On the Money" answer is rewarded with maximum points, while an "Off the Mark" response gets nothing. At the end of the module, the learner sees his or her scoring summary and gets additional instruction on those topics where reinforcement of key concepts is needed. The BSA/AML - Awareness module is a prerequisite to any of the following BSA/AML - Scenario modules: BSA/AML - Scenarios BSA/AML - Scenarios for Business Bankers BSA/AML - Scenarios for Commercial Lenders BSA/AML - Scenarios for Consumer Lenders BSA/AML - Scenarios for Mortgage Lenders BSA/AML - Scenarios for Personal Bankers BSA/AML - Scenarios for Private Bankers BSA/AML - Scenarios for Telephone and Online Bankers BSA/AML - Scenarios for Tellers BSA/AML - Scenarios for Trust Officers BSA/AML - Scenarios for Wire Transfer Personnel CRCM Credit: 1.00 Understand and recognize various types of money laundering Recognize the consequences of and penalties for noncompliance Obtain and verify customer identification Conduct appropriate due diligence and apply enhanced due diligence Recognize when high-risk accounts may require enhanced scrutiny Respond appropriately when dealing with high-risk accounts, locations, individuals or transactions Know the thresholds and reporting requirements for large currency transactions Apply OFAC requirements Spot red flags for unusual or suspicious activity Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 21

22 BSA/AML - Scenarios for Consumer Lenders (Flash) NEW! [BSA3034] Category: BSA/AML BSA/AML - Scenarios, the supplemental modules to our BSA/AML suite of courses, are tailored to specific job duties. The "On the Money" learning game puts the student in on-the-job situations and asks the student to apply the learning to make appropriate and compliant decisions. The learning games feature an interactive exercise where money bags become red flags when an indicator of money laundering is present. Then a series of movie clips display various transactions and situations along with sample account histories, payments and so on. The learner observes the situation, then is asked to decide upon the proper response. An "On the Money" answer is rewarded with maximum points, while an "Off the Mark" response gets nothing. At the end of the module, the learner sees his or her scoring summary and gets additional instruction on those topics where reinforcement of key concepts is needed. The BSA/AML - Awareness module is a prerequisite to any of the following BSA/AML - Scenario modules: BSA/AML - Scenarios BSA/AML - Scenarios for Business Bankers BSA/AML - Scenarios for Commercial Lenders BSA/AML - Scenarios for Consumer Lenders BSA/AML - Scenarios for Mortgage Lenders BSA/AML - Scenarios for Personal Bankers BSA/AML - Scenarios for Private Bankers BSA/AML - Scenarios for Telephone and Online Bankers BSA/AML - Scenarios for Tellers BSA/AML - Scenarios for Trust Officers BSA/AML - Scenarios for Wire Transfer Personnel CRCM Credit: 1.00 Understand and recognize various types of money laundering Recognize the consequences of and penalties for noncompliance Obtain and verify customer identification Conduct appropriate due diligence and apply enhanced due diligence Recognize when high-risk accounts may require enhanced scrutiny Respond appropriately when dealing with high-risk accounts, locations, individuals or transactions Know the thresholds and reporting requirements for large currency transactions Apply OFAC requirements Spot red flags for unusual or suspicious activity Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 22

23 BSA/AML - Scenarios for Insurance Personnel (Flash) NEW! [BSA3035] Category: BSA/AML BSA/AML - Scenarios, the supplemental modules to our BSA/AML suite of courses, are tailored to specific job duties. The "On the Money" learning game puts the student in on-the-job situations and asks the student to apply the learning to make appropriate and compliant decisions. The learning games feature an interactive exercise where money bags become red flags when an indicator of money laundering is present. Then a series of movie clips display various transactions and situations along with sample account histories, payments and so on. The learner observes the situation, then is asked to decide upon the proper response. An "On the Money" answer is rewarded with maximum points, while an "Off the Mark" response gets nothing. At the end of the module, the learner sees his or her scoring summary and gets additional instruction on those topics where reinforcement of key concepts is needed. The BSA/AML - Awareness module is a prerequisite to any of the following BSA/AML - Scenario modules: BSA/AML - Scenarios BSA/AML - Scenarios for Business Bankers BSA/AML - Scenarios for Commercial Lenders BSA/AML - Scenarios for Consumer Lenders BSA/AML - Scenarios for Mortgage Lenders BSA/AML - Scenarios for Personal Bankers BSA/AML - Scenarios for Private Bankers BSA/AML - Scenarios for Telephone and Online Bankers BSA/AML - Scenarios for Tellers BSA/AML - Scenarios for Trust Officers BSA/AML - Scenarios for Wire Transfer Personnel CRCM Credit: 1.00 Understand and recognize various types of money laundering Recognize the consequences of and penalties for noncompliance Obtain and verify customer identification Conduct appropriate due diligence and apply enhanced due diligence Recognize when high-risk accounts may require enhanced scrutiny Respond appropriately when dealing with high-risk accounts, locations, individuals or transactions Know the thresholds and reporting requirements for large currency transactions Apply OFAC requirements Spot red flags for unusual or suspicious activity Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 23

24 BSA/AML - Scenarios for Mortgage Lenders [BSA3044] Category: BSA/AML BSA/AML - Scenarios, the supplemental modules to our BSA/AML suite of courses, are tailored to specific job duties. The "On the Money" learning game puts the student in on-the-job situations and asks the student to apply the learning to make appropriate and compliant decisions. The learning games feature an interactive exercise where money bags become red flags when an indicator of money laundering is present. Then a series of movie clips display various transactions and situations along with sample account histories, payments and so on. The learner observes the situation, then is asked to decide upon the proper response. An "On the Money" answer is rewarded with maximum points, while an "Off the Mark" response gets nothing. At the end of the module, the learner sees his or her scoring summary and gets additional instruction on those topics where reinforcement of key concepts is needed. The BSA/AML - Awareness module is a prerequisite to any of the following BSA/AML - Scenario modules: BSA/AML - Scenarios BSA/AML - Scenarios for Business Bankers BSA/AML - Scenarios for Commercial Lenders BSA/AML - Scenarios for Consumer Lenders BSA/AML - Scenarios for Mortgage Lenders BSA/AML - Scenarios for Personal Bankers BSA/AML - Scenarios for Private Bankers BSA/AML - Scenarios for Telephone and Online Bankers BSA/AML - Scenarios for Tellers BSA/AML - Scenarios for Trust Officers BSA/AML - Scenarios for Wire Transfer Personnel CRCM Credit: 1.00 Understand and recognize various types of money laundering. Recognize the consequences of and penalties for noncompliance. Obtain and verify customer identification. Conduct appropriate due diligence and apply enhanced due diligence. Recognize when high-risk accounts may require enhanced scrutiny. Respond appropriately when dealing with high-risk accounts, locations, individuals or transactions. Know the thresholds and reporting requirements for large currency transactions. Apply OFAC requirements. Spot red flags for unusual or suspicious activity. Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 24

25 BSA/AML - Scenarios for Mortgage Lenders (Flash) NEW! [BSA3037] Category: BSA/AML BSA/AML - Scenarios, the supplemental modules to our BSA/AML suite of courses, are tailored to specific job duties. The "On the Money" learning game puts the student in on-the-job situations and asks the student to apply the learning to make appropriate and compliant decisions. The learning games feature an interactive exercise where money bags become red flags when an indicator of money laundering is present. Then a series of movie clips display various transactions and situations along with sample account histories, payments and so on. The learner observes the situation, then is asked to decide upon the proper response. An "On the Money" answer is rewarded with maximum points, while an "Off the Mark" response gets nothing. At the end of the module, the learner sees his or her scoring summary and gets additional instruction on those topics where reinforcement of key concepts is needed. The BSA/AML - Awareness module is a prerequisite to any of the following BSA/AML - Scenario modules: BSA/AML - Scenarios BSA/AML - Scenarios for Business Bankers BSA/AML - Scenarios for Commercial Lenders BSA/AML - Scenarios for Consumer Lenders BSA/AML - Scenarios for Mortgage Lenders BSA/AML - Scenarios for Personal Bankers BSA/AML - Scenarios for Private Bankers BSA/AML - Scenarios for Telephone and Online Bankers BSA/AML - Scenarios for Tellers BSA/AML - Scenarios for Trust Officers BSA/AML - Scenarios for Wire Transfer Personnel CRCM Credit: 1.00 Understand and recognize various types of money laundering Recognize the consequences of and penalties for noncompliance Obtain and verify customer identification Conduct appropriate due diligence and apply enhanced due diligence Recognize when high-risk accounts may require enhanced scrutiny Respond appropriately when dealing with high-risk accounts, locations, individuals or transactions Know the thresholds and reporting requirements for large currency transactions Apply OFAC requirements Spot red flags for unusual or suspicious activity Copyright 2015 FIS and/or its subsidiaries. All Rights Reserved. Page 25