CSBS BAI Course Catalog

Investment Regulation Basics for Financial Institution Leaders 20 minutes Aimed at executive leadership and the board of directors, this course surveys key investment banking and management regulators and regulations, with a focus on SEC requirements concerning disclosures and insider trading. Through multiple real-world examples, the course summarizes consequences of failing to comply with investment regulations and how leadership can prevent such failures. 15 minutes Intended for all employees, this interactive course provides a high-level overview of Regulation O, including its history and purpose. The course also features audio (optional) and video. 5 minutes Financial institutions that are public companies or subsidiaries of public companies must comply with the requirements of the Sarbanes-Oxley Act. Intended for compliance officers, accounting managers, and executive/CEO-level individuals, this mini-course provides an overview of the purpose, key provisions, and compliance requirements of the Act. Communications 20 minutes This course is designed to equip financial institutions with the knowledge and tools to navigate preparing communications during crisis situations. By properly communicating with consumers, employees, and investors, financial institution leaders can protect the financial institution's reputation during a crisis. Ethics 10 minutes Intended for executive leadership and members of the board of directors, this course provides an overview of general standards for ethical behavior and addresses leadership’s responsibilities in establishing and maintaining the institution’s ethics policy. 10 minutes Fair and responsible banking encompasses the requirements to treat people fairly in all aspects of banking, not just lending. This course is designed to equip financial institution personnel with the knowledge necessary to determine whether various banking acts or practices are possibly unfair and understand best practices for various fair banking scenarios. Regulation O: Essentials The Sarbanes-Oxley Act: An Overview Crisis Communications Executive Leadership: Ethics Fair Banking

Financial Literacy

Executive Leadership: Financial Literacy 15 minutes This course is designed to equip the board of directors with a strong financial foundation, specifically tailored to interpreting and overseeing the financial health of a bank, credit union, or other similar financial institutions.

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