Compliance Training

The TPPPA is committed to providing our members and the industry with excellent and timely regulatory and compliance training. Take a look at our public offerings. If you like what you see, you should check out our member's only training. The TPPPA never charges its members for training. If you are interested in learning more about becoming a member contact us at membership@tpppa.org.

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DateTimeCourseAvailable for
12/14/20172:00 PM
EDT
Best Practices in Third Party Risk Management for Third-Party Payment Processors
When Third-Party Payment Processors have relationships with other third parties, such as Independent Sales Organizations (ISOs), nested Third-Party Senders, or other entities that assume any of the responsibilities for merchant due diligence and monitoring, the risk to the processors increases significantly, and the risk increases exponentially for the processors bank. Learn about how third-party payment processors should perform enhanced due diligence and ongoing monitoring on third-party relationships equivalent to the third-party risk management performed at a bank and why this is so critical to third-party payment processing relationships. We will explore recent enforcement actions that resulted because these critical risk management practices were not being adequately performed.

Click HERE to Register for Third-Party Risk Management for TPPPs
General Public

TPPPA Member's Only Upcoming Training

Third-Party Payment Processors (TPPPs) and their banks have been under a great deal of scrutiny over the past several years. Although TPPPs do not have a direct regulator, they are still in the crosshairs of federal and state regulators and law enforcement, particularly related to Consumer Protection matters. The following courses will discuss best practices that TPPPs can implement to demonstrate to regulators, law enforcement and their banks that the TPPP operates within a culture of compliance, with well documented risk-based compliance management systems. The TPPPA has created this seven-part series for its members to implement the TPPPA’s Compliance Management System (CMS) for Payment Processors (our industry best practices,) and will make three sessions available to the public. All sessions qualify for 1.2 AAP Continuing Education Credits thanks to our series sponsor Commercial Bank of California.

DateTimeCourseAvailable for
7/20/20172:00 PM
EDT
Best Practices for TPPPs: Establishing a Culture of Compliance
In this session we will talk about the structures, disciplines and controls that a payment processor should have in place to demonstrate a culture of compliance and the required components of a risk-based compliance management system. We will also cover the 14 Key Controls for payment processors in the TPPPA CMS.
TPPPA Members and General Public
8/10/20172:00 PM
EDT
Risk Assessment: The Key to a Risk-Based Compliance Management Systems
In this session we will discuss how to approach an enterprise risk assessment, how to keep it up-to-date, and how it serves as the key tool in your compliance and risk management efforts. A documented risk assessment demonstrates that the TPPP has thoroughly considered its risk and serves as the cornerstone to its risk-based compliance management system, informing policies, procedures, training, agreements, reporting and more.
TPPPA Members and General Public
8/17/20172:00 PM
EDT
TPPP Policies, Procedures and Internal Controls Testing
In this session we will discuss the purpose and the differences between policies and procedures as well as practices to ensure these critical documents remain current and effective. We will also discuss the importance of identifying and testing internal controls, (beyond policies and procedures,) and why this activity is critical to the effective management of compliance and risk.
TPPPA Members Only
8/24/20172:00 PM
EDT
Merchant Enhanced Due Diligence and Periodic Review
In this session we will discuss the risk-based approach to merchant due diligence and annual review as part of the requirements of the TPPPA CMS for Processors. We will also discuss some of the higher-risk industries that continue to be targeted by regulators at both a state and federal level, and enhanced due diligence practices to support processing payments for higher-risk industries and considerations for the upcoming Beneficial Ownership Rule.
TPPPA Members Only
9/28/20172:00 PM
EDT
Merchant Monitoring and Reporting Suspicious Activity
In this session we will discuss the risk-based approach to merchant monitoring, as well as reporting suspicious activity to the TPPPs board and its banks, as part of the requirements of the TPPPA CMS for Processors. We will also discuss some of the higher-risk industries that continue to be targeted by regulators at both a state and federal level, and enhanced monitoring practices and merchant watch lists that will support processing payments for higher-risk industries and keep processors and their banks out of regulatory hot water.
TPPPA Members Only
10/05/20172:00 PM
EDT
TPPP Board Oversight and Reporting
In this session we will outline the TPPPA CMS Requirements for Board oversight including: Annual Review and Approval of the TPPP’s Risk Assessment and Policies, Quarterly Board Reporting Requirements, Board Training, the importance of meeting minutes, and more.
TPPPA Members Only
10/12/20172:00 PM
EDT
Compliance Officer Duties in a TPPP Organization
In this session we will discuss FinCEN’s advisory related to Promoting a Culture of Compliance in 2014, and how three of the five pillars relate directly to the importance of the Compliance function. The TPPPA CMS utilizes these principles and more in its control framework related to compliance officer duties and the requirement for TPPPs to employ a compliance officer.
TPPPA Members and General Public

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