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Compliance/Legal

89 item(s) found
Advertising & Marketing Rules: Ensuring Effective and Compliant Programs
  • Tuesday, September 24
  • Webinar
Coppelia Padgett

In-depth analysis of the various compliance rules governing advertising and marketing for financial institutions

CCPA GDPR Compliance for 2020
  • Wednesday, September 25
  • Webinar
Richik Sarkar, Sandy Shatz, and Chad Voller

Learn how GDPR and CCPA affect a financial institution’s daily operations

SARs & CTRs Explored in Detail: Understanding and Completing the Forms
  • Thursday, September 26
  • Webinar
Kenneth Agle

Learn the details of completing Suspicious Activity Reports and Currency Transaction Reports

Be Prepared! Quarterly Compliance Update – September 2019
  • Thursday, September 26
  • Webinar
Rhonda Coggins, CRCM

Compliance update including the Bureau of Consumer Financial Protection’s Fair Lending Report, the Inter-agency Update on Private Flood Insurance, and others

BSA/AML & Digital Currencies: The New Challenges
  • Thursday, October 3
  • Webinar
Kenneth Agle

Whether you are new to banking and BSA/AML or a seasoned veteran, this webinar will provide a strong combination of understanding risk factors associated with digital currencies and fiat currencies and provide your organization with a game plan for managing this emerging risk. Please join Ken Agle as he presents BSA/AML & Digital Currencies.

Loan Fraud Prevention and Detection Methods
  • Tuesday, October 15
  • Webinar
Gary Deutsch

Loan fraud can happen to any institution, large or small. Learn how to protect your institution from this very real risk.

BSA Beneficial Ownership Rule: Guidance, Best Practices, and Lessons Learned
  • Thursday, October 17
  • Webinar
Coppelia Padgett

A road map through this regulatory and practical maze of the BSA Beneficial Ownership Rule

Enterprise Risk Management for Financial Institutions
  • Tuesday, October 22
  • Webinar
Dr. James Castagnera

Learn the why and the how of Enterprise Risk Management, and how to foster effective collaboration among key stakeholders in the risk management process

Regulation CC – Funds Availability Updates
  • Wednesday, October 23
  • Webinar
Barbara Hudgins, AAP, APRP

This special update program will cover the latest amendments to Regulation CC

Regulation E Disputes and Error Resolution – With a Compliance Checklist You Can Use
  • Thursday, October 24
  • Webinar
Coppelia Padgett

A comprehensive, detailed overview of Regulation E dispute handling and error resolution

Conducting an Internal Audit of Internet Banking
  • Tuesday, October 29
  • Webinar
Gary Deutsch

Learn the essential components of performing an internal audit of internet banking operations

BSA/AML Automated Systems Validation: Validation Insights
  • Wednesday, October 30
  • Webinar
Kenneth Agle

Learn what you need to know and do to validate your BSA/AML Automated System, maximize its effectiveness, minimize the resources expended, and stay ahead of regulatory expectations

How to Read an Insurance Policy for Financial Institutions
  • Thursday, October 31
  • Webinar
Daniel Cotter

Learn the common components of insurance policies and special considerations you should take into account to help you understand your coverage and identify risk areas before a problem arises

New Regulatory Relief Law - What Does It Mean for Your Institution?
  • On-demand
Coppelia Padgett

A comprehensive, detailed overview of the recent changes to Mortgage Lending Regulations that will affect your mortgage department.

Required ACH Audit: Top 10 Audit Findings and How to Avoid Them
  • On-demand
Chelsye Palomo, AAP, APRP

Learn the top ACH audit adverse findings, discuss the underlying ACH Rules requirements, and provide recommendations on how to avoid them in your organization.

Managing Incentive-based Compensation Risks: Methods for Conducting Risk Reviews
  • On-demand
Gary Deutsch

Learn how to develop risk management, internal audit functions, and a comprehensive risk review process to ensure that incentive-based compensation programs do not create excessive safety and soundness risks

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