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Compliance/Legal

81 item(s) found
GDPR & the California Consumer Privacy Act
  • Tuesday, August 20
  • Webinar
Justin Muscolino

Your institution needs to live up to the higher expectations of your clients while complying with GDPR and the CCPA to avoid harsh financial penalties.

BSA/AML Lessons Learned from Examinations and Sanctions
  • Tuesday, August 20
  • Webinar
Ken Agle

Learn practical guidance based on lessons learned from BSA/AML examinations and sanctions.

Building Best Practices into Your Cyber Incident Response Program
  • Wednesday, August 21
  • Webinar
Gary Deutsch

Learn how to build best practices into your cyber incident response program.

Find Drug Related Transactions
  • Monday, August 26
  • Webinar
Doug Keipper, CAMS

Learn how to identify and report illegal activity

Vendor Management: Assessing API Security Risks
  • Friday, August 30
  • Webinar
Gary Deutsch

Learn insight into the new and evolving API economy as well as methods to establish a risk assessment of vendors APIs to assist with your vendor management responsibilities. 

Affirmative Action Requirements for Financial Institutions as the 2020 Elections Loom
  • Thursday, September 5
  • Webinar
Dr. James Castagnera

Learn all the most recent developments for affirmative action compliance obligations that impact banks and credit unions

Top Audit Findings in Payment Systems
  • Wednesday, September 11
  • Webinar
Ameerah Needham

Learn the top audit findings for payment systems in 2019

Detecting and Preventing Employee Fraud: Audits and Methods
  • Wednesday, September 11
  • Webinar
Gary Deutsch

To help your institution detect fraud early or even avoid it, please join Gary Deutsch as he provides hands on guidance and examples on how to improve fraud controls and establish and maintain an effective fraud audit program at your institution.

Satisfy Regulators with Better Risk Data Management
  • Thursday, September 12
  • Webinar
Daniel A. Clark

Learn how to protect, interpret, and aggregate risk data. Apply new guidelines and make better decisions.

Risk-based Pricing Models: Compliance & Risks
  • Wednesday, September 18
  • Webinar

Kenneth Agle

A comprehensive foundational understanding of Risk Based Pricing requirements as well as the role that risk based pricing models play and the need and requirements for model validation.

Escrow Account Compliance: Getting It Right!
  • Thursday, September 19
  • Webinar
Coppelia Padgett

This webinar seeks to provide guidance and best practices on how to comply with the RESPA, TILA and the interagency flood regulations rules. In particular, we will discuss common problem areas where regulatory violations have occurred.

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

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

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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