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Compliance/Legal

96 item(s) found
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

Reg CC Changes: Availability of Funds and Collection of Checks
  • On-demand
Wanda Downs

Review the changes implemented by this latest FRB amendment to Reg CC and what this means for your institution in its operations, policies, and procedures as well as what you need to know to stay in compliance and minimize financial losses.

Required Stress Testing for Community Bank Commercial Loan Portfolios
  • On-demand
David Etter

Learn the cost effective approach to meeting regulatory requirements and practical issues for required stress testing for community banks.

Cybersecurity and Privacy for Financial Institutions: Laws, Regulations and Best Practices
  • On-demand
Daniel Cotter

Learn what financial institutions need to understand about the constantly evolving areas of cybersecurity and privacy law as it applies to them, their practices and their customers.

Training New and Existing ACH Originators
  • On-demand
John Cogdill, AAP

An informative session on how to effectively train your new and existing ACH originators.

Check Adjustments vs Returns - 2019
  • On-demand
Michael Jeffcoat

Dive into the world of check returns and adjustments, and understand the key difference between check adjustments and returns as well as the time frames associated with each.

Assessing Risks Related to New, Modified or Expanded Bank Products and Services to Comply with Regulatory Requirements
  • On-demand
Gary Deutsch

Prepare for examinations of your risk management program related to new, modified or expanded bank products and services.

IRS Tax Refund: What Tools May an RDFI Use to Handle ACH Tax Return Exceptions?
  • On-demand
John Cogdill, AAP

Explore the world of ACH tax refund issues.

Financial Institution Data Matters: Complying with Laws, Regulations and Best Practices to Safeguard Personal Information
  • On-demand
Daniel Cotter

Learn what financial institutions need to understand about the constantly evolving areas of cybersecurity and privacy law as it applies to them, their practices and their customers.

2019 ACH Rules Update
  • On-demand
Wanda Downs

Join this informative session covering 2019 changes to the ACH Rules & Network.

Disaster Recovery and Business Resumption: Being Ready Is Not by Chance
  • On-demand
Kenneth Agle

Learn the foundational elements of a Disaster Recovery and Business Resumption Plan and what aspects should be developed by an organization,as well as the process of conducting “table top” exercises.

Auditing Your Institution’s Control Environment
  • On-demand
Gary Deutsch

Learn the methods the internal audit function can be used to develop an approach to auditing your institution’s unique control environment

Preparing for Risk Management of Third-Party Relationships Examinations
  • On-demand
Gary Deutsch

Learn how to prepare for examinations of your third-party risk management program

Conducting a Risk-based Audit of Corporate and Risk Governance Processes
  • On-demand
Gary Deutsch

Guidance through conducting a risk-based audit of your institution’s corporate and risk governance program

Ability to Repay/Qualified Mortgage and QRM/Risk Retention: Compliance and Risks
  • On-demand
Coppelia Padgett

The Ability to Repay/Qualified Mortgage Rule, the Qualified Residential Mortgage (QRM) rule, and the definitions under those rules promulgated by the Consumer Financial Protection Bureau, significantly changed the underwriting criteria for residential mortgages requiring lenders to make a determination of ability to repay.

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