Webinar: Compliance Rules the Board & Senior Management Must Know

Thursday, January 31, 2013

Speaker: Ann Brode, Brode Consulting, Inc.

About the Program

Do you have a compliance examination looming on the horizon or have you just undergone the process? Recent enforcement actions prove that an effective compliance program begins at the top.

Board and management training is key to establishing and maintaining a strong compliance program. It is extremely important for directors to understand the various areas of compliance that require their annual review and approval. This session will provide a list of those areas, with a focus on risk-based compliance management. The high-risk areas will be covered in lay terms, with the board in mind (presenting the information most important to the board). Compliance issues considered high-risk for financial institutions of all sizes and locales will be included. Understand your responsibilities and liabilities before the examiner is at the door!

This session will include the following topics:

The board’s responsibilities for your Bank Secrecy Act program
Fair lending issues – a VERY hot button
Insider lending
Red flags for identity theft
Member privacy issues
A checklist of regulations will be provided so directors and management have a useful tool to assist with on going training requirements
Preparing the board to respond to regulators after the exam

Related Files

Printable Brochure (Adobe PDF File)