Directors and senior management are responsible for forming a top-down
compliance culture and establishing a strong compliance management system. The
responsibility for regulatory compliance ultimately lies with the board.
However, with dozens of regulations, thousands of pages of guidance and best
practices, and new changes on the horizon, determining exactly what is required
of you and your institution can be overwhelming.
This session will
help you understand your regulatory responsibilities and liabilities. It will
review the highest-risk areas and explain which information and reports need to
be reviewed periodically to make informed compliance program decisions. Join us
for this webinar to meet your annual training requirements!
- Bank Secrecy Act and identity theft prevention
- Overview of
- 2018 CDD rules overview and action plan
lending current issues
- Identity theft red flags – best practices for
identifying and reporting, cybersecurity, CATO, and wire fraud
- Privacy rules
and best practices
- UDAAP – preventing consumer harm, tracking, and
responding to consumer complaints
- Vendor management
- What to expect at the next compliance exam and how to
respond to findings
Dawn Kincaid, Brode Consulting Services, Inc.