Every product, service, and delivery method within your financial institution
is covered by multiple laws, regulations, and best practices. Your team must
understand the requirements and individual responsibilities applicable to each
area. In addition to regulatory considerations, consumer protection attorneys
look for violations as the basis for lawsuits. This session will focus on red
flags for identity theft, bribery, privacy, and ethical issues and will break
down each area and the essential compliance rules every staff member must know.
It will satisfy the general training requirements on these regulations.
- History, coverage, essential requirements, and
practical impact of each regulation
- Identity theft red flags
- Privacy regulations
- Ethics programs and standards
Documenting an effective compliance training program
David A. Reed, JD, Reed & Jolly, PLLC