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Compliance Roundtable

Mar 25 8:30 AM - Mar 25, 2020 4:00 PM
Mar 25, 2020 8:30 AM - 4:00 PM
Stevens PointWI


8:00 am – 8:45 am

8:45 am – 9:00 am
Welcome and introductions

9:00 am – 10:30 am
Regulatory Update

Paul Guttormsson, Sr. VP Legal & Compliance | The League
Discuss recent and upcoming regulatory and legal changes.
Learning Objectives
  • Learn about recent developments in Wisconsin’s hemp laws
  • Find out about the waiting periods for lost, stolen or destroyed cashier’s checks
  • Hear about NCUA’s changing audit rules
  • Learn how to implement Reg. CC inflation adjustments

10:30 am – 10:45 am

10:45 am – 12:00 pm
Cards / Payment Trends & Risks

Holly Spiczenski, Risk Management Analyst | CUNA Mutual Group

The payments landscape is changing fast. And, one of the biggest challenges today is for you to meet your members’ fast, convenient, and secure payment experiences. Navigating the rapid changes in payments can also lead to fraud and risk related to cards, ATMs, and alternative payments.

Learning Objectives
  • Identify emerging payment risks
  • Discover mitigation tips to help you balance the risk and reward for your members and credit union

12:00 pm – 1:00 pm

1:00 pm – 2:00 pm
Board Compensation Considerations

John Engel, Director of Legal Affairs | The League
Many credit unions struggle with the complexities regarding board compensation. Struggle no longer! Explore the compliance considerations of this important issue.
Learning Objectives
  • Learn who can be compensated and who cannot
  • Identify the pros and cons of compensation
  • Find out about public disclosure and media risk
  • Learn about IRS reporting
  • Discover how to avoid conflicts of interest

2:00 pm – 2:15 pm

2:15 pm – 3:15 pm
Regulation E Error Resolution

Kim Hoppe, Compliance Resource Analyst | The League
Regulation E has seen more examiner scrutiny lately. Make sure your credit union is compliant with its Regulation E Error Resolution requirements.
Learning Objectives
  • Learn what an Electronic Fund Transfer (EFT) is
  • Explore disclosures (Initial, Change in Terms and Periodic)
  • Identify error resolution procedures
  • Learn about member and credit union liability

3:15 pm – 4:00 pm
Roundtable Discussion

Paul Guttormsson, Sr. VP Legal & Compliance | The League
John Engel, Director of Legal Affairs | The League
Kim Hoppe, Compliance Resource Analyst | The League

Wrap up the day with your questions. Take a deeper dive into topics covered earlier or bring your own compliance challenges and hear from the experts as well as your peers

4:00 pm


John Engel, Director of Legal Affairs | The League

John has been assisting Wisconsin credit unions with compliance, policies and procedures for more than 20 years. When credit unions call The League for compliance guidance, it’s often John who answers.

Paul Guttormsson, Sr. VP Legal & Compliance | The League

Paul drafts regulatory comment letters on behalf of credit unions, helping to shape regulations that affect credit union operations, income, and member service. He also supervises The W.C.U.L. Services Corp.’s Compliance Specialist Program, which deploys shared employees among Wisconsin credit unions to provide hands-on support for their compliance efforts. Paul also supports The Legal Affairs team with telephone and email assistance to credit unions as well as research and analysis to develop The League’s ii releases, and is a frequent presenter for League compliance roundtables and webinars. 

Kim Hoppe, Compliance Resource Analyst | The League

Kim is a familiar voice to Wisconsin credit unions as part of our Legal Affairs team, offering guidance by phone on compliance issues and practical insights as part of League compliance trainings. Kim also helps credit unions expedite compliance workload as a member of the Compliance Specialist Program, a service offered by the W.C.U.L. Services Corp. 

Holly Spiczenski, Risk Management Analyst | CUNA Mutual Group

Holly Spiczenski is a risk management analyst in Business Protection Risk Management for CUNA Mutual Group. In this role she assists credit unions in identifying areas of risk in their operations, and recommends appropriate controls to reduce loss exposure. Spiczenski began her career with CUNA Mutual Group specializing in Collateral Protection. She then moved into a role within Business Protection as a claims adjuster. Prior to joining the organization, Spiczenski worked at CUNA Credit Union, which has since evolved into Summit Credit Union. Spiczenski earned a degree in accounting from Madison College. She holds the Associate in Claims (AIC) designation as well as a Property & Casualty Multi-Line Adjuster license, and is also a member of the International Association of Financial Crime Investigators Group. 


Holiday Inn Hotel & Convention Center
1001 Amber Avenue | Stevens Point, WI  54482
p: (715) 344-0200
Room block expires | Monday, February 24, 2020
Mention the Wisconsin Credit Union League when making your reservation.
Rates | $119.00, plus tax


$219.00 | Early Bird deadline: February 24, 2020

$119 | Early Bird | Credit Unions under <$30M

$249.00 | Regular

$149 | Regular | Credit Unions under <$30M

Additional Info

Event Type


Topics Covered

  • In-Person
  • Compliance

Sponsored By

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